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


General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





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


    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.]


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


    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



Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu