Code of Federal Regulations · Subpart

Subpart A — Rules And Regulations Under The Securities Exchange Act Of 1934

17 C.F.R. pt. 240, subpt. A

• § 240.31 Section 31 Transaction Fees
• § 240.0-1 -1 Definitions
• § 240.0-10 -10 Small Entities Under The Securities Exchange Act For Purposes Of The Regulatory Flexibility Act
• § 240.0-11 -11 Filing Fees For Certain Acquisitions, Dispositions And Similar Transactions
• § 240.0-12 -12 Commission Procedures For Filing Applications For Orders For Exemptive Relief Under Section 36 Of The Exchange Act
• § 240.0-13 -13 Commission Procedures For Filing Applications To Request A Substituted Compliance Or Listed Jurisdiction Order Under The Exchange Act
• § 240.0-2 -2 Business Hours Of The Commission
• § 240.0-3 -3 Filing Of Material With The Commission
• § 240.0-4 -4 Nondisclosure Of Information Obtained In Examinations And Investigations
• § 240.0-5 -5 Reference To Rule By Obsolete Designation
• § 240.0-6 -6 Disclosure Detrimental To The National Defense Or Foreign Policy
• § 240.0-8 -8 Application Of Rules To Registered Broker-dealers
• § 240.0-9 -9 Payment Of Filing Fees
• § 240.10A-1 a-1 Notice To The Commission Pursuant To Section 10a Of The Act
• § 240.10A-2 a-2 Auditor Independence
• § 240.10A-3 a-3 Listing Standards Relating To Audit Committees
• § 240.10C-1 c-1 Listing Standards Relating To Compensation Committees
• § 240.10D-1 d-1 Listing Standards Relating To Recovery Of Erroneously Awarded Compensation
• § 240.10a-1 - 240.10a-2 §§ 240.10a-1-240.10a-2 [reserved]
• § 240.10b-1 b-1 Prohibition Of Use Of Manipulative Or Deceptive Devices Or Contrivances With Respect To Certain Securities Exempted From Registration
• § 240.10b-10 b-10 Confirmation Of Transactions
• § 240.10b-13 b-13 [reserved]
• § 240.10b-16 b-16 Disclosure Of Credit Terms In Margin Transactions
• § 240.10b-17 b-17 Untimely Announcements Of Record Dates
• § 240.10b-18 b-18 Purchases Of Certain Equity Securities By The Issuer And Others
• § 240.10b-2 b-2 [reserved]
• § 240.10b-21 b-21 Deception In Connection With A Seller's Ability Or Intent To Deliver Securities On The Date Delivery Is Due
• § 240.10b-3 b-3 Employment Of Manipulative And Deceptive Devices By Brokers Or Dealers
• § 240.10b-4 b-4 [reserved]
• § 240.10b-5 b-5 Employment Of Manipulative And Deceptive Devices
• § 240.10b-6 - 240.10b-8 §§ 240.10b-6-240.10b-8 [reserved]
• § 240.10b-9 b-9 Prohibited Representations In Connection With Certain Offerings
• § 240.10b5-1 b5-1 Trading “on The Basis Of” Material Nonpublic Information In Insider Trading Cases
• § 240.10b5-2 b5-2 Duties Of Trust Or Confidence In Misappropriation Insider Trading Cases
• § 240.10c-1a c-1a Securities Lending Transparency
• § 240.11a-1 a-1 Regulation Of Floor Trading
• § 240.11a1-1(T) a1-1(t) Transactions Yielding Priority, Parity, And Precedence
• § 240.11a1-2 a1-2 Transactions For Certain Accounts Of Associated Persons Of Members
• § 240.11a1-3(T) a1-3(t) Bona Fide Hedge Transactions In Certain Securities
• § 240.11a1-4(T) a1-4(t) Bond Transactions On National Securities Exchanges
• § 240.11a1-5 a1-5 Transactions By Registered Competitive Market Makers And Registered Equity Market Makers
• § 240.11a1-6 a1-6 Transactions For Certain Accounts Of Otc Derivatives Dealers
• § 240.11a2-2(T) a2-2(t) Transactions Effected By Exchange Members Through Other Members
• § 240.11b-1 b-1 Regulation Of Specialists
• § 240.11d1-1 d1-1 Exemption Of Certain Securities From Section 11(d)(1)
• § 240.11d1-2 d1-2 Exemption From Section 11(d)(1) For Certain Investment Company Securities Held By Broker-dealers As Collateral In Margin Accounts
• § 240.11d2-1 d2-1 Exemption From Section 11(d)(2) For Certain Broker-dealers Effecting Transactions For Customers Security Futures Products In Futures Accounts
• § 240.12a-10 a-10 Exemption Of Security-based Swaps From Section 12(a) Of The Act
• § 240.12a-11 a-11 Exemption Of Security-based Swaps Sold In Reliance On Securities Act Of 1933 Rule 240 (§ 230.240) From Section 12(a) Of The Act
• § 240.12a-4 a-4 Exemption Of Certain Warrants From Section 12(a)
• § 240.12a-5 a-5 Temporary Exemption Of Substituted Or Additional Securities
• § 240.12a-6 a-6 Exemption Of Securities Underlying Certain Options From Section 12(a)
• § 240.12a-7 a-7 Exemption Of Stock Contained In Standardized Market Baskets From Section 12(a) Of The Act
• § 240.12a-8 a-8 Exemption Of Depositary Shares
• § 240.12a-9 a-9 Exemption Of Standardized Options From Section 12(a) Of The Act
• § 240.12b-1 b-1 Scope Of Regulation
• § 240.12b-10 b-10 Requirements As To Proper Form
• § 240.12b-11 b-11 Number Of Copies; Signatures; Binding
• § 240.12b-12 b-12 Requirements As To Paper, Printing And Language
• § 240.12b-13 b-13 Preparation Of Statement Or Report
• § 240.12b-14 b-14 Riders; Inserts
• § 240.12b-15 b-15 Amendments
• § 240.12b-2 b-2 Definitions
• § 240.12b-20 b-20 Additional Information
• § 240.12b-21 b-21 Information Unknown Or Not Available
• § 240.12b-22 b-22 Disclaimer Of Control
• § 240.12b-23 b-23 Incorporation By Reference
• § 240.12b-24 b-24 [reserved]
• § 240.12b-25 b-25 Notification Of Inability To Timely File All Or Any Required Portion Of A Form 10-k, 20-f, 11-k, N-cen , N-csr, 10-q, Or 10-d
• § 240.12b-3 b-3 Title Of Securities
• § 240.12b-30 b-30 Additional Exhibits
• § 240.12b-31 b-31 Omission Of Substantially Identical Documents
• § 240.12b-32 b-32 [reserved]
• § 240.12b-33 b-33 Annual Reports To Other Federal Agencies
• § 240.12b-35 b-35 [reserved]
• § 240.12b-36 b-36 Use Of Financial Statements Filed Under Other Acts
• § 240.12b-37 b-37 Satisfaction Of Filing Requirements
• § 240.12b-4 b-4 Supplemental Information
• § 240.12b-5 b-5 Determination Of Affiliates Of Banks
• § 240.12b-6 b-6 When Securities Are Deemed To Be Registered
• § 240.12b-7 b-7 [reserved]
• § 240.12d1-1 d1-1 Registration Effective As To Class Or Series
• § 240.12d1-2 d1-2 Effectiveness Of Registration
• § 240.12d1-3 d1-3 Requirements As To Certification
• § 240.12d1-4 d1-4 Date Of Receipt Of Certification By Commission
• § 240.12d1-5 d1-5 Operation Of Certification On Subsequent Amendments
• § 240.12d1-6 d1-6 Withdrawal Of Certification
• § 240.12d2-1 d2-1 Suspension Of Trading
• § 240.12d2-2 d2-2 Removal From Listing And Registration
• § 240.12f-1 f-1 Applications For Permission To Reinstate Unlisted Trading Privileges
• § 240.12f-2 f-2 Extending Unlisted Trading Privileges To A Security That Is The Subject Of An Initial Public Offering
• § 240.12f-3 f-3 Termination Or Suspension Of Unlisted Trading Privileges
• § 240.12f-4 f-4 Exemption Of Securities Admitted To Unlisted Trading Privileges From Sections 13, 14 And 16
• § 240.12f-5 f-5 Exchange Rules For Securities To Which Unlisted Trading Privileges Are Extended
• § 240.12f-6 f-6 [reserved]
• § 240.12g-1 g-1 Registration Of Securities; Exemption From Section 12(g)
• § 240.12g-2 g-2 Securities Deemed To Be Registered Pursuant To Section 12(g)(1) Upon Termination Of Exemption Pursuant To Section 12(g)(2)(a) Or (b)
• § 240.12g-3 g-3 Registration Of Securities Of Successor Issuers Under Section 12(b) Or 12(g)
• § 240.12g-4 g-4 Certifications Of Termination Of Registration Under Section 12(g)
• § 240.12g-6 g-6 Exemption For Securities Issued Pursuant To Section 4(a)(6) Of The Securities Act Of 1933 Or Regulation Crowdfunding
• § 240.12g3-2 g3-2 Exemptions For American Depositary Receipts And Certain Foreign Securities
• § 240.12g5-1 g5-1 Definition Of Securities “held Of Record”
• § 240.12g5-2 g5-2 Definition Of “total Assets”
• § 240.12h-1 h-1 Exemptions From Registration Under Section 12(g) Of The Act
• § 240.12h-2 h-2 [reserved]
• § 240.12h-3 h-3 Suspension Of Duty To File Reports Under Section 15(d)
• § 240.12h-4 h-4 Exemption From Duty To File Reports Under Section 15(d)
• § 240.12h-5 h-5 Exemption For Subsidiary Issuers Of Guaranteed Securities And Subsidiary Guarantors
• § 240.12h-6 h-6 Certification By A Foreign Private Issuer Regarding The Termination Of Registration Of A Class Of Securities Under Section 12(g) Or The Duty To File Reports Under Section 13(a) Or Section 15(d)
• § 240.12h-7 h-7 Exemption For Issuers Of Securities That Are Subject To Insurance Regulation
• § 240.13a-1 a-1 Requirements Of Annual Reports
• § 240.13a-10 a-10 Transition Reports
• § 240.13a-11 a-11 Current Reports On Form 8-k (§ 249.308 Of This Chapter)
• § 240.13a-13 a-13 Quarterly Reports On Form 10-q (§ 249.308a Of This Chapter)
• § 240.13a-14 a-14 Certification Of Disclosure In Annual And Quarterly Reports
• § 240.13a-15 a-15 Controls And Procedures
• § 240.13a-16 a-16 Reports Of Foreign Private Issuers On Form 6-k (17 Cfr 249.306)
• § 240.13a-17 a-17 Reports Of Asset-backed Issuers On Form 10-d (§ 249.312 Of This Chapter)
• § 240.13a-18 a-18 Compliance With Servicing Criteria For Asset-backed Securities
• § 240.13a-19 a-19 Reports By Shell Companies On Form 20-f
• § 240.13a-2 a-2 [reserved]
• § 240.13a-20 a-20 Plain English Presentation Of Specified Information
• § 240.13a-21 a-21 [reserved]
• § 240.13a-3 a-3 Reporting By Form 40-f Registrant
• § 240.13b2-1 b2-1 Falsification Of Accounting Records
• § 240.13b2-2 b2-2 Representations And Conduct In Connection With The Preparation Of Required Reports And Documents
• § 240.13d-1 d-1 Filing Of Schedules 13d And 13g
• § 240.13d-101 d-101 Schedule 13d—Information To Be Included In Statements Filed Pursuant To § 240.13d-1(a) And Amendments Thereto Filed Pursuant To § 240.13d-2(a)
• § 240.13d-102 d-102 Schedule 13g—Information To Be Included In Statements Filed Pursuant To § 240.13d-1(b), (c), And (d) And Amendments Thereto Filed Pursuant To § 240.13d-2
• § 240.13d-2 d-2 Filing Of Amendments To Schedules 13d Or 13g
• § 240.13d-3 d-3 Determination Of Beneficial Owner
• § 240.13d-4 d-4 Disclaimer Of Beneficial Ownership
• § 240.13d-5 d-5 Acquisition Of Beneficial Ownership
• § 240.13d-6 d-6 Exemption Of Certain Acquisitions
• § 240.13d-7 d-7 [reserved]
• § 240.13e-1 e-1 Purchase Of Securities By The Issuer During A Third-party Tender Offer
• § 240.13e-100 e-100 Schedule 13e-3, Transaction Statement Under Section 13(e) Of The Securities Exchange Act Of 1934 And Rule 13e-3 (§ 240.13e-3) Thereunder
• § 240.13e-101 e-101 [reserved]
• § 240.13e-102 e-102 Schedule 13e-4f. Tender Offer Statement Pursuant To Section 13(e) (1) Of The Securities Exchange Act Of 1934 And § 240.13e-4 Thereunder
• § 240.13e-2 e-2 [reserved]
• § 240.13e-3 e-3 Going Private Transactions By Certain Issuers Or Their Affiliates
• § 240.13e-4 e-4 Tender Offers By Issuers
• § 240.13f-1 f-1 Reporting By Institutional Investment Managers Of Information With Respect To Accounts Over Which They Exercise Investment Discretion
• § 240.13f-2 f-2 Reporting By Institutional Investment Managers Regarding Gross Short Position And Activity Information
• § 240.13h-1 h-1 Large Trader Reporting
• § 240.13k-1 k-1 Foreign Bank Exemption From The Insider Lending Prohibition Under Section 13(k)
• § 240.13n-1 n-1 Registration Of Security-based Swap Data Repository
• § 240.13n-10 n-10 Disclosure Requirements Of Security-based Swap Data Repository
• § 240.13n-11 n-11 Chief Compliance Officer Of Security-based Swap Data Repository; Compliance Reports And Financial Reports
• § 240.13n-12 n-12 Exemption From Requirements Governing Security-based Swap Data Repositories For Certain Non-u.s. Persons
• § 240.13n-2 n-2 Withdrawal From Registration; Revocation And Cancellation
• § 240.13n-3 n-3 Registration Of Successor To Registered Security-based Swap Data Repository
• § 240.13n-4 n-4 Duties And Core Principles Of Security-based Swap Data Repository
• § 240.13n-5 n-5 Data Collection And Maintenance
• § 240.13n-6 n-6 Automated Systems
• § 240.13n-7 n-7 Recordkeeping Of Security-based Swap Data Repository
• § 240.13n-8 n-8 Reports To Be Provided To The Commission
• § 240.13n-9 n-9 Privacy Requirements Of Security-based Swap Data Repository
• § 240.13p-1 p-1 Requirement Of Report Regarding Disclosure Of Registrant's Supply Chain Information Regarding Conflict Minerals
• § 240.13q-1 q-1 Disclosure Of Payments Made By Resource Extraction Issuers
• § 240.14Ad-1 ad-1 Report Of Proxy Voting Record
• § 240.14a-1 a-1 Definitions
• § 240.14a-10 a-10 Prohibition Of Certain Solicitations
• § 240.14a-101 a-101 Schedule 14a. Information Required In Proxy Statement
• § 240.14a-102 a-102 [reserved]
• § 240.14a-103 a-103 Notice Of Exempt Solicitation. Information To Be Included In Statements Submitted By Or On Behalf Of A Person Pursuant To § 240.14a-6(g)
• § 240.14a-104 a-104 Notice Of Exempt Preliminary Roll-up Communication. Information Regarding Ownership Interests And Any Potential Conflicts Of Interest To Be Included In Statements Submitted By Or On Behalf Of A Person Pursuant To § 240.14a-2(b)(4) And § 240.14a-6(n)
• § 240.14a-12 a-12 Solicitation Before Furnishing A Proxy Statement
• § 240.14a-13 a-13 Obligation Of Registrants In Communicating With Beneficial Owners
• § 240.14a-14 a-14 Modified Or Superseded Documents
• § 240.14a-15 a-15 Differential And Contingent Compensation In Connection With Roll-up Transactions
• § 240.14a-16 a-16 Internet Availability Of Proxy Materials
• § 240.14a-17 a-17 Electronic Shareholder Forums
• § 240.14a-18 a-18 Disclosure Regarding Nominating Shareholders And Nominees Submitted For Inclusion In A Registrant's Proxy Materials Pursuant To Applicable State Or Foreign Law, Or A Registrant's Governing Documents
• § 240.14a-19 a-19 Solicitation Of Proxies In Support Of Director Nominees Other Than The Registrant's Nominees
• § 240.14a-2 a-2 Solicitations To Which § 240.14a-3 To § 240.14a-15 Apply
• § 240.14a-20 a-20 Shareholder Approval Of Executive Compensation Of Tarp Recipients
• § 240.14a-21 a-21 Shareholder Approval Of Executive Compensation, Frequency Of Votes For Approval Of Executive Compensation And Shareholder Approval Of Golden Parachute Compensation
• § 240.14a-3 a-3 Information To Be Furnished To Security Holders
• § 240.14a-4 a-4 Requirements As To Proxy
• § 240.14a-5 a-5 Presentation Of Information In Proxy Statement
• § 240.14a-6 a-6 Filing Requirements
• § 240.14a-7 a-7 Obligations Of Registrants To Provide A List Of, Or Mail Soliciting Material To, Security Holders
• § 240.14a-8 a-8 Shareholder Proposals
• § 240.14a-9 a-9 False Or Misleading Statements
• § 240.14b-1 b-1 Obligation Of Registered Brokers And Dealers In Connection With The Prompt Forwarding Of Certain Communications To Beneficial Owners
• § 240.14b-2 b-2 Obligation Of Banks, Associations And Other Entities That Exercise Fiduciary Powers In Connection With The Prompt Forwarding Of Certain Communications To Beneficial Owners
• § 240.14c-1 c-1 Definitions
• § 240.14c-101 c-101 Schedule 14c. Information Required In Information Statement
• § 240.14c-2 c-2 Distribution Of Information Statement
• § 240.14c-3 c-3 Annual Report To Be Furnished Security Holders
• § 240.14c-4 c-4 Presentation Of Information In Information Statement
• § 240.14c-5 c-5 Filing Requirements
• § 240.14c-6 c-6 False Or Misleading Statements
• § 240.14c-7 c-7 Providing Copies Of Material For Certain Beneficial Owners
• § 240.14d-1 d-1 Scope Of And Definitions Applicable To Regulations 14d And 14e
• § 240.14d-10 d-10 Equal Treatment Of Security Holders
• § 240.14d-100 d-100 Schedule To. Tender Offer Statement Under Section 14(d)(1) Or 13(e)(1) Of The Securities Exchange Act Of 1934
• § 240.14d-101 d-101 Schedule 14d-9
• § 240.14d-102 d-102 Schedule 14d-1f. Tender Offer Statement Pursuant To Rule 14d-1(b) Under The Securities Exchange Act Of 1934
• § 240.14d-103 d-103 Schedule 14d-9f. Solicitation/recommendation Statement Pursuant To Section 14(d)(4) Of The Securities Exchange Act Of 1934 And Rules 14d-1(b) And 14e-2(c) Thereunder
• § 240.14d-11 d-11 Subsequent Offering Period
• § 240.14d-2 d-2 Commencement Of A Tender Offer
• § 240.14d-3 d-3 Filing And Transmission Of Tender Offer Statement
• § 240.14d-4 d-4 Dissemination Of Tender Offers To Security Holders
• § 240.14d-5 d-5 Dissemination Of Certain Tender Offers By The Use Of Stockholder Lists And Security Position Listings
• § 240.14d-6 d-6 Disclosure Of Tender Offer Information To Security Holders
• § 240.14d-7 d-7 Additional Withdrawal Rights
• § 240.14d-8 d-8 Exemption From Statutory Pro Rata Requirements
• § 240.14d-9 d-9 Recommendation Or Solicitation By The Subject Company And Others
• § 240.14e-1 e-1 Unlawful Tender Offer Practices
• § 240.14e-2 e-2 Position Of Subject Company With Respect To A Tender Offer
• § 240.14e-3 e-3 Transactions In Securities On The Basis Of Material, Nonpublic Information In The Context Of Tender Offers
• § 240.14e-4 e-4 Prohibited Transactions In Connection With Partial Tender Offers
• § 240.14e-5 e-5 Prohibiting Purchases Outside Of A Tender Offer
• § 240.14e-6 e-6 Repurchase Offers By Certain Closed-end Registered Investment Companies
• § 240.14e-7 e-7 Unlawful Tender Offer Practices In Connection With Roll-ups
• § 240.14e-8 e-8 Prohibited Conduct In Connection With Pre-commencement Communications
• § 240.14f-1 f-1 Change In Majority Of Directors
• § 240.14n-1 n-1 Filing Of Schedule 14n
• § 240.14n-101 n-101 Schedule 14n—Information To Be Included In Statements Filed Pursuant To § 240.14n-1 And Amendments Thereto Filed Pursuant To § 240.14n-2
• § 240.14n-2 n-2 Filing Of Amendments To Schedule 14n
• § 240.14n-3 n-3 Dissemination
• § 240.15Al2-1 al2-1 [reserved]
• § 240.15Ba1-1 ba1-1 Definitions
• § 240.15Ba1-2 ba1-2 Registration Of Municipal Advisors And Information Regarding Certain Natural Persons
• § 240.15Ba1-3 ba1-3 Exemption Of Certain Natural Persons From Registration Under Section 15b(a)(1)(b) Of The Act
• § 240.15Ba1-4 ba1-4 Withdrawal From Municipal Advisor Registration
• § 240.15Ba1-5 ba1-5 Amendments To Form Ma And Form Ma-i
• § 240.15Ba1-6 ba1-6 Consent To Service Of Process To Be Filed By Non-resident Municipal Advisors; Legal Opinion To Be Provided By Non-resident Municipal Advisors
• § 240.15Ba1-7 ba1-7 Registration Of Successor To Municipal Advisor
• § 240.15Ba1-8 ba1-8 Books And Records To Be Made And Maintained By Municipal Advisors
• § 240.15Ba2-1 ba2-1 Application For Registration Of Municipal Securities Dealers Which Are Banks Or Separately Identifiable Departments Or Divisions Of Banks
• § 240.15Ba2-2 ba2-2 Application For Registration Of Non-bank Municipal Securities Dealers Whose Business Is Exclusively Intrastate
• § 240.15Ba2-4 ba2-4 Registration Of Successor To Registered Municipal Securities Dealer
• § 240.15Ba2-5 ba2-5 Registration Of Fiduciaries
• § 240.15Ba2-6 ba2-6 [reserved]
• § 240.15Bc3-1 bc3-1 Withdrawal From Registration Of Municipal Securities Dealers
• § 240.15Bc4-1 bc4-1 Persons Associated With Municipal Advisors
• § 240.15Bc7-1 bc7-1 Availability Of Examination Reports
• § 240.15Ca1-1 ca1-1 Notice Of Government Securities Broker-dealer Activities
• § 240.15Ca2-1 ca2-1 Application For Registration As A Government Securities Broker Or Government Securities Dealer
• § 240.15Ca2-2 ca2-2 [reserved]
• § 240.15Ca2-3 ca2-3 Registration Of Successor To Registered Government Securities Broker Or Government Securities Dealer
• § 240.15Ca2-4 ca2-4 Registration Of Fiduciaries
• § 240.15Ca2-5 ca2-5 Consent To Service Of Process To Be Furnished By Non-resident Government Securities Brokers Or Government Securities Dealers And By Non-resident General Partners Or Managing Agents Of Government Securities Brokers Or Government Securities Dealers
• § 240.15Cc1-1 cc1-1 Withdrawal From Registration Of Government Securities Brokers Or Government Securities Dealers
• § 240.15Fb1-1 fb1-1. Signatures
• § 240.15Fb2-1 fb2-1 Registration Of Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.15Fb2-3 fb2-3 Amendments To Form Sbse, Form Sbse-a, And Form Sbse-bd
• § 240.15Fb2-4 fb2-4 Nonresident Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.15Fb2-5 fb2-5 Registration Of Successor To Registered Security-based Swap Dealer Or A Major Security-based Swap Participant
• § 240.15Fb2-6 fb2-6 Registration Of Fiduciaries
• § 240.15Fb3-1 fb3-1 Duration Of Registration
• § 240.15Fb3-2 fb3-2 Withdrawal From Registration
• § 240.15Fb3-3 fb3-3 Cancellation And Revocation Of Registration
• § 240.15Fb6-1 fb6-1 [reserved]
• § 240.15Fb6-2 fb6-2 Associated Person Certification
• § 240.15Fh-1 fh-1 Scope And Reliance On Representations
• § 240.15Fh-2 fh-2 Definitions
• § 240.15Fh-3 fh-3 Business Conduct Requirements
• § 240.15Fh-5 fh-5 Special Requirements For Security-based Swap Dealers And Major Security-based Swap Participants Acting As Counterparties To Special Entities
• § 240.15Fh-6 fh-6 Political Contributions By Certain Security-based Swap Dealers
• § 240.15Fi-1 fi-1 Definitions
• § 240.15Fi-2 fi-2 Acknowledgment And Verification Of Security-based Swap Transactions
• § 240.15Fi-4 fi-4 Security-based Swap Portfolio Compression
• § 240.15Fi-5 fi-5 Security-based Swap Trading Relationship Documentation
• § 240.15Ga-1 ga-1 Repurchases And Replacements Relating To Asset-backed Securities
• § 240.15Ga-2 ga-2 Findings And Conclusions Of Third-party Due Diligence Reports
• § 240.15a-1 a-1 Securities Activities Of Otc Derivatives Dealers
• § 240.15a-10 a-10 Exemption Of Certain Brokers Or Dealers With Respect To Security Futures Products
• § 240.15a-11 a-11 [reserved]
• § 240.15a-12 a-12 Exemption For Certain Security-based Swap Execution Facilities From Certain Broker Requirements
• § 240.15a-2 a-2 Exemption Of Certain Securities Of Cooperative Apartment Houses From Section 15(a)
• § 240.15a-3 a-3 [reserved]
• § 240.15a-4 a-4 Forty-five Day Exemption From Registration For Certain Members Of National Securities Exchanges
• § 240.15a-5 a-5 Exemption Of Certain Nonbank Lenders
• § 240.15a-6 a-6 Exemption Of Certain Foreign Brokers Or Dealers
• § 240.15a-7 - 240.15a-9 §§ 240.15a-7-240.15a-9 [reserved]
• § 240.15aa-1 aa-1 Registration Of A National Or An Affiliated Securities Association
• § 240.15aa-2 aa-2 Amendments And Supplements To Registration Statements Of Securities Associations
• § 240.15b1-1 b1-1 Application For Registration Of Brokers Or Dealers
• § 240.15b1-2 b1-2 [reserved]
• § 240.15b1-3 b1-3 Registration Of Successor To Registered Broker Or Dealer
• § 240.15b1-4 b1-4 Registration Of Fiduciaries
• § 240.15b1-5 b1-5 Consent To Service Of Process To Be Furnished By Nonresident Brokers Or Dealers And By Nonresident General Partners Or Managing Agents Of Brokers Or Dealers
• § 240.15b1-6 b1-6 Notice To Brokers And Dealers Of Requirements Regarding Lost Securityholders And Unresponsive Payees
• § 240.15b11-1 b11-1 Registration By Notice Of Security Futures Product Broker-dealers
• § 240.15b2-2 b2-2 Inspection Of Newly Registered Brokers And Dealers
• § 240.15b3-1 b3-1 Amendments To Application
• § 240.15b5-1 b5-1 Extension Of Registration For Purposes Of The Securities Investor Protection Act Of 1970 After Cancellation Or Revocation
• § 240.15b6-1 b6-1 Withdrawal From Registration
• § 240.15b7-1 b7-1 Compliance With Qualification Requirements Of Self-regulatory Organizations
• § 240.15b7-3T b7-3t Operational Capability In A Year 2000 Environment
• § 240.15b9-1 b9-1 Exemption For Certain Exchange Members
• § 240.15b9-2 b9-2 Exemption From Sro Membership For Otc Derivatives Dealers
• § 240.15c1-1 c1-1 Definitions
• § 240.15c1-2 c1-2 Fraud And Misrepresentation
• § 240.15c1-3 c1-3 Misrepresentation By Brokers, Dealers And Municipal Securities Dealers As To Registration
• § 240.15c1-4 c1-4 [reserved]
• § 240.15c1-5 c1-5 Disclosure Of Control
• § 240.15c1-6 c1-6 Disclosure Of Interest In Distribution
• § 240.15c1-7 c1-7 Discretionary Accounts
• § 240.15c1-8 c1-8 Sales At The Market
• § 240.15c1-9 c1-9 Use Of Pro Forma Balance Sheets
• § 240.15c2-1 c2-1 Hypothecation Of Customers' Securities
• § 240.15c2-11 c2-11 Publication Or Submission Of Quotations Without Specified Information
• § 240.15c2-12 c2-12 Municipal Securities Disclosure
• § 240.15c2-3 c2-3 [reserved]
• § 240.15c2-4 c2-4 Transmission Or Maintenance Of Payments Received In Connection With Underwritings
• § 240.15c2-5 c2-5 Disclosure And Other Requirements When Extending Or Arranging Credit In Certain Transactions
• § 240.15c2-6 c2-6 [reserved]
• § 240.15c2-7 c2-7 Identification Of Quotations
• § 240.15c2-8 c2-8 Delivery Of Prospectus
• § 240.15c3-1 c3-1 Net Capital Requirements For Brokers Or Dealers
• § 240.15c3-1a c3-1a Options (appendix A To 17 Cfr 240.15c3-1)
• § 240.15c3-1b c3-1b Adjustments To Net Worth And Aggregate Indebtedness For Certain Commodities Transactions (appendix B To 17 Cfr 240.15c3-1)
• § 240.15c3-1c c3-1c Consolidated Computations Of Net Capital And Aggregate Indebtedness For Certain Subsidiaries And Affiliates (appendix C To 17 Cfr 240.15c3-1)
• § 240.15c3-1d c3-1d Satisfactory Subordination Agreements (appendix D To 17 Cfr 240.15c3-1)
• § 240.15c3-1e c3-1e Deductions For Market And Credit Risk For Certain Brokers Or Dealers (appendix E To 17 Cfr 240.15c3-1)
• § 240.15c3-1f c3-1f Optional Market And Credit Risk Requirements For Otc Derivatives Dealers (appendix F To 17 Cfr 240.15c3-1)
• § 240.15c3-1g c3-1g Conditions For Ultimate Holding Companies Of Certain Brokers Or Dealers (appendix G To 17 Cfr 240.15c3-1)
• § 240.15c3-2 c3-2 [reserved]
• § 240.15c3-3 c3-3 Customer Protection—Reserves And Custody Of Securities
• § 240.15c3-3a c3-3a Exhibit A—Formula For Determination Of Customer And Pab Account Reserve Requirements Of Brokers And Dealers Under § 240.15c3-3
• § 240.15c3-3b c3-3b Exhibit B—Formula For Determination Of Security-based Swap Customer Reserve Requirements Of Brokers And Dealers Under § 240.15c3-3
• § 240.15c3-4 c3-4 Internal Risk Management Control Systems For Otc Derivatives Dealers
• § 240.15c3-5 c3-5 Risk Management Controls For Brokers Or Dealers With Market Access
• § 240.15c6-1 c6-1 Settlement Cycle
• § 240.15c6-2 c6-2 Same-day Allocation, Confirmation, And Affirmation
• § 240.15d-1 d-1 Requirement Of Annual Reports
• § 240.15d-10 d-10 Transition Reports
• § 240.15d-11 d-11 Current Reports On Form 8-k (§ 249.308 Of This Chapter)
• § 240.15d-13 d-13 Quarterly Reports On Form 10-q (§ 249.308 Of This Chapter)
• § 240.15d-14 d-14 Certification Of Disclosure In Annual And Quarterly Reports
• § 240.15d-15 d-15 Controls And Procedures
• § 240.15d-16 d-16 Reports Of Foreign Private Issuers On Form 6-k [17 Cfr 249.306]
• § 240.15d-17 d-17 Reports Of Asset-backed Issuers On Form 10-d (§ 249.312 Of This Chapter)
• § 240.15d-18 d-18 Compliance With Servicing Criteria For Asset-backed Securities
• § 240.15d-19 d-19 Reports By Shell Companies On Form 20-f
• § 240.15d-2 d-2 Special Financial Report
• § 240.15d-20 d-20 Plain English Presentation Of Specified Information
• § 240.15d-21 d-21 Reports For Employee Stock Purchase, Savings And Similar Plans
• § 240.15d-22 d-22 Reporting Regarding Asset-backed Securities Under Section 15(d) Of The Act
• § 240.15d-23 d-23 Reporting Regarding Certain Securities Underlying Asset-backed Securities Under Section 15(d) Of The Act
• § 240.15d-3 d-3 Reports For Depositary Shares Registered On Form F-6
• § 240.15d-4 d-4 Reporting By Form 40-f Registrants
• § 240.15d-5 d-5 Reporting By Successor Issuers
• § 240.15d-6 d-6 Suspension Of Duty To File Reports
• § 240.15fh-4 fh-4 (rule 15fh-4) Antifraud Provisions For Security-based Swap Dealers And Major Security-based Swap Participants; Special Requirements For Security-based Swap Dealers Acting As Advisors To Special Entities
• § 240.15fi-3 fi-3 Security-based Swap Portfolio Reconciliation
• § 240.15fk-1 fk-1 Designation Of Chief Compliance Officer For Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.15g-1 g-1 Exemptions For Certain Transactions
• § 240.15g-100 g-100 Schedule 15g—Information To Be Included In The Document Distributed Pursuant To 17 Cfr 240.15g-2
• § 240.15g-2 g-2 Penny Stock Disclosure Document Relating To The Penny Stock Market
• § 240.15g-3 g-3 Broker Or Dealer Disclosure Of Quotations And Other Information Relating To The Penny Stock Market
• § 240.15g-4 g-4 Disclosure Of Compensation To Brokers Or Dealers
• § 240.15g-5 g-5 Disclosure Of Compensation Of Associated Persons In Connection With Penny Stock Transactions
• § 240.15g-6 g-6 Account Statements For Penny Stock Customers
• § 240.15g-8 g-8 Sales Of Escrowed Securities Of Blank Check Companies
• § 240.15g-9 g-9 Sales Practice Requirements For Certain Low-priced Securities
• § 240.15l-1 l-1 Regulation Best Interest
• § 240.16a-1 a-1 Definition Of Terms
• § 240.16a-10 a-10 Exemptions Under Section 16(a)
• § 240.16a-11 a-11 Dividend Or Interest Reinvestment Plans
• § 240.16a-12 a-12 Domestic Relations Orders
• § 240.16a-13 a-13 Change In Form Of Beneficial Ownership
• § 240.16a-2 a-2 Persons And Transactions Subject To Section 16
• § 240.16a-3 a-3 Reporting Transactions And Holdings
• § 240.16a-4 a-4 Derivative Securities
• § 240.16a-5 a-5 Odd-lot Dealers
• § 240.16a-6 a-6 Small Acquisitions
• § 240.16a-7 a-7 Transactions Effected In Connection With A Distribution
• § 240.16a-8 a-8 Trusts
• § 240.16a-9 a-9 Stock Splits, Stock Dividends, And Pro Rata Rights
• § 240.16b-1 b-1 Transactions Approved By A Regulatory Authority
• § 240.16b-2 b-2 [reserved]
• § 240.16b-3 b-3 Transactions Between An Issuer And Its Officers Or Directors
• § 240.16b-4 b-4 [reserved]
• § 240.16b-5 b-5 Bona Fide Gifts And Inheritance
• § 240.16b-6 b-6 Derivative Securities
• § 240.16b-7 b-7 Mergers, Reclassifications, And Consolidations
• § 240.16b-8 b-8 Voting Trusts
• § 240.16c-1 c-1 Brokers
• § 240.16c-2 c-2 Transactions Effected In Connection With A Distribution
• § 240.16c-3 c-3 Exemption Of Sales Of Securities To Be Acquired
• § 240.16c-4 c-4 Derivative Securities
• § 240.16e-1 e-1 Arbitrage Transactions Under Section 16
• § 240.17Ab2-2 ab2-2 Determinations Affecting Covered Clearing Agencies
• § 240.17Ac2-1 ac2-1 Application For Registration Of Transfer Agents
• § 240.17Ac2-2 ac2-2 Annual Reporting Requirement For Registered Transfer Agents
• § 240.17Ac3-1 ac3-1 Withdrawal From Registration With The Commission
• § 240.17Ad-1 ad-1 Definitions
• § 240.17Ad-10 ad-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
• § 240.17Ad-11 ad-11 Reports Regarding Aged Record Differences, Buy-ins And Failure To Post Certificate Detail To Master Securityholder And Subsidiary Files
• § 240.17Ad-12 ad-12 Safeguarding Of Funds And Securities
• § 240.17Ad-13 ad-13 Annual Study And Evaluation Of Internal Accounting Control
• § 240.17Ad-14 ad-14 Tender Agents
• § 240.17Ad-15 ad-15 Signature Guarantees
• § 240.17Ad-16 ad-16 Notice Of Assumption Or Termination Of Transfer Agent Services
• § 240.17Ad-17 ad-17 Lost Securityholders And Unresponsive Payees
• § 240.17Ad-18 ad-18 Year 2000 Reports To Be Made By Certain Transfer Agents
• § 240.17Ad-19 ad-19 Requirements For Cancellation, Processing, Storage, Transportation, And Destruction Or Other Disposition Of Securities Certificates
• § 240.17Ad-2 ad-2 Turnaround, Processing, And Forwarding Of Items
• § 240.17Ad-20 ad-20 Issuer Restrictions Or Prohibitions On Ownership By Securities Intermediaries
• § 240.17Ad-21T ad-21t Operational Capability In A Year 2000 Environment
• § 240.17Ad-24 ad-24 Exemption From Clearing Agency Definition For Certain Registered Security-based Swap Dealers, Registered Security-based Swap Execution Facilities, And Entities Engaging In Dealing Activity In Security-based Swaps That Are Eligible For An Exception Under § 240.3a71-2(a) (or Subject To The Period Set Forth In § 240.3a71-2(b))
• § 240.17Ad-27 ad-27 Straight-through Processing By Clearing Agencies That Provide A Central Matching Service
• § 240.17Ad-3 ad-3 Limitations On Expansion
• § 240.17Ad-4 ad-4 Applicability Of §§ 240.17ad-2, 240.17ad-3 And 240.17ad-6(a) (1) Through (7) And (11)
• § 240.17Ad-5 ad-5 Written Inquiries And Requests
• § 240.17Ad-6 ad-6 Recordkeeping
• § 240.17Ad-8 ad-8 Securities Position Listings
• § 240.17Ad-9 ad-9 Definitions
• § 240.17a-1 a-1 Recordkeeping Rule For National Securities Exchanges, National Securities Associations, Registered Clearing Agencies And The Municipal Securities Rulemaking Board
• § 240.17a-10 a-10 Report On Revenue And Expenses
• § 240.17a-11 a-11 Notification Provisions For Brokers And Dealers
• § 240.17a-12 a-12 Reports To Be Made By Certain Otc Derivatives Dealers
• § 240.17a-13 a-13 Quarterly Security Counts To Be Made By Certain Exchange Members, Brokers, And Dealers
• § 240.17a-14 a-14 Form Crs, For Preparation, Filing And Delivery Of Form Crs
• § 240.17a-18 a-18 [reserved]
• § 240.17a-19 a-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
• § 240.17a-2 a-2 Recordkeeping Requirements Relating To Stabilizing Activities
• § 240.17a-21 a-21 Reports Of The Municipal Securities Rulemaking Board
• § 240.17a-22 a-22 Supplemental Material Of Registered Clearing Agencies
• § 240.17a-25 a-25 Electronic Submission Of Securities Transaction Information By Exchange Members, Brokers, And Dealers
• § 240.17a-3 a-3 Records To Be Made By Certain Exchange Members, Brokers And Dealers
• § 240.17a-4 a-4 Records To Be Preserved By Certain Exchange Members, Brokers And Dealers
• § 240.17a-5 a-5 Reports To Be Made By Certain Brokers And Dealers
• § 240.17a-6 a-6 Right Of National Securities Exchange, National Securities Association, Registered Clearing Agency Or The Municipal Securities Rulemaking Board To Destroy Or Dispose Of Documents
• § 240.17a-7 a-7 Records Of Non-resident Brokers And Dealers
• § 240.17a-8 a-8 Financial Recordkeeping And Reporting Of Currency And Foreign Transactions
• § 240.17a-9T a-9t Records To Be Made And Retained By Certain Exchange Members, Brokers And Dealers
• § 240.17ab2-1 ab2-1 Registration Of Clearing Agencies
• § 240.17ad-22 ad-22 Standards For Clearing Agencies
• § 240.17ad-25 ad-25 Clearing Agency Boards Of Directors And Conflicts Of Interest
• § 240.17ad-26 ad-26 Recovery And Orderly Wind-down Plans Of Covered Clearing Agencies
• § 240.17ad-7 ad-7 (rule 17ad-7) Record Retention
• § 240.17d-1 d-1 Examination For Compliance With Applicable Financial Responsibility Rules
• § 240.17d-2 d-2 Program For Allocation Of Regulatory Responsibility
• § 240.17f-1 f-1 Requirements For Reporting And Inquiry With Respect To Missing, Lost, Counterfeit Or Stolen Securities
• § 240.17f-2 f-2 Fingerprinting Of Securities Industry Personnel
• § 240.17g-1 g-1 Application For Registration As A Nationally Recognized Statistical Rating Organization
• § 240.17g-10 g-10 Certification Of Providers Of Third-party Due Diligence Services In Connection With Asset-backed Securities
• § 240.17g-2 g-2 Records To Be Made And Retained By Nationally Recognized Statistical Rating Organizations
• § 240.17g-3 g-3 Annual Financial And Other Reports To Be Filed Or Furnished By Nationally Recognized Statistical Rating Organizations
• § 240.17g-4 g-4 Prevention Of Misuse Of Material Nonpublic Information
• § 240.17g-5 g-5 Conflicts Of Interest
• § 240.17g-6 g-6 Prohibited Acts And Practices
• § 240.17g-7 g-7 Disclosure Requirements
• § 240.17g-8 g-8 Policies, Procedures, And Internal Controls
• § 240.17g-9 g-9 Standards Of Training, Experience, And Competence For Credit Analysts
• § 240.17h-1T h-1t Risk Assessment Recordkeeping Requirements For Associated Persons Of Brokers And Dealers
• § 240.17h-2T h-2t Risk Assessment Reporting Requirements For Brokers And Dealers
• § 240.18a-1 a-1 Net Capital Requirements For Security-based Swap Dealers For Which There Is Not A Prudential Regulator
• § 240.18a-10 a-10 Alternative Compliance Mechanism For Security-based Swap Dealers That Are Registered As Swap Dealers And Have Limited Security-based Swap Activities
• § 240.18a-1a a-1a Options
• § 240.18a-1b a-1b Adjustments To Net Worth For Certain Commodities Transactions
• § 240.18a-1c a-1c Consolidated Computations Of Net Capital For Certain Subsidiaries And Affiliates Of Security-based Swap Dealers
• § 240.18a-1d a-1d Satisfactory Subordinated Loan Agreements
• § 240.18a-2 a-2 Capital Requirements For Major Security-based Swap Participants For Which There Is Not A Prudential Regulator
• § 240.18a-3 a-3 Non-cleared Security-based Swap Margin Requirements For Security-based Swap Dealers And Major Security-based Swap Participants For Which There Is Not A Prudential Regulator
• § 240.18a-4 a-4 Segregation Requirements For Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.18a-4a a-4a Exhibit A—Formula For Determination Of Security-based Swap Customer Reserve Requirements Under § 240.18a-4
• § 240.18a-5 a-5 Records To Be Made By Certain Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.18a-6 a-6 Records To Be Preserved By Certain Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.18a-7 a-7 Reports To Be Made By Certain Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.18a-8 a-8 Notification Provisions For Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.18a-9 a-9 Quarterly Security Counts To Be Made By Certain Security-based Swap Dealers
• § 240.19a3-1 a3-1 [reserved]
• § 240.19b-3 b-3 [reserved]
• § 240.19b-4 b-4 Filings With Respect To Proposed Rule Changes By Self-regulatory Organizations
• § 240.19b-5 b-5 Temporary Exemption From The Filing Requirements Of Section 19(b) Of The Act
• § 240.19b-7 b-7 Filings With Respect To Proposed Rule Changes Submitted Pursuant To Section 19(b)(7) Of The Act
• § 240.19c-1 c-1 Governing Certain Off-board Agency Transactions By Members Of National Securities Exchanges
• § 240.19c-3 c-3 Governing Off-board Trading By Members Of National Securities Exchanges
• § 240.19c-4 c-4 Governing Certain Listing Or Authorization Determinations By National Securities Exchanges And Associations
• § 240.19c-5 c-5 Governing The Multiple Listing Of Options On National Securities Exchanges
• § 240.19d-1 d-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
• § 240.19d-2 d-2 Applications For Stays Of Disciplinary Sanctions Or Summary Suspensions By A Self-regulatory Organization
• § 240.19d-3 d-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
• § 240.19d-4 d-4 Notice By The Public Company Accounting Oversight Board Of Disapproval Of Registration Or Of Disciplinary Action
• § 240.19g2-1 g2-1 Enforcement Of Compliance By National Securities Exchanges And Registered Securities Associations With The Act And Rules And Regulations Thereunder
• § 240.19h-1 h-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
• § 240.21F-1 f-1 General
• § 240.21F-10 f-10 Procedures For Making A Claim For A Whistleblower Award In Sec Actions That Result In Monetary Sanctions In Excess Of $1,000,000
• § 240.21F-11 f-11 Procedures For Determining Awards Based Upon A Related Action
• § 240.21F-12 f-12 Materials That May Form The Basis Of An Award Determination And That May Comprise The Record On Appeal
• § 240.21F-13 f-13 Appeals
• § 240.21F-14 f-14 Procedures Applicable To The Payment Of Awards
• § 240.21F-15 f-15 No Amnesty
• § 240.21F-16 f-16 Awards To Whistleblowers Who Engage In Culpable Conduct
• § 240.21F-17 f-17 Staff Communications With Individuals Reporting Possible Securities Law Violations
• § 240.21F-18 f-18 Summary Disposition
• § 240.21F-2 f-2 Whistleblower Status, Award Eligibility, Confidentiality, And Retaliation Protections
• § 240.21F-3 f-3 Payment Of Awards
• § 240.21F-4 f-4 Other Definitions
• § 240.21F-5 f-5 Amount Of Award
• § 240.21F-6 f-6 Criteria For Determining Amount Of Award
• § 240.21F-7 f-7 Confidentiality Of Submissions
• § 240.21F-8 f-8 Eligibility And Forms
• § 240.21F-9 f-9 Procedures For Submitting Original Information
• § 240.24b-1 b-1 Documents To Be Kept Public By Exchanges
• § 240.24b-2 b-2 Nondisclosure Of Information Filed With The Commission And With Any Exchange
• § 240.24b-3 b-3 Information Filed By Issuers And Others Under Sections 12, 13, 14, And 16
• § 240.24c-1 c-1 Access To Nonpublic Information
• § 240.31T t Temporary Rule Regarding Fiscal Year 2004
• § 240.36a1-1 a1-1 Exemption From Section 7 For Otc Derivatives Dealers
• § 240.36a1-2 a1-2 Exemption From Sipa For Otc Derivatives Dealers
• § 240.3Ca-1 ca-1 Stay Of Clearing Requirement And Review By The Commission
• § 240.3Ca-2 ca-2 Submission Of Security-based Swaps For Clearing
• § 240.3a1-1 a1-1 Exemption From The Definition Of “exchange” Under Section 3(a)(1) Of The Act
• § 240.3a11-1 a11-1 Definition Of The Term “equity Security.”
• § 240.3a12-1 a12-1 Exemption Of Certain Mortgages And Interests In Mortgages
• § 240.3a12-10 a12-10 Exemption Of Certain Securities Issued By The Resolution Funding Corporation
• § 240.3a12-11 a12-11 Exemption From Sections 8(a), 14(a), 14(b), And 14(c) For Debt Securities Listed On A National Securities Exchange
• § 240.3a12-12 a12-12 Exemption From Certain Provisions Of Section 16 Of The Act For Asset-backed Securities
• § 240.3a12-2 a12-2 [reserved]
• § 240.3a12-3 a12-3 Exemption From Sections 14(a), 14(b), 14(c), 14(f), 16(b) And 16(c) For Securities Of Certain Foreign Issuers
• § 240.3a12-4 a12-4 Exemptions From Sections 15(a) And 15(c)(3) For Certain Mortgage Securities
• § 240.3a12-5 a12-5 Exemption Of Certain Investment Contract Securities From Sections 7(c) And 11(d)(1)
• § 240.3a12-6 a12-6 Definition Of “common Trust Fund” As Used In Section 3(a)(12) Of The Act
• § 240.3a12-7 a12-7 Exemption For Certain Derivative Securities Traded Otherwise Than On A National Securities Exchange
• § 240.3a12-8 a12-8 Exemption For Designated Foreign Government Securities For Purposes Of Futures Trading
• § 240.3a12-9 a12-9 Exemption Of Certain Direct Participation Program Securities From The Arranging Provisions Of Sections 7(c) And 11(d)(1)
• § 240.3a4-1 a4-1 Associated Persons Of An Issuer Deemed Not To Be Brokers
• § 240.3a4-2 - 240.3a4-6 §§ 240.3a4-2-240.3a4-6 [reserved]
• § 240.3a40-1 a40-1 Designation Of Financial Responsibility Rules
• § 240.3a43-1 a43-1 Customer-related Government Securities Activities Incidental To The Futures-related Business Of A Futures Commission Merchant Registered With The Commodity Futures Trading Commission
• § 240.3a44-1 a44-1 Proprietary Government Securities Transactions Incidental To The Futures-related Business Of A Cftc-regulated Person
• § 240.3a44-2 a44-2 Further Definition Of “as A Part Of A Regular Business” In Connection With Certain Liquidity Providers
• § 240.3a5-1 a5-1 Exemption From The Definition Of “dealer” For A Bank Engaged In Riskless Principal Transactions
• § 240.3a5-2 a5-2 Exemption From The Definition Of “dealer” For Banks Effecting Transactions In Securities Issued Pursuant To Regulation S
• § 240.3a5-3 a5-3 Exemption From The Definition Of “dealer” For Banks Engaging In Securities Lending Transactions
• § 240.3a5-4 a5-4 Further Definition Of “as A Part Of A Regular Business” In Connection With Certain Liquidity Providers
• § 240.3a51-1 a51-1 Definition Of “penny Stock”
• § 240.3a55-1 a55-1 Method For Determining Market Capitalization And Dollar Value Of Average Daily Trading Volume; Application Of The Definition Of Narrow-based Security Index
• § 240.3a55-2 a55-2 Indexes Underlying Futures Contracts Trading For Fewer Than 30 Days
• § 240.3a55-3 a55-3 Futures Contracts On Security Indexes Trading On Or Subject To The Rules Of A Foreign Board Of Trade
• § 240.3a55-4 a55-4 Exclusion From Definition Of Narrow-based Security Index For Indexes Composed Of Debt Securities
• § 240.3a67-1 a67-1 Definition Of “major Security-based Swap Participant.”
• § 240.3a67-10 a67-10 Foreign Major Security-based Swap Participants
• § 240.3a67-2 a67-2 Categories Of Security-based Swaps
• § 240.3a67-3 a67-3 Definition Of “substantial Position.”
• § 240.3a67-4 a67-4 Definition Of “hedging Or Mitigating Commercial Risk.”
• § 240.3a67-5 a67-5 Definition Of “substantial Counterparty Exposure.”
• § 240.3a67-6 a67-6 Definition Of “financial Entity.”
• § 240.3a67-7 a67-7 Definition Of “highly Leveraged.”
• § 240.3a67-8 a67-8 Timing Requirements, Reevaluation Period, And Termination Of Status
• § 240.3a67-9 a67-9 Calculation Of Major Participant Status By Certain Persons
• § 240.3a68-1a a68-1a Meaning Of “issuers Of Securities In A Narrow-based Security Index” As Used In Section 3(a)(68)(a)(ii)(iii) Of The Act
• § 240.3a68-1b a68-1b Meaning Of “narrow-based Security Index” As Used In Section 3(a)(68)(a)(ii)(i) Of The Act
• § 240.3a68-2 a68-2 Requests For Interpretation Of Swaps, Security-based Swaps, And Mixed Swaps
• § 240.3a68-3 a68-3 Meaning Of “narrow-based Security Index” As Used In The Definition Of “security-based Swap.”
• § 240.3a68-4 a68-4 Regulation Of Mixed Swaps
• § 240.3a68-5 a68-5 Regulation Of Certain Futures Contracts On Foreign Sovereign Debt
• § 240.3a69-1 a69-1 Safe Harbor Definition Of “security-based Swap” And “swap” As Used In Sections 3(a)(68) And 3(a)(69) Of The Act—Insurance
• § 240.3a69-2 a69-2 Definition Of “swap” As Used In Section 3(a)(69) Of The Act—Additional Products
• § 240.3a69-3 a69-3 Books And Records Requirements For Security-based Swap Agreements
• § 240.3a71-1 a71-1 Definition Of “security-based Swap Dealer.”
• § 240.3a71-2 a71-2 De Minimis Exception
• § 240.3a71-2A a71-2a Report Regarding The “security-based Swap Dealer” And “major Security-based Swap Participant” Definitions (appendix A To 17 Cfr 240.3a71-2)
• § 240.3a71-3 a71-3 Cross-border Security-based Swap Dealing Activity
• § 240.3a71-4 a71-4 Exception From Aggregation For Affiliated Groups With Registered Security-based Swap Dealers
• § 240.3a71-5 a71-5 Exception For Cleared Transactions Executed On A Swap Execution Facility
• § 240.3a71-6 a71-6 Substituted Compliance For Security-based Swap Dealers And Major Security-based Swap Participants
• § 240.3b-1 b-1 Definition Of “listed”
• § 240.3b-11 b-11 Definitions Relating To Limited Partnership Roll-up Transactions For Purposes Of Sections 6(b)(9), 14(h) And 15a(b)(12)-(13)
• § 240.3b-12 b-12 Definition Of Otc Derivatives Dealer
• § 240.3b-13 b-13 Definition Of Eligible Otc Derivative Instrument
• § 240.3b-14 b-14 Definition Of Cash Management Securities Activities
• § 240.3b-15 b-15 Definition Of Ancillary Portfolio Management Securities Activities
• § 240.3b-16 b-16 Definitions Of Terms Used In Section 3(a)(1) Of The Act
• § 240.3b-17 b-17 [reserved]
• § 240.3b-18 b-18 Definitions Of Terms Used In Section 3(a)(5) Of The Act
• § 240.3b-19 b-19 Definition Of “issuer” In Section 3(a)(8) Of The Act In Relation To Asset-backed Securities
• § 240.3b-2 b-2 Definition Of “officer”
• § 240.3b-3 b-3 [reserved]
• § 240.3b-4 b-4 Definition Of “foreign Government,” “foreign Issuer” And “foreign Private Issuer”
• § 240.3b-5 b-5 Non-exempt Securities Issued Under Governmental Obligations
• § 240.3b-6 b-6 Liability For Certain Statements By Issuers
• § 240.3b-7 b-7 Definition Of “executive Officer”
• § 240.3b-8 b-8 Definitions Of “qualified Otc Market Maker, Qualified Third Market Maker” And “qualified Block Positioner”
• § 240.3b-9 - 240.3b-10 §§ 240.3b-9-240.3b-10 [reserved]
• § 240.6a-1 a-1 Application For Registration As A National Securities Exchange Or Exemption From Registration Based On Limited Volume
• § 240.6a-2 a-2 Amendments To Application
• § 240.6a-3 a-3 Supplemental Material To Be Filed By Exchanges
• § 240.6a-4 a-4 Notice Of Registration Under Section 6(g) Of The Act, Amendment To Such Notice, And Supplemental Materials To Be Filed By Exchanges Registered Under Section 6(g) Of The Act
• § 240.6h-1 h-1 Settlement And Regulatory Halt Requirements For Security Futures Products
• § 240.6h-2 h-2 Security Future Based On Note, Bond, Debenture, Or Evidence Of Indebtedness
• § 240.7c2-1 c2-1 [reserved]
• § 240.8c-1 c-1 Hypothecation Of Customers' Securities
• § 240.9b-1 b-1 Options Disclosure Document
• § 240.9j-1 j-1 Prohibition Against Fraud, Manipulation, Or Deception In Connection With Security-based Swaps