Appropriate parts of Form X-17A-5, as applicable, shall be used by brokers, dealers, security-based swap dealers, and major security-based swap participants required to file reports under §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-7 of this chapter, as applicable.
[84 FR 68669, Dec. 16, 2019]
Editorial Note:For Federal Register citations affecting Form X-17A-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be used by every broker-dealer required to file reports under § 240.17a-5(e) of this chapter.
[63 FR 37674, July 13, 1998]
Editorial Note:For Federal Register citations affecting Form BD-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be used by every registered transfer agent required to file reports under § 240.17Ad-18 of this chapter.
[63 FR 37694, July 13, 1998]
Editorial Note:For Federal Register citations affecting Form TA-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be completed and filed by each national securities exchange or registered national securities association as required by § 240.17a-19 of this chapter within 5 business days of the occurrence of the initiation of the membership of any person or the suspension or termination of the membership of any of its members.
[45 FR 39841, June 12, 1980]
Editorial Note:For Federal Register citations affecting Form X-17A-19, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be used by every alternative trading system to file required notices, reports and amendments under § 242.301(b)(2) of this chapter.
[63 FR 70933, Dec. 22, 1998]
Editorial Note:For Federal Register citations affecting Form ATS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be used by every alternative trading system to file required reports under § 242.301(b)(8) of this chapter.
[63 FR 70943, Dec. 22, 1998]
Editorial Note:For Federal Register citations affecting Form ATS-R, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be used for reports of information required by § 240.17a-5 of this chapter.
Editorial Note:For Federal Register citations affecting Form Custody, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
[78 FR 51994, Aug. 21, 2013]
This form shall be used by every NMS Stock ATS to file required
reports under § 242.304(a) of this chapter.
[83 FR 38913, Aug. 7, 2018]
Editorial Note:For Federal Register citations affecting Form ATS-N, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
This form shall be prepared and filed by brokers and dealers registered with the Securities and Exchange Commission pursuant to Section 15 of the Act that offer services to a retail investor pursuant to § 240.17a-14 of this chapter.
[84 FR 33630, July 12, 2019]
Editorial Note:For Federal Register citations affecting Form CRS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.