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Timestamp: 2019-06-16 02:57:10
Document Index: 86972739

Matched Legal Cases: ['art 12', 'art 12', '§ 12', '§ 12', '§ 12', '§ 12', 'art 151', 'art 151', '§ 151', 'art 151', '§151']

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CFTC Rule 23.501: Swap confirmation.
(a) Confirmation. Subject to the compliance schedule in paragraph (c) of this section: (1) Each swap dealer and major swap participant entering into a swap transaction with a counterparty that is a swap dealer or major swap participant shall execute a confirmation for the swap transaction as soon ...
Part 12: Recordkeeping and Confirmation Requirements for Securities Transactions (12.1-9)
Comptroller OCC Part 12 National Banks ...
Securities Activities of Banks, Confirmations, Recordkeeping
OCC Rule 12.5: Notification by agreement; alternative forms and times of notification.
A national bank may elect to use the following notification procedures as an alternative to complying with § 12.4: (a) Notification by agreement. A national bank effecting a securities transaction for an account in which the bank does not exercise investment discretion shall give or send written ...
OCC Rule 12.6: Fees.
A national bank may charge a reasonable fee for providing notification pursuant to § 12.5(b), (c), and (e). A national bank may not charge a fee for providing notification pursuant to § 12.4 or § 12.5 (a) and (d). Comptroller OCC Rule 12.6 12 CFR 12.6 National Banks ...
Securities Activities of Banks, Confirmations, Fees to Customers
Part 151: Recordkeeping and Confirmation Requirements for Securities Transactions (151.10-151.150)
Comptroller OCC Part 151 Federal Savings Assoc. ...
OCC Rule 151.10: What does this part do?
This part establishes recordkeeping and confirmation requirements that apply when a Federal savings association (“you”) effects certain securities transactions for customers. Comptroller OCC Rule 151.10 12 CFR 151.10 Federal Savings Assoc. ...
OCC Rule 151.20: Must I comply with this part?
(a) General. Except as provided under paragraph (b) of this section, you must comply with this part when: (1) You effect a securities transaction for a customer. (2) You effect a transaction in government securities. (3) You effect a transaction in municipal securities and are not registered as a ...
Federal Savings Assoc., Municipal securities
OCC Rule 151.30: What requirements apply to all transactions?
You must effect all transactions, including transactions excepted under § 151.20, in a safe and sound manner. You must maintain effective systems of records and controls regarding your customers' securities transactions. These systems must clearly and accurately reflect all appropriate ...
OCC Rule 151.40: What definitions apply to this part?
Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool of receivables or other financial assets, either fixed or revolving, that by their terms convert into cash within a finite time period. Asset-backed security includes any rights or other assets ...
Part 151 -- Subpart A: Recordkeeping Requirements (151.50-60)
OCC Rule 151.50: What records must I maintain for securities transactions?
If you effect securities transactions for customers, you must maintain all of the following records for at least three years: (a) Chronological records. You must maintain an itemized daily record of each purchase and sale of securities in chronological order, including: (1) The account or customer ...
OCC Rule 151.60: How must I maintain my records?
(a) In general. The records required by §151.50 must clearly and accurately reflect the information required and provide an adequate basis for the audit of the information. Record maintenance may include the use of automated or electronic records provided the records are easily retrievable, readily ...