Preservation of Records and Reports of Certain Stabilizing Activities (Rules 17a-1 to 17f-2)

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.

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-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.