PART 12—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
- 12.1—Authority, purpose, and scope.
- 12.2—Definitions.
- 12.3—Recordkeeping.
- 12.4—Content and time of notification.
- 12.5—Notification by agreement; alternative forms and times of notification.
- 12.6—Fees.
- 12.7—Securities trading policies and procedures.
- 12.8—Waivers.
- 12.9—Settlement of securities transactions.
- 12.101—National bank disclosure of remuneration for mutual fund transactions.
- 12.102—National bank use of electronic communications as customer notifications.