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Code of Federal Regulations (Last Updated: April 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 240 - General Rules and Regulations, Securities Exchange Act of 1934 |
| Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934 |
| General Requirements as to Contents |
| Hypothecation of Customers' Securities |
| §§ 240.10a-1--240.10a-2 - [Reserved] |
| § 240.10a-3T - Temporary Rule for reporting short sales by institutional investment managers. |
| § 240.8c-1 - Hypothecation of customers' securities. |
| § 240.9b-1 - Options disclosure document. |
| Definitions |
| § 240.3b-1 - Definition of “listed”. |
| § 240.3b-2 - Definition of “officer”. |
| § 240.3b-3 - [Reserved] |
| § 240.3b-4 - Definition of “foreign government,” “foreign issuer” and “foreign private issuer”. |
| § 240.3b-5 - Non-exempt securities issued under governmental obligations. |
| § 240.3b-6 - Liability for certain statements by issuers. |
| § 240.3b-7 - Definition of “executive officer”. |
| § 240.3b-8 - Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”. |
| § 240.3b-9 - Definition of “bank” for purposes of section 3(a) (4) and (5) of the Act. |
| § 240.3b-10 - [Reserved] |
| § 240.3b-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 - Definition of OTC derivatives dealer. |
| § 240.3b-13 - Definition of eligible OTC derivative instrument. |
| § 240.3b-14 - Definition of cash management securities activities. |
| § 240.3b-15 - Definition of ancillary portfolio management securities activities. |
| § 240.3b-16 - Definitions of terms used in Section 3(a)(1) of the Act. |
| § 240.3b-17 - [Reserved] |
| § 240.3b-18 - Definitions of terms used in Section 3(a)(5) of the Act. |
| § 240.3b-19 - Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities. |
| §§ 240.3b-9--240.3b-10 - [Reserved] |
| Special Provisions |
| Certification by Exchanges and Effectiveness of Registration |
| Definition of “Equity Security” as Used in Sections 12(G) and 16 |
| Adoption of Regulation on Conduct of Specialists |
| § 240.11b-1 - Regulation of specialists. |
| Definition of “Equity Security” as Used in Sections 12() and 16 |
| § 240.3a11-1 - Definition of the term “equity security.” |
| Regulation 13b-2:Maintenance of Records and Preparation of Required Reports |
| Formal Requirements |
| Securities Exempted from Registration |
| § 240.12a-4 - Exemption of certain warrants from section 12(a). |
| § 240.12a-5 - Temporary exemption of substituted or additional securities. |
| § 240.12a-6 - Exemption of securities underlying certain options from section 12(a). |
| § 240.12a-7 - Exemption of stock contained in standardized market baskets from section 12(a) of the Act. |
| § 240.12a-8 - Exemption of depositary shares. |
| § 240.12a-9 - Exemption of standardized options from section 12(a) of the Act. |
| § 240.12a-10 - Exemption of security-based swaps from section 12(a) of the Act. |
| § 240.12a-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. |
| Security-Based Swap Dealer and Participant Definitions |
| § 240.3a67-1 - Definition of “major security-based swap participant.” |
| § 240.3a67-2 - Categories of security-based swaps. |
| § 240.3a67-3 - Definition of “substantial position.” |
| § 240.3a67-4 - Definition of “hedging or mitigating commercial risk.” |
| § 240.3a67-5 - Definition of “substantial counterparty exposure.” |
| § 240.3a67-6 - Definition of “financial entity.” |
| § 240.3a67-7 - Definition of “highly leveraged.” |
| § 240.3a67-8 - Timing requirements, reevaluation period, and termination of status. |
| § 240.3a67-9 - Calculation of major participant status by certain persons. |
| § 240.3a67-10 - Foreign major security-based swap participants. |
| Preservation of Records and Reports of Certain Stabilizing Activities |
| § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers. |
| Definition of “Equity Security” as Used in Sections 12(g)and 16 |
| Reports Under Section 10a |
| § 240.10A-1 - Notice to the Commission Pursuant to Section 10A of the Act. |
| § 240.10A-2 - Auditor independence. |
| § 240.10A-3 - Listing standards relating to audit committees. |
| Regulation 12B: Registration and Reporting |
| Exhibits |
| Regulation 14A: Solicitation of Proxies |
| § 240.14a-6 - Filing requirements. |
| § 240.14a-101 - Schedule 14A. Information required in proxy statement. |
| Registration of Brokers and Dealers |
| § 240.15a-12 - Exemption for certain security-based swap execution facilities from certain broker requirements. |
| § 240.15b9-1 - Exemption for certain exchange members. |
| Suspension of Trading, Withdrawal, and Striking From Listing and Registration |
| Regulation 13D–G |
| § 240.13b-2 - xxx |
| § 240.13d-1 - Filing of Schedules 13D and 13G. |
| § 240.13d-2 - Filing of amendments to Schedules 13D or 13G. |
| § 240.13d-3 - Determination of beneficial owner. |
| § 240.13d-5 - Acquisition of beneficial ownership. |
| § 240.13d-6 - Exemption of certain acquisitions. |
| § 240.13d-7 - [Reserved] |
| § 240.13d-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 - 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. |
| § 240.13f-2 - Reporting by institutional investment managers regarding gross short position and activity information. |
| Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping |
| § 240.3a69-1 - Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act - insurance. |
| § 240.3a71-1 - Definition of “security-based swap dealer.” |
| § 240.3a68-2 - Requests for interpretation of swaps, security-based swaps, and mixed swaps. |
| § 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act - additional products. |
| § 240.3a71-2 - De minimis exception. |
| § 240.3a68-3 - Meaning of “narrow-based security index” as used in the definition of “security-based swap.” |
| § 240.3a69-3 - Books and records requirements for security-based swap agreements. |
| § 240.3a71-3 - Cross-border security-based swap dealing activity. |
| § 240.3a68-4 - Regulation of mixed swaps. |
| § 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers. |
| § 240.3a68-5 - Regulation of certain futures contracts on foreign sovereign debt. |
| § 240.3a71-5 - Exception for cleared transactions executed on a swap execution facility. |
| § 240.3a71-6 - Substituted compliance for security-based swap dealers and major security-based swap participants. |
| § 240.3a68-1a - Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act. |
| § 240.3a71-2A - Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2). |
| § 240.3a68-1b - Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act. |
| Registration of Securities Information Processors |
| § 240.11Aa2-1 - Designation of national market system securities. |
| § 240.11Aa3-1 - Dissemination of transaction reports and last sale data with respect to transactions in reported securities. |
| § 240.11Aa3-2 - Filing and amendment of national market system plans. |
| § 240.11Ab2-1 - Registration of securities information processors: Form of application and amendments. |
| § 240.11Ac1-1 - Dissemination of quotations. |
| § 240.11Ac1-2 - Display of transaction reports, last sale data and quotation information. |
| § 240.11Ac1-3 - Customer account statements. |
| § 240.11Ac1-4 - Display of customer limit orders. |
| § 240.11Ac1-5 - Disclosure of order execution information. |
| § 240.11Ac1-6 - Disclosure of order routing information. |
| § 240.11Ac1-7 - Trade-through disclosure rule. |
| Other Reports |
| § 240.13a-11 - Current reports on Form 8–K (§ 249.308 of this chapter). |
| § 240.13a-21 - Purchases of equity securities by a foreign private issuer and affiliated purchasers. |
| § 240.15d-11 - Current reports on Form 8–K (§ 249.308 of this chapter). |
| Manipulative and Deceptive Devices and Contrivances |
| § 240.10b-1 - Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration. |
| § 240.10b5-1 - Trading “on the basis of” material nonpublic information in insider trading cases. |
| § 240.10b-2 - [Reserved] |
| § 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases. |
| § 240.10b-3 - Employment of manipulative and deceptive devices by brokers or dealers. |
| § 240.10b-4 - [Reserved] |
| § 240.10b-5 - Employment of manipulative and deceptive devices. |
| § 240.10b-9 - Prohibited representations in connection with certain offerings. |
| § 240.10b-10 - Confirmation of transactions. |
| § 240.10b-13 - [Reserved] |
| § 240.10b-16 - Disclosure of credit terms in margin transactions. |
| § 240.10b-17 - Untimely announcements of record dates. |
| § 240.10b-18 - Purchases of certain equity securities by the issuer and others. |
| § 240.10b-21 - Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due. |
| § 240.10c-1a - Securities lending transparency. |
| §§ 240.10b-6--240.10b-6 - [Reserved] |
| §§ 240.10b-6--240.10b-8 - [Reserved] |
| § 240.9j-1 - Prohibition against fraud, manipulation, or deception in connection with security-based swaps. |
| General |
| § 240.12b-2 - Definitions. |
| Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants |
| Extensions and Temporary Exemptions; Definitions |
| Rules Relating to Over-the-Counter Markets |
| § 240.15c3-3a - Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3. |
| Requirements Under Section 10c |
| § 240.10C-1 - Listing standards relating to compensation committees. |
| Nationally Recognized Statistical Rating Organizations |
| §§ 240.17--25 - xxx |
| § 240.17Ad-20 - Issuer restrictions or prohibitions on ownership by securities intermediaries. |
| § 240.17Ad-22 - Standards for clearing agencies. |
| § 240.17ad-25 - Clearing agency boards of directors and conflicts of interest. |
| Miscellaneous Exemptions |
| § 240a44-2 - xxx |
| § 240.3a12-1 - Exemption of certain mortgages and interests in mortgages. |
| § 240.3a40-1 - Designation of financial responsibility rules. |
| § 240.3a43-1 - 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 - Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. |
| § 240.3a51-1 - Definition of “penny stock”. |
| § 240.3a55-1 - Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index. |
| § 240.3a12-2 - [Reserved] |
| § 240.3a55-2 - Indexes underlying futures contracts trading for fewer than 30 days. |
| § 240.3a12-3 - Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers. |
| § 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. |
| § 240.3a12-4 - Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities. |
| § 240.3a55-4 - Exclusion from definition of narrow-based security index for indexes composed of debt securities. |
| § 240.3a12-5 - Exemption of certain investment contract securities from sections 7(c) and 11(d)(1). |
| § 240.3a12-6 - Definition of “common trust fund” as used in section 3(a)(12) of the Act. |
| § 240.3a12-7 - Exemption for certain derivative securities traded otherwise than on a national securities exchange. |
| § 240.3a12-8 - Exemption for designated foreign government securities for purposes of futures trading. |
| § 240.3a12-9 - Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1). |
| § 240.3a12-10 - Exemption of certain securities issued by the Resolution Funding Corporation. |
| § 240.3a12-11 - Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange. |
| § 240.3a12-12 - Exemption from certain provisions of section 16 of the Act for asset-backed securities. |
| Requirements Under Section 10D |
| § 240.10D-1 - Listing standards relating to recovery of erroneously awarded compensation. |
| Annual Reports |
| Clearing of Security-Based Swaps |
| § 240.3Ca-1 - Stay of clearing requirement and review by the Commission. |
| § 240.3Ca-2 - Submission of security-based swaps for clearing. |
| Short Sales |
| Adoption of Floor Trading Regulation (Rule 11a-1) |
| § 240.11a1-1(T) - Transactions yielding priority, parity, and precedence. |
| § 240.11a2-2(T) - Transactions effected by exchange members through other members. |
| § 240.11a1-3(T) - Bona fide hedge transactions in certain securities. |
| § 240.11a1-4(T) - Bond transactions on national securities exchanges. |
| § 240.11a-1 - Regulation of floor trading. |
| § 240.11a1-2 - Transactions for certain accounts of associated persons of members. |
| § 240.11a1-5 - Transactions by registered competitive market makers and registered equity market makers. |
| § 240.11a1-6 - Transactions for certain accounts of OTC derivatives dealers. |
| Hypothecation of Customers’ Securities |
| Unlisted Trading |
| Registration and Exemption of Exchanges |
| § 240.6a-1 - Application for registration as a national securities exchange or exemption from registration based on limited volume. |
| § 240.6a-2 - Amendments to application. |
| § 240.6a-3 - Supplemental material to be filed by exchanges. |
| § 240.6a-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 - Settlement and regulatory halt requirements for security futures products. |
| § 240.6h-2 - Security future based on note, bond, debenture, or evidence of indebtedness. |
| § 240.7c2-1 - [Reserved] |
| Exemption of Certain Securities from Section 11(D)(1) |
| § 240.11d1-1 - Exemption of certain securities from section 11(d)(1). |
| § 240.11d2-1 - Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts. |
| § 240.11d1-2 - Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts. |
| Regulation 14C: Distribution of Information Pursuant to Section 14(c) |
| § 240.14c-2 - Distribution of information statement. |
| Rules of General Application |
| § 240.0-1 - Definitions. |
| § 240.0-2 - Business hours of the Commission. |
| § 240.0-3 - Filing of material with the Commission. |
| § 240.0-4 - Nondisclosure of information obtained in examinations and investigations. |
| § 240.0-5 - Reference to rule by obsolete designation. |
| § 240.0-6 - Disclosure detrimental to the national defense or foreign policy. |
| § 240.0-8 - Application of rules to registered broker-dealers. |
| § 240.0-9 - Payment of filing fees. |
| § 240.0-10 - Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act. |
| § 240.0-11 - Filing fees for certain acquisitions, dispositions and similar transactions. |
| § 240.0-12 - Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act. |
| § 240.0-13 - Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act. |
| § 240.3a1-1 - Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act. |
| § 240.3a4-1 - Associated persons of an issuer deemed not to be brokers. |
| § 240.3a5-1 - Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions. |
| § 240.3a4-2 - Exemption from the definition of “broker” for bank calculating compensation for effecting transactions in fiduciary accounts. |
| § 240.3a5-2 - Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S. |
| § 240.3a4-3 - Exemption from the definition of “broker” for bank effecting transactions as an indenture trustee in a no-load money market fund. |
| § 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions. |
| § 240.3a4-4 - Exemption from the definition of “broker” for small bank effecting transactions in investment company securities in a tax-deferred custody account. |
| § 240.3a5-4 - xxx |
| § 240.3a4-5 - Exemption from the definition of “broker” for banks effecting transactions in securities in a custody account. |
| § 240.3a4-6 - Exemption from the definition of “broker” for banks that execute transactions in investment company securities through NSCC Mutual Fund Services. |
| §§ 240.3a4-2--240.3a4-6 - [Reserved] |
| Regulation 14D |
| § 240.14d-100 - Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934. |
| § 240.15a1-6 - xxx |
| §§ 240.15Fb1-1--240.15Fb6-2 - xxx |
| Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 |
| Exemption of Certain OTC Derivatives Dealers |
| § 240.15a-1 - Securities activities of OTC derivatives dealers. |
| Certification by Exchanges |
| Regulation 13b-2: Maintenance of Records and Preparation of Required Reports |
| § 240.13b2-1 - Falsification of accounting records. |
| § 240.13b2-2 - Representations and conduct in connection with the preparation of required reports and documents. |
| Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants |
| Reports of Directors, Officers, and Principal Shareholders |
| General Requirements as to Contents |
| § 240.12b-20 - Additional information. |
| § 240.12b-21 - Information unknown or not available. |
| § 240.12b-22 - Disclaimer of control. |
| § 240.12b-23 - Incorporation by reference. |
| § 240.12b-24 - [Reserved] |
| § 240.12b-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. |
| Regulation 14c: Distribution of Information Pursuant to Section 14(C) |
| Arbitrage Transactions |
| § 240.16e-1 - Arbitrage transactions under section 16. |
| Inspection and Publication of Information Filed Under the Act |
| § 240.31 - Section 31 transaction fees. |
| § 240.31-1 - Securities transactions exempt from transaction fees. |
| § 240.31T - Temporary rule regarding fiscal year 2004. |
| § 240.24b-1 - Documents to be kept public by exchanges. |
| § 240.24b-2 - Nondisclosure of information filed with the Commission and with any exchange. |
| § 240.24b-3 - Information filed by issuers and others under sections 12, 13, 14, and 16. |
| § 240.24c-1 - Access to nonpublic information. |
| § 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers. |
| § 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers. |
| Regulation 13a: Reports of Issuers of Securities Registered Pursuant to Section 12 |
| Regulation 14N: Filings Required by Certain Nominating Shareholders |
| § 240.14n-1 - Filing of Schedule 14N. |
| § 240.14n-2 - Filing of amendments to Schedule 14N. |
| § 240.14n-3 - Dissemination. |
| § 240.14n-101 - Schedule 14N - Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2. |
| Suspension of Trading, Withdrawal, and Striking from Listing and Registration |
| § 240.12d2-1 - Suspension of trading. |
| § 240.12d2-2 - Removal from listing and registration. |
| Regulation 15d: Reports of Registrants Under the Securities Act of 1933 |
| Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants |
| § 240.15Fb1-1 - Signatures. |
| § 240.15Fb2-1 - Registration of security-based swap dealers and major security-based swap participants. |
| § 240.15Fb3-1 - Duration of registration. |
| § 240.15Fb6-1 - [Reserved] |
| § 240.15Ga-1 - Repurchases and replacements relating to asset-backed securities. |
| § 240.15Fb3-2 - Withdrawal from registration. |
| § 240.15Fb6-2 - Associated person certification. |
| § 240.15Ga-2 - Findings and conclusions of third-party due diligence reports. |
| § 240.15Fb2-3 - Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD. |
| § 240.15Fb3-3 - Cancellation and revocation of registration. |
| § 240.15Fb2-4 - Nonresident security-based swap dealers and major security-based swap participants. |
| § 240.15Fb2-5 - Registration of successor to registered security-based swap dealer or a major security-based swap participant. |
| § 240.15Fb2-6 - Registration of fiduciaries. |
| § 240.15Fh-1 - Scope and reliance on representations. |
| § 240.15Fh-2 - Definitions. |
| § 240.15Fh-3 - Business conduct requirements. |
| § 240.15Fh-5 - Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities. |
| § 240.15Fh-6 - Political contributions by certain security-based swap dealers. |
| § 240.15Fi-1 - Definitions. |
| § 240.15Fi-2 - Acknowledgment and verification of security-based swap transactions. |
| § 240.15Fi-3 - Security-based swap portfolio reconciliation. |
| § 240.15Fi-4 - Security-based swap portfolio compression. |
| § 240.15Fi-5 - Security-based swap trading relationship documentation. |
| § 240.15Fk-1 - Designation of chief compliance officer for security-based swap dealers and major security-based swap participants. |
| § 240.16a-1 - Definition of terms. |
| § 240.16a-2 - Persons and transactions subject to section 16. |
| § 240.16a-3 - Reporting transactions and holdings. |
| § 240.16a-4 - Derivative securities. |
| § 240.16a-5 - Odd-lot dealers. |
| § 240.16a-6 - Small acquisitions. |
| § 240.16a-7 - Transactions effected in connection with a distribution. |
| § 240.16a-8 - Trusts. |
| § 240.16a-9 - Stock splits, stock dividends, and pro rata rights. |
| § 240.16a-10 - Exemptions under section 16(a). |
| § 240.16a-11 - Dividend or interest reinvestment plans. |
| § 240.16a-12 - Domestic relations orders. |
| § 240.16a-13 - Change in form of beneficial ownership. |
| Securities Whistleblower Incentives and Protections |
| § 240.21F-1 - General. |
| § 240.21F-2 - Whistleblower status, award eligibility, confidentiality, and retaliation protections. |
| § 240.21F-3 - Payment of awards. |
| § 240.21F-4 - Other definitions. |
| § 240.21F-5 - Amount of award. |
| § 240.21F-6 - Criteria for determining amount of award. |
| § 240.21F-7 - Confidentiality of submissions. |
| § 240.21F-8 - Eligibility and forms. |
| § 240.21F-9 - Procedures for submitting original information. |
| § 240.21F-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 - Procedures for determining awards based upon a related action. |
| § 240.21F-12 - Materials that may form the basis of an award determination and that may comprise the record on appeal. |
| § 240.21F-13 - Appeals. |
| § 240.21F-14 - Procedures applicable to the payment of awards. |
| § 240.21F-15 - No amnesty. |
| § 240.21F-16 - Awards to whistleblowers who engage in culpable conduct. |
| § 240.21F-17 - Staff communications with individuals reporting possible securities law violations. |
| § 240.21F-18 - xxx |
| Suspension and Expulsion of Exchange Members |
| § 240.19a3-1 - [Reserved] |
| § 240.19b-3 - [Reserved] |
| § 240.19b-4 - Filings with respect to proposed rule changes by self-regulatory organizations. |
| § 240.19b-5 - Temporary exemption from the filing requirements of Section 19(b) of the Act. |
| § 240.19b-7 - Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act. |
| § 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges. |
| § 240.19c-3 - Governing off-board trading by members of national securities exchanges. |
| § 240.19c-4 - Governing certain listing or authorization determinations by national securities exchanges and associations. |
| § 240.19c-5 - Governing the multiple listing of options on national securities exchanges. |
| § 240.19d-2 - Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization. |
| § 240.19d-4 - Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action. |
| § 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder. |
| Preservation of Records and Reports of Certain Stabilizing Activities |
| § 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board. |
| § 240.17a-2 - Recordkeeping requirements relating to stabilizing activities. |
| § 240.17a-3 - Records to be made by certain exchange members, brokers and dealers. |
| § 240.17a-5 - Reports to be made by certain brokers and dealers. |
| § 240.17a-6 - Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents. |
| § 240.17a-7 - Records of non-resident brokers and dealers. |
| § 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions. |
| § 240.17a-10 - Report on revenue and expenses. |
| § 240.17a-11 - Notification provisions for brokers and dealers. |
| § 240.17a-12 - Reports to be made by certain OTC derivatives dealers. |
| § 240.17a-13 - Quarterly security counts to be made by certain exchange members, brokers, and dealers. |
| § 240.17a-14 - xxx |
| § 240.17a-18 - [Reserved] |
| § 240.17a-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. |
| § 240.17a-21 - Reports of the Municipal Securities Rulemaking Board. |
| § 240.17a-22 - Supplemental material of registered clearing agencies. |
| § 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems. |
| § 240.17a-24 - Reports of lost securityholders. |
| § 240.17a-25 - Electronic submission of securities transaction information by exchange members, brokers, and dealers. |
| § 240.17d-1 - Examination for compliance with applicable financial responsibility rules. |
| § 240.17d-2 - Program for allocation of regulatory responsibility. |
| § 240.17f-1 - Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities. |
| § 240.17f-2 - Fingerprinting of securities industry personnel. |
| § 240.17a-9T - Records to be made and retained by certain exchange members, brokers and dealers. |
| Unlisted Trading |
| § 240.12f-1 - Applications for permission to reinstate unlisted trading privileges. |
| § 240.12f-2 - Extending unlisted trading privileges to a security that is the subject of an initial public offering. |
| § 240.12f-3 - Termination or suspension of unlisted trading privileges. |
| § 240.12f-4 - Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16. |
| § 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended. |
| § 240.12f-6 - [Reserved] |
| Annual Reports |
| § 240.13a-1 - Requirements of annual reports. |
| § 240.13a-2 - [Reserved] |
| § 240.13a-3 - Reporting by Form 40-F registrant. |
| § 240.15d-1 - Requirement of annual reports. |
| § 240.15d-2 - Special financial report. |
| § 240.15d-3 - Reports for depositary shares registered on Form F-6. |
| § 240.15d-4 - Reporting by Form 40-F registrants. |
| § 240.15d-5 - Reporting by successor issuers. |
| § 240.15d-6 - Suspension of duty to file reports. |
| Extensions and Temporary Exemptions; Definitions |
| § 240.12g-1 - Registration of securities; exemption from section 12(g). |
| § 240.12g5-1 - Definition of securities “held of record”. |
| § 240.12g-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). |
| § 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities. |
| § 240.12g5-2 - Definition of “total assets”. |
| § 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g). |
| § 240.12g-4 - Certifications of termination of registration under section 12(g). |
| § 240.12g-6 - Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding. |
| § 240.12h-1 - Exemptions from registration under section 12(g) of the Act. |
| § 240.12h-2 - [Reserved] |
| § 240.12h-3 - Suspension of duty to file reports under section 15(d). |
| § 240.12h-4 - Exemption from duty to file reports under section 15(d). |
| § 240.12h-5 - Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors. |
| § 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation. |
| Regulation 14E |
| Certification by Exchanges and Effectiveness of Registration |
| § 240.12d1-1 - Registration effective as to class or series. |
| § 240.12d1-2 - Effectiveness of registration. |
| § 240.12d1-3 - Requirements as to certification. |
| § 240.12d1-4 - Date of receipt of certification by Commission. |
| § 240.12d1-5 - Operation of certification on subsequent amendments. |
| § 240.12d1-6 - Withdrawal of certification. |
| General |
| § 240.12b-1 - Scope of regulation. |
| § 240.12b-3 - Title of securities. |
| § 240.12b-4 - Supplemental information. |
| § 240.12b-5 - Determination of affiliates of banks. |
| § 240.12b-6 - When securities are deemed to be registered. |
| § 240.12b-7 - [Reserved] |
| Formal Requirements |
| § 240.12b-10 - Requirements as to proper form. |
| § 240.12b-11 - Number of copies; signatures; binding. |
| § 240.12b-12 - Requirements as to paper, printing and language. |
| § 240.12b-13 - Preparation of statement or report. |
| § 240.12b-14 - Riders; inserts. |
| § 240.12b-15 - Amendments. |
| Exemption of Certain Issuers from Section 15(D) of the Act |
| § 240.15d-21 - Reports for employee stock purchase, savings and similar plans. |
| § 240.15d-22 - Reporting regarding asset-backed securities under section 15(d) of the Act. |
| § 240.15d-23 - Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act. |
| § 240.15g-1 - Exemptions for certain transactions. |
| § 240.15g-2 - Penny stock disclosure document relating to the penny stock market. |
| § 240.15g-3 - Broker or dealer disclosure of quotations and other information relating to the penny stock market. |
| § 240.15g-4 - Disclosure of compensation to brokers or dealers. |
| § 240.15g-5 - Disclosure of compensation of associated persons in connection with penny stock transactions. |
| § 240.15g-6 - Account statements for penny stock customers. |
| § 240.15g-8 - Sales of escrowed securities of blank check companies. |
| § 240.15g-9 - Sales practice requirements for certain low-priced securities. |
| § 240.15g-100 - Schedule 15G - Information to be included in the document distributed pursuant to 17 CFR 240.15g-2. |
| § 240.15l-1 - xxx |
| Exemption of Certain Transactions from Section 16(C) |
| § 240.16c-1 - Brokers. |
| § 240.16c-2 - Transactions effected in connection with a distribution. |
| § 240.16c-3 - Exemption of sales of securities to be acquired. |
| § 240.16c-4 - Derivative securities. |
| Regulation 14D |
| Exhibits |
| § 240.12b-30 - Additional exhibits. |
| § 240.12b-31 - Omission of substantially identical documents. |
| § 240.12b-32 - [Reserved] |
| § 240.12b-33 - Annual reports to other Federal agencies. |
| Nationally Recognized Statistical Rating Organizations |
| § 240.17g-1 - Application for registration as a nationally recognized statistical rating organization. |
| § 240.17g-2 - Records to be made and retained by nationally recognized statistical rating organizations. |
| § 240.17g-3 - Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations. |
| § 240.17g-4 - Prevention of misuse of material nonpublic information. |
| § 240.17g-5 - Conflicts of interest. |
| § 240.17g-6 - Prohibited acts and practices. |
| § 240.17g-7 - Disclosure requirements. |
| § 240.17g-8 - Policies, procedures, and internal controls. |
| § 240.17g-9 - Standards of training, experience, and competence for credit analysts. |
| § 240.17g-10 - Certification of providers of third-party due diligence services in connection with asset-backed securities. |
| § 240.17Ab2-1 - Registration of clearing agencies. |
| § 240.17Ab2-2 - Determinations affecting covered clearing agencies. |
| § 240.17Ac2-1 - Application for registration of transfer agents. |
| § 240.17Ac3-1 - Withdrawal from registration with the Commission. |
| § 240.17Ac2-2 - Annual reporting requirement for registered transfer agents. |
| § 240.17Ad-1 - Definitions. |
| § 240.17Ad-2 - Turnaround, processing, and forwarding of items. |
| § 240.17Ad-3 - Limitations on expansion. |
| § 240.17Ad-4 - Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11). |
| § 240.17Ad-5 - Written inquiries and requests. |
| § 240.17Ad-6 - Recordkeeping. |
| § 240.17Ad-7 - Record retention. |
| § 240.17Ad-8 - Securities position listings. |
| § 240.17Ad-9 - Definitions. |
| § 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files. |
| § 240.17Ad-12 - Safeguarding of funds and securities. |
| § 240.17Ad-13 - Annual study and evaluation of internal accounting control. |
| § 240.17Ad-14 - Tender agents. |
| § 240.17Ad-15 - Signature guarantees. |
| § 240.17Ad-16 - Notice of assumption or termination of transfer agent services. |
| § 240.17Ad-17 - Lost securityholders and unresponsive payees. |
| § 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents. |
| § 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates. |
| § 240.17Ad-24 - xxx |
| § 240.17Ad-27 - Straight-through processing by clearing agencies that provide a central matching service. |
| § 240.17h-1T - Risk assessment recordkeeping requirements for associated persons of brokers and dealers. |
| § 240.17h-2T - Risk assessment reporting requirements for brokers and dealers. |
| § 240.17Ad-21T - Operational capability in a Year 2000 environment. |
| § 240.18a-1 - xxx |
| § 240.18a-2 - xxx |
| § 240.18a-3 - xxx |
| § 240.18a-4 - xxx |
| § 240.18a-10 - xxx |
| § 240.18a-1a - xxx |
| § 240.18a-4a - xxx |
| § 240.18a-1b - xxx |
| § 240.18a-1c - xxx |
| § 240.18a-1d - xxx |
| Regulation 14a: Solicitation of Proxies |
| § 240.14a-11 - [Reserved] |
| Special Provisions |
| § 240.12b-35 - [Reserved] |
| § 240.12b-36 - Use of financial statements filed under other acts. |
| § 240.12b-37 - Satisfaction of filing requirements. |
| Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants |
| § 240.18a-5 - xxx |
| § 240.18a-6 - xxx |
| § 240.18a-7 - xxx |
| § 240.18a-8 - xxx |
| § 240.18a-9 - xxx |
| Registration of Brokers and Dealers |
| § 240.15a-6 - Exemption of certain foreign brokers or dealers. |
| § 240.15a-7 - Exemption from the definitions of “broker” or “dealer” for banks for limited period of time. |
| § 240.15a-8 - Exemption for banks from Section 29 liability. |
| § 240.15a-9 - Exemption from the definitions of “broker” and “dealer” for savings associations and savings banks. |
| § 240.15a-10 - Exemption of certain brokers or dealers with respect to security futures products. |
| § 240.15a-11 - [Reserved] |
| § 240.15b1-1 - Application for registration of brokers or dealers. |
| § 240.15b11-1 - Registration by notice of security futures product broker-dealers. |
| § 240.15b12-1 - Brokers or dealers engaged in a retail forex business. |
| § 240.15b3-1 - Amendments to application. |
| § 240.15b5-1 - Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation. |
| § 240.15b6-1 - Withdrawal from registration. |
| § 240.15b7-1 - Compliance with qualification requirements of self-regulatory organizations. |
| § 240.15b1-2 - [Reserved] |
| § 240.15b2-2 - Inspection of newly registered brokers and dealers. |
| § 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers. |
| § 240.15b1-3 - Registration of successor to registered broker or dealer. |
| § 240.15b1-4 - Registration of fiduciaries. |
| § 240.15b1-5 - 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 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees. |
| §§ 240.15a-7--240.15a-9 - [Reserved] |
| § 240.15b12-1T - Brokers or dealers engaged in a retail forex business. |
| § 240.15b7-3T - Operational capability in a Year 2000 environment. |
| Exemption of Certain Transactions from Section 16(B) |
| § 240.16b-1 - Transactions approved by a regulatory authority. |
| § 240.16b-2 - [Reserved] |
| § 240.16b-3 - Transactions between an issuer and its officers or directors. |
| § 240.16b-4 - [Reserved] |
| § 240.16b-5 - Bona fide gifts and inheritance. |
| § 240.16b-6 - Derivative securities. |
| § 240.16b-7 - Mergers, reclassifications, and consolidations. |
| § 240.16b-8 - Voting trusts. |
| Regulation 13D-G |
| Regulation 13b-2:Maintenance of Records and Preparation of Required Reports |
| Registration of Government Securities Brokers and Government Securities Dealers |
| § 240.15Ca1-1 - Notice of government securities broker-dealer activities. |
| § 240.15Ca2-1 - Application for registration as a government securities broker or government securities dealer. |
| § 240.15Ca2-2 - [Reserved] |
| § 240.15Ca2-3 - Registration of successor to registered government securities broker or government securities dealer. |
| § 240.15Ca2-4 - Registration of fiduciaries. |
| § 240.15Cc1-1 - Withdrawal from registration of government securities brokers or government securities dealers. |
| National and Affiliated Securities Associations |
| § 240.15Aa-1 - Registration of a national or an affiliated securities association. |
| § 240.15Ba1-1 - Definitions. |
| § 240.15Ba2-1 - Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks. |
| § 240.15Ba1-2 - Registration of municipal advisors and information regarding certain natural persons. |
| § 240.15Ba2-2 - Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate. |
| § 240.15Ba1-3 - Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act. |
| § 240.15Ba1-4 - Withdrawal from municipal advisor registration. |
| § 240.15Ba2-4 - Registration of successor to registered municipal securities dealer. |
| § 240.15Ba1-5 - Amendments to Form MA and Form MA-I. |
| § 240.15Ba2-5 - Registration of fiduciaries. |
| § 240.15Ba1-6 - Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors. |
| § 240.15Ba2-6 - [Reserved] |
| § 240.15Ba1-7 - Registration of successor to municipal advisor. |
| § 240.15Ba1-8 - Books and records to be made and maintained by municipal advisors. |
| § 240.15Bc3-1 - Withdrawal from registration of municipal securities dealers. |
| § 240.15Bc4-1 - Persons associated with municipal advisors. |
| § 240.15Bc7-1 - Availability of examination reports. |
| § 240.15Aj-1 - Amendments and supplements to registration statements of securities associations. |
| § 240.15Al2-1 - [Reserved] |
| § 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration. |
| Rules Relating to over-the-Counter Markets |
| § 240.15c1-1 - Definitions. |
| § 240.15c2-1 - Hypothecation of customers' securities. |
| § 240.15c3-1 - Net capital requirements for brokers or dealers. |
| § 240.15c6-1 - Settlement cycle. |
| § 240.15c1-2 - Fraud and misrepresentation. |
| § 240.15c3-2 - [Reserved] |
| § 240.15c6-2 - Same-day allocation, confirmation, and affirmation. |
| § 240.15c1-3 - Misrepresentation by brokers, dealers and municipal securities dealers as to registration. |
| § 240.15c2-3 - [Reserved] |
| § 240.15c3-3 - Customer protection - reserves and custody of securities. |
| § 240.15c1-4 - [Reserved] |
| § 240.15c2-4 - Transmission or maintenance of payments received in connection with underwritings. |
| § 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers. |
| § 240.15c1-5 - Disclosure of control. |
| § 240.15c2-5 - Disclosure and other requirements when extending or arranging credit in certain transactions. |
| § 240.15c3-5 - Risk management controls for brokers or dealers with market access. |
| § 240.15c1-6 - Disclosure of interest in distribution. |
| § 240.15c2-6 - [Reserved] |
| § 240.15c1-7 - Discretionary accounts. |
| § 240.15c2-7 - Identification of quotations. |
| § 240.15c1-8 - Sales at the market. |
| § 240.15c2-8 - Delivery of prospectus. |
| § 240.15c1-9 - Use of pro forma balance sheets. |
| § 240.15c2-11 - Publication or submission of quotations without specified information. |
| § 240.15c2-12 - Municipal securities disclosure. |
| § 240.15c3-1a - Options (Appendix A to 17 CFR 240.15c3-1). |
| § 240.15c3-1b - Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1). |
| § 240.15c3-3b - xxx |
| § 240.15c3-1c - Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1). |
| § 240.15c3-1d - Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1). |
| § 240.15c3-1e - Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1). |
| § 240.15c3-1f - Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1). |
| § 240.15c3-1g - Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1). |
| Exemption of Certain Securities from Section 15(a) |
| § 240.15a-2 - Exemption of certain securities of cooperative apartment houses from section 15(a). |
| § 240.15a-3 - [Reserved] |
| § 240.15a-4 - Forty-five day exemption from registration for certain members of national securities exchanges. |
| § 240.15a-5 - Exemption of certain nonbank lenders. |
| § 240.12a-10T - Temporary exemption of eligible credit default swaps from Section 12(a) of the Act. |
| § 240.13d-4 - Disclaimer of beneficial ownership. |
| § 240.13e-1 - Purchase of securities by the issuer during a third-party tender offer. |
| § 240.13e-2 - [Reserved] |
| § 240.13e-3 - Going private transactions by certain issuers or their affiliates. |
| § 240.13e-4 - Tender offers by issuers. |
| § 240.13e-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 - [Reserved] |
| § 240.13e-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. |
| § 240.13f-1 - Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion. |
| § 240.13h-1 - Large trader reporting. |
| § 240.13k-1 - Foreign bank exemption from the insider lending prohibition under section 13(k). |
| § 240.13n-1 - Registration of security-based swap data repository. |
| § 240.13n-2 - Withdrawal from registration; revocation and cancellation. |
| § 240.13n-3 - Registration of successor to registered security-based swap data repository. |
| § 240.13n-4 - Duties and core principles of security-based swap data repository. |
| § 240.13n-5 - Data collection and maintenance. |
| § 240.13n-6 - Automated systems. |
| § 240.13n-7 - Recordkeeping of security-based swap data repository. |
| § 240.13n-8 - Reports to be provided to the Commission. |
| § 240.13n-9 - Privacy requirements of security-based swap data repository. |
| § 240.13n-10 - Disclosure requirements of security-based swap data repository. |
| § 240.13n-11 - Chief compliance officer of security-based swap data repository; compliance reports and financial reports. |
| § 240.13n-12 - Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons. |
| § 240.13p-1 - Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals. |
| § 240.13q-1 - Disclosure of payments made by resource extraction issuers. |
| § 240.13h-l - Large trader reporting. |
| § 240.13Aa-2T - Interim rule for reporting pre-enactment security-based swap transactions. |
| § 240.14a-1 - Definitions. |
| § 240.14a-2 - Solicitations to which § 240.14a-3 to § 240.14a-15 apply. |
| § 240.14a-3 - Information to be furnished to security holders. |
| § 240.14a-4 - Requirements as to proxy. |
| § 240.14a-5 - Presentation of information in proxy statement. |
| § 240.14a-7 - Obligations of registrants to provide a list of, or mail soliciting material to, security holders. |
| § 240.14a-8 - Shareholder proposals. |
| § 240.14a-9 - False or misleading statements. |
| § 240.14a-10 - Prohibition of certain solicitations. |
| § 240.14a-12 - Solicitation before furnishing a proxy statement. |
| § 240.14a-13 - Obligation of registrants in communicating with beneficial owners. |
| § 240.14a-14 - Modified or superseded documents. |
| § 240.14a-15 - Differential and contingent compensation in connection with roll-up transactions. |
| § 240.14a-16 - Internet availability of proxy materials. |
| § 240.14a-17 - Electronic shareholder forums. |
| § 240.14a-19 - xxx |
| § 240.14a-20 - Shareholder approval of executive compensation of TARP recipients. |
| § 240.14a-21 - Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation. |
| § 240.14a-102 - [Reserved] |
| § 240.14a-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). |
| § 240.14b-1 - Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners. |
| § 240.14b-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 - Definitions. |
| § 240.14c-3 - Annual report to be furnished security holders. |
| § 240.14c-4 - Presentation of information in information statement. |
| § 240.14c-5 - Filing requirements. |
| § 240.14c-6 - False or misleading statements. |
| § 240.14c-7 - Providing copies of material for certain beneficial owners. |
| § 240.14c-101 - Schedule 14C. Information required in information statement. |
| § 240.14d-1 - Scope of and definitions applicable to Regulations 14D and 14E. |
| § 240.14d-2 - Commencement of a tender offer. |
| § 240.14d-3 - Filing and transmission of tender offer statement. |
| § 240.14d-4 - Dissemination of tender offers to security holders. |
| § 240.14d-5 - Dissemination of certain tender offers by the use of stockholder lists and security position listings. |
| § 240.14d-6 - Disclosure of tender offer information to security holders. |
| § 240.14d-7 - Additional withdrawal rights. |
| § 240.14d-8 - Exemption from statutory pro rata requirements. |
| § 240.14d-9 - Recommendation or solicitation by the subject company and others. |
| § 240.14d-10 - Equal treatment of security holders. |
| § 240.14d-11 - Subsequent offering period. |
| § 240.14d-101 - Schedule 14D-9. |
| § 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934. |
| § 240.14d-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. |
| § 240.14e-1 - Unlawful tender offer practices. |
| § 240.14e-2 - Position of subject company with respect to a tender offer. |
| § 240.14e-3 - Transactions in securities on the basis of material, nonpublic information in the context of tender offers. |
| § 240.14e-4 - Prohibited transactions in connection with partial tender offers. |
| § 240.14e-5 - Prohibiting purchases outside of a tender offer. |
| § 240.14e-6 - Repurchase offers by certain closed-end registered investment companies. |
| § 240.14e-7 - Unlawful tender offer practices in connection with roll-ups. |
| § 240.14e-8 - Prohibited conduct in connection with pre-commencement communications. |
| § 240.14f-1 - Change in majority of directors. |
| § 240.14Ad-1 - xxx |
| Other Reports |
| § 240.13a-10 - Transition reports. |
| § 240.13a-13 - Quarterly reports on Form 10-Q (§ 249.308a of this chapter). |
| § 240.13a-14 - Certification of disclosure in annual and quarterly reports. |
| § 240.13a-15 - Controls and procedures. |
| § 240.13a-16 - Reports of foreign private issuers on Form 6-K (17 CFR 249.306). |
| § 240.13a-17 - Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter). |
| § 240.13a-18 - Compliance with servicing criteria for asset-backed securities. |
| § 240.13a-19 - Reports by shell companies on Form 20-F. |
| § 240.13a-20 - Plain English presentation of specified information. |
| § 240.15d-10 - Transition reports. |
| § 240.15d-13 - Quarterly reports on Form 10-Q (§ 249.308 of this chapter). |
| § 240.15d-14 - Certification of disclosure in annual and quarterly reports. |
| § 240.15d-15 - Controls and procedures. |
| § 240.15d-16 - Reports of foreign private issuers on Form 6-K [17 CFR 249.306]. |
| § 240.15d-17 - Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter). |
| § 240.15d-18 - Compliance with servicing criteria for asset-backed securities. |
| § 240.15d-19 - Reports by shell companies on Form 20-F. |
| § 240.15d-20 - Plain English presentation of specified information. |
| § 240.17i-1 - Definitions. |
| § 240.17i-2 - Notice of intention to be supervised by the Commission as a supervised investment bank holding company. |
| § 240.17i-3 - Withdrawal from supervision by the Commission as a supervised investment bank holding company. |
| § 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding companies. |
| § 240.17i-5 - Record creation, maintenance, and access requirements for supervised investment bank holding companies. |
| § 240.17i-6 - Reporting requirements for supervised investment bank holding companies. |
| § 240.17i-7 - Calculations of allowable capital and risk allowances or alternative capital assessment. |
| § 240.17i-8 - Notification provisions for supervised investment bank holding companies. |