Recordkeeping and Confirmation Requirements for Securities Transactions
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Recordkeeping and Confirmation Requirements for Securities Transactions

Filetype[PDF-284.59 KB]


  • 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:
  • 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:
  • 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:
  • Download URL:
  • File Type:

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