17 C.F.R. 240.17a-3 - [Effective 9/10/2019] Records to be made by certain exchange members, brokers and dealers

Cite as17 C.F.R. 240.17a-3
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209 practice notes
56 cases
  • European Connections & Tours, Inc. v. Gonzales, No. CIVA 1:06CV0426 CC.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • March 23, 2007
    ...real estate ... fraud, false statements or omissions, wrongful taking of property or bribery, forgery, counterfeiting, or extortion." 17 C.F.R. § 240.17a-3. The federal government also requires the military to acquire, review, and keep criminal history record information, including arrests,......
  • US v. Regan, No. S 88 Cr. 517 (RLC).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • May 18, 1989
    ...of confirmations of all purchases and sales of securities and copies of notices of all other debts and credits for securities.... 17 C.F.R. § 240.17a-3(a)(1), (3), (8). The term "purchase" included any contract to purchase securities, see 15 U.S.C. § 78c(13) ("The terms `buy' and `purchase'......
  • Thom v. New York Stock Exchange, No. 69 Civ. 4092
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • November 18, 1969
    ...290 U.S. 30, 54 S.Ct. 3, 78 L.Ed. 152 (1933). 3 See DeVeau v. Braisted, 363 U.S. 144, 147, 80 S.Ct. 1146, 4 L.Ed.2d 1109 (1960). 4 17 C.F.R. § 240.17a-3(a) (12) 5 N.Y.S.E. Rule 345.19. 6 Law of May 26, 1969, ch. 1071, § 1, 1969 Laws of N.Y. (codified at N.Y. General Business Law § 359-e(12)......
  • S.E.C. v. Pasternak, Civil Action No. 05-3905 (JAP).
    • United States
    • United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. District of New Jersey
    • June 24, 2008
    ...Knight's violations of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder. (Am. Cmplt. ¶¶ 82-85 (citing 15 U.S.C. § 78q(a); 17 C.F.R. § 240.17a-3)). Finally, the SEC alleges in Count V that Pasternak is jointly and severally liable, pursuant to the "control person liability" set fo......
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9 firm's commentaries
1 books & journal articles
  • FINANCIAL INSTITUTIONS FRAUD
    • United States
    • American Criminal Law Review Nbr. 58-3, July 2021
    • July 1, 2021
    ...(i) a signature card or grant of trading authority; (ii) each record required by the Securities Exchange Commission under 17 C.F.R. §§ 240.17a-3(a) (1)–(3), (5)–(9); (iii) a record of each remittance or transfer of funds, or of cur-rency, checks, credit of more than $10,000, investment secu......
144 provisions

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