SUBPART G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers (§249.617 to §249.638)
- 249.617—Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and § 240.17a-5, § 240.17a-10 and § 240.17
- 249.618—Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
- 249.619—Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
- 249.635—Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
- 249.637—Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
- 249.638—Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.