Code of Federal Regulations · Part
Part 242 — Regulations M, Sho, Ats, Ac, Nms, Se, And Sbsr, And Customer Margin Requirements For Security Futures
17 C.F.R. pt. 242
- § 242.100 Preliminary Note; Definitions
- § 242.101 Activities By Distribution Participants
- § 242.102 Activities By Issuers And Selling Security Holders During A Distribution
- § 242.103 Nasdaq Passive Market Making
- § 242.104 Stabilizing And Other Activities In Connection With An Offering
- § 242.105 Short Selling In Connection With A Public Offering
- § 242.200 Definition Of “short Sale” And Marking Requirements
- § 242.201 Circuit Breaker
- § 242.203 Borrowing And Delivery Requirements
- § 242.204 Close-out Requirement
- § 242.300 Definitions
- § 242.301 Requirements For Alternative Trading Systems
- § 242.302 Recordkeeping Requirements For Alternative Trading Systems
- § 242.303 Record Preservation Requirements For Alternative Trading Systems
- § 242.304 Nms Stock Atss
- § 242.400 Customer Margin Requirements For Security Futures—Authority, Purpose, Interpretation, And Scope
- § 242.401 Definitions
- § 242.402 General Provisions
- § 242.403 Required Margin
- § 242.404 Type, Form And Use Of Margin
- § 242.405 Withdrawal Of Margin
- § 242.406 Undermargined Accounts
- § 242.500 Definitions
- § 242.501 Certifications In Connection With Research Reports
- § 242.502 Certifications In Connection With Public Appearances
- § 242.503 Certain Foreign Research Reports
- § 242.504 Notification To Associated Persons
- § 242.505 Exclusion For News Media
- § 242.600 Nms Security Designation And Definitions
- § 242.601 Dissemination Of Transaction Reports And Last Sale Data With Respect To Transactions In Nms Stocks
- § 242.602 Dissemination Of Quotations In Nms Securities
- § 242.603 Distribution, Consolidation, Dissemination, And Display Of Information With Respect To Quotations For And Transactions In Nms Stocks
- § 242.604 Display Of Customer Limit Orders
- § 242.605 Disclosure Of Order Execution Information
- § 242.606 Disclosure Of Order Routing Information
- § 242.607 Customer Account Statements
- § 242.608 Filing And Amendment Of National Market System Plans
- § 242.609 Registration Of Securities Information Processors: Form Of Application And Amendments
- § 242.610 Access To Quotations
- § 242.611 Order Protection Rule
- § 242.612 Minimum Pricing Increment
- § 242.613 Consolidated Audit Trail
- § 242.614 Registration And Responsibilities Of Competing Consolidators
- § 242.800 Scope
- § 242.801 Applicable Provisions
- § 242.802 Definitions
- § 242.803 Requirements And Procedures For Registration
- § 242.804 Listing Products For Trading By Certification
- § 242.805 Voluntary Submission Of New Products For Commission Review And Approval
- § 242.806 Voluntary Submission Of Rules For Commission Review And Approval
- § 242.807 Self-certification Of Rules
- § 242.808 Availability Of Public Information
- § 242.809 Staying Of Certification And Tolling Of Review Period Pending Jurisdictional Determination
- § 242.810 Product Filings By Security-based Swap Execution Facilities That Are Not Yet Registered And By Dormant Security-based Swap Execution Facilities
- § 242.811 Information Relating To Security-based Swap Execution Facility Compliance
- § 242.812 Enforceability
- § 242.813 Prohibited Use Of Data Collected For Regulatory Purposes
- § 242.814 Entity Operating Both A National Securities Exchange And Security-based Swap Execution Facility
- § 242.815 Methods Of Execution For Required And Permitted Transactions
- § 242.816 Trade Execution Requirement And Exemptions Therefrom
- § 242.817 Trade Execution Compliance Schedule
- § 242.818 Core Principle 1—Compliance With Core Principles
- § 242.819 Core Principle 2—Compliance With Rules
- § 242.820 Core Principle 3—Security-based Swaps Not Readily Susceptible To Manipulation
- § 242.821 Core Principle 4—Monitoring Of Trading And Trade Processing
- § 242.822 Core Principle 5—Ability To Obtain Information
- § 242.823 Core Principle 6—Financial Integrity Of Transactions
- § 242.824 Core Principle 7—Emergency Authority
- § 242.825 Core Principle 8—Timely Publication Of Trading Information
- § 242.826 Core Principle 9—Recordkeeping And Reporting
- § 242.827 Core Principle 10—Antitrust Considerations
- § 242.828 Core Principle 11—Conflicts Of Interest
- § 242.829 Core Principle 12—Financial Resources
- § 242.830 Core Principle 13—System Safeguards
- § 242.831 Core Principle 14—Designation Of Chief Compliance Officer
- § 242.832 Application Of The Trade Execution Requirement To Cross-border Security-based Swap Transactions
- § 242.833 Cross-border Exemptions
- § 242.834 Mitigation Of Conflicts Of Interest Of Security-based Swap Execution Facilities And Certain Exchanges
- § 242.835 Notice To Commission By Security-based Swap Execution Facility Of Final Disciplinary Action Or Denial Or Limitation Of Access
- § 242.900 Definitions
- § 242.901 Reporting Obligations
- § 242.902 Public Dissemination Of Transaction Reports
- § 242.903 Coded Information
- § 242.904 Operating Hours Of Registered Security-based Swap Data Repositories
- § 242.905 Correction Of Errors In Security-based Swap Information
- § 242.906 Other Duties Of Participants
- § 242.907 Policies And Procedures Of Registered Security-based Swap Data Repositories
- § 242.908 Cross-border Matters
- § 242.909 Registration Of Security-based Swap Data Repository As A Securities Information Processor
- Subpart ECFRe106e84e67e2bc9 Systems Compliance And Integrity