12 C.F.R. § 551.30 What requirements apply to all transactions?
Title 12 - Banks and Banking
You must effect all transactions, including transactions excepted under §551.20, in a safe and sound manner. You must maintain effective systems of records and controls regarding your customers' securities transactions. These systems must clearly and accurately reflect all appropriate information and provide an adequate basis for an audit.
Title 12: Banks and Banking
PART 551—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
§ 551.30 What requirements apply to all transactions?
