12 CFR Part 151: Recordkeeping and Confirmation Requirements for Securities Transactions

12 CFR Part 151 establishes recordkeeping requirements applicable to a Federal savings association when it effects certain securities transactions for customers.

Link to CFR Part: https://www.ecfr.gov/cgi-bin/text-idx?SID=2240159c84d2d3b48422a5185ff69dea&mc=true&node=pt12.1.151&rgn=div5

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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