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

Filetype[PDF-167.58 KB]


  • Publisher's site:
  • Content Notes:
    Cites FIL-9-94 and FIL-61-95

    Cites 44 FR 43261, 61 FR 26135 (FDIC)

    Cites 44 FR 43258, 44 FR 43254, 58 FR 52891, 60 FR 26604, 60 FR 66163, 60 FR 66517, 60 FR 66759, 60 FR 66764, 61 FR 24644, 61 FR 63958

  • Format:
  • Release Date:
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC)U.S. Securities and Exchange Commission (SEC)Office of the Comptroller of the Currency (OCC)Board of Governors of the Federal Reserve SystemOffice of Management and Budget (OMB)U.S. Department of the Treasury (U.S. Treasury)
  • Law Involved:
    Securities and Exchange Act of 1934Riegle Community Development and Regulatory Improvement Act of 1994 (RCDRIA or CDRIA)Government Securities Act of 1986Investment Company Act of 1940Paperwork Reduction Act of 1995Regulatory Flexibility Act (RFA)Uniform Gifts to Minors ActInternal Revenue Code of 1954Securities Act of 1933
  • Other Institutions Involved:
    Investment Company Institute
  • Related Regulation:
    12 CFR Part 208.8(k)12 CFR Part 1217 CFR Parts 400-405, 409, 45017 CFR Part 240.10(b)-10(a)(2)(i)(D)17 CFR Part 240.15c6-1(a), 240.17j-1
  • Comment Period End Date:
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    61 FR 67729
  • CFR Number:
    12 CFR Part 344
  • RIN Indentifier:
    RIN 3064-AB74
  • Main Document Checksum:
  • File Type:

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