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Regulations last checked for updates: Apr 29, 2024
Title 17 - Commodity and Securities Exchanges last revised: Apr 19, 2024
All Titles
Title 17
Chapter II
Part 249
Subpart G - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
§ 249.617 - Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
§ 249.618 - Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and of this chapter.
§ 249.619 - Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and of this chapter.
§§ 249.620-249.634 - §[Reserved]
§ 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
§ 249.636 - [Reserved]
§ 249.637 - Form ATS, information required of alternative trading systems pursuant to of this chapter.
§ 249.638 - Form ATS-R, information required of alternative trading systems pursuant to of this chapter.
§ 249.639 - Form custody.
§ 249.640 - Form ATS-N, information required of NMS Stock ATSs pursuant to of this chapter.
§ 249.641 - Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to of this chapter.
authority:
15 U.S.C. 78a
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