Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Preservation of Records and Reports of Certain Stabilizing Activities (Rules 17a-1 to 19h-1)

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Rule 17a-1 -- Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies and the Municipal Securities Rulemaking Board

Rule 17a-2 -- Recordkeeping Requirements Relating to Stabilizing Activities

Rule 17a-3 -- Records to Be Made by Certain Exchange Members, Brokers and Dealers [Effective until May 2, 2003.]

[Effective May 2, 2003.] Rule 17a-3 -- Records to Be Made by Certain Exchange Members, Brokers and Dealers



Rule 17a-4 -- Records to Be Preserved by Certain Exchange Members, Brokers and Dealers [Effective until May 2, 2003.]

[Effective May 2, 2003.] Rule 17a-4 -- Records to Be Preserved by Certain Exchange Members, Brokers and Dealers



Rule 17a-5 -- Reports to Be Made by Certain Brokers and Dealers

Rule 17a-6 -- Right of National Securities Exchange, National Securities Association, Registered Clearing Agency or the Municipal Securities Rulemaking Board to Destroy or Dispose of Documents

Rule 17a-7 -- Records of Non-Resident Brokers and Dealers

Rule 17a-8 -- Financial Recordkeeping and Reporting of Currency and Foreign Transactions

Rule 17a-9T -- Records to Be Made and Retained by Certain Exchange Members, Brokers and Dealers

Rule 17a-10 -- Report on Revenue and Expenses

Rule 17a-11 -- Notification Provisions for Brokers and Dealers

Rule 17a-12 -- Reports to Be Made by Certain OTC Derivatives Dealers

Rule 17a-13 -- Quarterly Security Counts to Be Made by Certain Exchange Members, Brokers and Dealers

Rule 17a-18 -- [Reserved]

Rule 17a-19 -- 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

Rule 17a-21 -- Reports of the Municipal Securities Rulemaking Board

Rule 17a-22 -- Supplemental Material of Registered Clearing Agencies

Rule 17a-23 -- [Reserved]

Rule 17a-25 -- Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers

Rule 17d-1 -- Examination for Compliance with Applicable Financial Responsibility Rules

Rule 17d-2 -- Program for Allocation of Regulatory Responsibility

Rule 17f-1 -- Requirements for Reporting and Inquiry with Respect to Missing, Lost, Counterfeit or Stolen Securities

Rule 17f-2 -- Fingerprinting of Securities Industry Personnel

Rule 17g-1 -- Application for Registration as a Nationally Recognized Statistical Rating Organization

Rule 17g-2 -- Records to be made and Retained by Nationally Recognized Statistical Rating Organizations

Rule 17g-3 -- Annual Financial Reports to be Furnished by Nationally Recognized Statistical Rating Organizations

Rule 17g-4 -- Prevention of Misuse of Material Nonpublic Information

Rule 17g-5 -- Conflicts of Interest

Rule 17g-6 -- Prohibited Acts and Practices

Rule 17h-1T -- Risk Assessment Recordkeeping Requirements for Associated Persons of Brokers and Dealers

Rule 17h-2T -- Risk Assessment Reporting Requirements for Brokers and Dealers

Supervised Investment Bank Holding Company Rules

Rule 17i-1 -- Definitions

Rule 17i-2 -- Notice of Intention to be Supervised by the Commission as an SIBHC

Rule 17i-3 -- Withdrawal of Supervision as an SIBHC

Rule 17i-4 -- Internal Risk Management Control System Requirements for SIBHCs

Rule 17i-5 -- Record Creation, Maintenance, and Access Requirements for SIBHCs

Rule 17i-6 -- Reporting Requirements for SIBHCs.

Rule 17i-7 -- Calculations of Allowable Capital and Risk Allowances or Alternative Capital Assessment

Rule 17i-8 -- Notification Requirements for SIBHCs

Rule 17Ab2-1 -- Registration of Clearing Agencies

Rule 17Ac2-1 -- Application for Registration of Transfer Agents

Rule 17Ac2-2 -- Annual Reporting Requirement for Registered Transfer Agents

Rule 17Ac3-1 -- Withdrawal from Registration with the Commission

Rule 17Ad-1 -- Definitions

Rule 17Ad-2 -- Turnaround, Processing, and Forwarding of Items

Rule 17Ad-3 -- Limitations on Expansion

Rule 17Ad-4 -- Applicability of Rules 17Ad-2, 17Ad-3 and 17Ad-6(a)(1) through (7) and (11)

Rule 17Ad-5 -- Written Inquiries and Requests

Rule 17Ad-6 -- Recordkeeping

Rule 17Ad-7 -- Record Retention

Rule 17Ad-8 -- Securities Position Listings

Rule 17Ad-9 -- Definitions

Rule 17Ad-10 -- Prompt Posting of Certificate Detail to Master Securityholder Files, Maintenance of Accurate Securityholder Files, Communications between Co-Transfer Agents and Recordkeeping Transfer Agents, Maintenance of Current Control Book, Retention of Certificate Detail and "Buy-In" of Physical Over-Issuance

Rule 17Ad-11 -- Reports Regarding Aged Record Differences, Buy-Ins and Failure to Post Certificate Detail to Master Securityholder and Subsidiary Files

Rule 17Ad-12 -- Safeguarding of Funds and Securities

Rule 17Ad-13 -- Annual Study and Evaluation of Internal Accounting Control

Rule 17Ad-14 -- Tender Agents

Rule 17Ad-15 -- Signature Guarantees

Rule 17Ad-16 -- Notice of Assumption or Termination of Transfer Agent Services

Rule 17Ad-17 -- Transfer Agents' Obligation to Search for Lost Securityholders

Rule 17Ad-18 -- Year 2000 Readiness Reports to Be Made by Certain Transfer Agents

Rule 17Ad-19 -- Requirements for Cancellation, Processing, Storage, Transportation, and Destruction or Ohter Dispositons of Securities Certificats

Rule 17Ad-20 -- Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries

Rule 17Ad-21T -- Operational Capability in a Year 2000 Environment

Rule 19a3-1 -- [Reserved]

Rule 19b-3 -- [Reserved]

Rule 19b-4 -- Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations

Rule 19b-5 -- Temporary Exemption from the Filing Requirements of Section 19(b) of the Act

Rule 19b-7 -- Filings with Respect to Proposed Rule Changes Submitted Pursuant to Section 19(b)(7) of the Act

Rule 19c-1 -- Governing Certain Off-Board Agency Transactions by Members of National Securities Exchanges

Rule 19c-3 -- Governing Off-Board Trading by Members of National Securities Exchanges

Rule 19c-4 -- Governing Certain Listing or Authorization Determinations by National Securities Exchanges and Associations

Rule 19c-5 -- Governing the Multiple Listing of Options on National Securities Exchanges

Rule 19d-1 -- Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership, Association, Participation, or Access to Services, and Summary Suspensions

Rule 19d-2 -- Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self-Regulatory Organization

Rule 19d-3 -- Applications for Review of Final Disciplinary Sanctions, Denials of Membership, Participation or Association, or Prohibitions or Limitations of Access to Services Imposed by Self-Regulatory Organizations

Rule 19d-4 -- Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.

Rule 19g2-1 -- Enforcement of Compliance by National Securities Exchanges and Registered Securities Associations with the Act and Rules and Regulations Thereunder

Rule 19h-1 -- Notice by a Self-Regulatory Organization of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of Any Person Subject to a Statutory Disqualification, and Applications to the Commission for Relief Therefrom

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