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i

Recordkeeping and Confirmation Requirements for Securities Transactions

Public Domain


Details

  • Publisher's site:
  • Corporate Authors:
  • Content Notes:
    Cites 44 FR 43261, 45 FR 12777, 60 FR 7111, 60 FR 62345 (FDIC)

    Cites 44 FR 43252, 44 FR 43258, 60 FR 66517, 60 FR 66759

  • Dataset Download URL:
  • Format:
  • Release Date:
    05/24/1996
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC) ; Office of the Comptroller of the Currency (OCC) ; Board of Governors of the Federal Reserve System ; U.S. Department of the Treasury (U.S. Treasury) ; U.S. Securities and Exchange Commission (SEC)
  • Law Involved:
    Riegle Community Development and Regulatory Improvement Act of 1994 (RCDRIA or CDRI Act) ; Securities and Exchange Act of 1934 ; Government Securities Act ; Investment Company Act of 1940
  • Other Institutions Involved:
    National Association of Securities Dealers (NASD)
  • Related Regulation:
    SEC Rule 10b-10(a) ; SEC Rule 15c6-1 ; 17 CFR 401.3(a)
  • Comment Period End Date:
    06/24/1996
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    61 FR 26135
  • CFR Number:
    12 CFR Part 344
  • RIN Indentifier:
    RIN 3064-AB74
  • Main Document Checksum:
    urn:sha256:fdde19e3cf4cd9a51b2e1c78e35b5bfcb8c667d999f7a9ee40eabcab63e54160
  • Download URL:
  • File Type:
    Filetype[PDF - 284.59 KB ]
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