Recordkeeping.

CFR · 2024-01-01 · US · Title 12

(a) (1) (i) Account or customer name for which each transaction was effected; (ii) Description of the securities; (iii) Unit and aggregate purchase or sale price; (iv) Trade date; and (v) Name or other designation of the broker/dealer or other person from whom the securities were purchased or to whom the securities were sold; (2) (i) Purchases and sales of securities; (ii) Receipts and deliveries of securities; (iii) Receipts and disbursements of cash; and (iv) Other debits and credits pertaining to transactions in securities; (3) (i) The accounts for which the transaction was effected; (ii) Whether the transaction was a market order, limit order, or subject to special instructions; (iii) The time the order was received by the trader or other FDIC-supervised institution employee responsible for effecting the transaction; (iv) The time the order was placed with the broker/dealer, or if there was no broker/dealer, time the order was executed or canceled; (v) The price at which the order was executed; and (vi) The broker/dealer utilized; (4) (5) (b)

official document · source cfr-2024 · id 12:§ 344.4