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 System;Office of Management and Budget (OMB);U.S. Department of the Treasury (U.S. Treasury);
  • Law Involved:
    Securities and Exchange Act of 1934;Riegle Community Development and Regulatory Improvement Act of 1994 (RCDRIA or CDRIA);Government Securities Act of 1986;Investment Company Act of 1940;Paperwork Reduction Act of 1995;Regulatory Flexibility Act (RFA);Uniform Gifts to Minors Act;Internal Revenue Code of 1954;Securities Act of 1933;
  • Other Institutions Involved:
    Investment Company Institute
  • Related Regulation:
    12 CFR Part 208.8(k);12 CFR Part 12;17 CFR Parts 400-405, 409, 450;17 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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