 Rule
17a-1 SRO recordkeeping rule- 17a-1
- 45 FR 79426 12.01.80
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Rule
17a-2 Stabilizing activities-
17a-2
- 48 FR 41378 9.15.83
62 FR 520, 544 1.03.97
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Rule
17a-3 Records made by broker-dealers-
17a-3
- 13 FR 8212 12.22.48
52 FR 22299 1987
53 FR 16406 1988
59 FR 5945 2.09.94
63 FR 59362, 59401 11.03.98
63 FR 70844, 70919 12.22.98
66 FR 55818, 55838, 55840 11.02.01
67 FR 58284, 58299 9.13.02
68 FR 15354 3.31.03
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Rule
17a-4 Records preserved by broker-dealers-
17a-4
- 13 FR 8212 12.22.48
62 FR 6469, 6473 2.12.97
63 FR 59362, 59401 11.03.98
63 FR 70844, 70919 12.22.98
64 FR 13065, 13066 3.17.99
65 FR 13235 3.13.00
66 FR 55818, 55840, 55841 11.02.01
67 FR 58284, 58299 9.13.02
68 FR 15354 3.31.03
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Rule
17a-5 Reports by broker-dealers-
17a-5
- 29 FR 7381 6.06.64
62 FR 520, 544 1.03.97
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Rule
17a-6 SRO disposal of documents-
17a-6
- 40 FR 59713 12.30.75
41 FR 5275 2.05.76
41 FR 12638 3.26.76
42 FR 23787 5.10.77
44 FR 1975 1.09.79
45 FR 39842 6.12.80
46 FR 13206 2.20.81
46 FR 35635 7.10.81
57 FR 45294 10.01.92
58 FR 37657 7.13.93
58 FR 45839 8.31.93
59 FR 5945 2.09.94
62 FR 42664 8.08.97
63 FR 37668, 37673 7.13.98
63 FR 59362, 59401 11.03.98
64 FR 39918 7.23.99
67 FR 58284, 58300 9.13.02
68 FR 46446, 46452 8.06.03
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Rule
17a-7 Records of non-resident broker-dealers SEC_CODE_REF_0090001192884 -
17a-7
- 21 FR 5524 7.24.56
59 FR 5945 2.09.94
67 FR 58284, 58300 9.13.02
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Rule
17a-8 Currency and foreign transactions-
17a-8
- 46 FR 61455 12.17.81
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Rule
17a-9T Year 2000-
17a-9T
- 64 FR 42012, 42029 8.03.99
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Rule
17a-10 Report on revenue and expenses-
17a-10
- 33 FR 10390 7.20.68
35 FR 3804 2.27.70
35 FR 7644 5.16.70
37 FR 13615 7.12.72
40 FR 59717 12.30.75
42 FR 23789 5.10.77
46 FR 60193 12.09.81
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Rule
17a-11 Notification provisions-
17a-11
- 40 FR 59717 12.30.75
41 FR 5277, 5279 2.05.76
42 FR 23789 5.10.77
47 FR 3520 1.25.82
58 FR 37657 7.13.93
59 FR 5945 2.09.94
63 FR 59362, 59401 11.03.98
67 FR 58284, 58300 9.13.02
69 FR 34428, 24472 6.21.04
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Rule
17a-12 OTC derivatives dealers- 17a-12
- 63 FR 59362, 59401 11.03.98
69 FR 34472, 34494 6.21.04
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Rule
17a-13 Quarterly security counts- 17a-13
- 36 FR 21179 11.04.71
42 FR 23790 5.10.77
52 FR 22299 6.11.87
67 FR 58284, 58300 9.13.02
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Rule
17a-19 SRO Form X-17A-19 report |
Rule
17a-21 Municipal Securities Rulemaking Board- 17a-21
- 41 FR 36200 8.27.76
59 FR 66701 12.28.94
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Rule
17a-22 Registered clearing agencies |
Rule
17a-25 Securities transaction information- 17a-25
- 66 FR 35836, 35843 7.09.01
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