Subpart A — Rules and Regulations Under the Securities Exchange Act of 1934  


§ 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 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 order under the Exchange Act.
§ 240.31 Section 31 transaction fees.
§ 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.
§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
§ 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
§ 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.
§ 240.10b-2 [Reserved]
§ 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-1 Listing standards relating to compensation committees.
§§ 240.10a-1 — 240.10a-2 [Reserved]
§§ 240.10b-6 — 240.10b-8 [Reserved]
§ 240.11a2-2(T) Transactions effected by exchange members through other members.
§ 240.11a1-4(T) Bond transactions on national securities exchanges.
§ 240.11a1-1(T) Transactions yielding priority, parity, and precedence.
§ 240.11a1-3(T) Bona fide hedge transactions in certain securities.
§ 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.
§ 240.11b-1 Regulation of specialists.
§ 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.
§ 240.21F-1 General.
§ 240.21F-2 Whistleblower status and retaliation protection.
§ 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.
§ 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.
§ 240.31T Temporary rule regarding fiscal year 2004.
§ 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.
§ 240.12b-1 Scope of regulation.
§ 240.12b-2 Definitions.
§ 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]
§ 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.
§ 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.
§ 240.12b-30 Additional exhibits.
§ 240.12b-31 Omission of substantially identical documents.
§ 240.12b-32 Incorporation of exhibits by reference.
§ 240.12b-33 Annual reports to other Federal agencies.
§ 240.12b-35 [Reserved]
§ 240.12b-36 Use of financial statements filed under other acts.
§ 240.12b-37 Satisfaction of filing requirements.
§ 240.12d1-1 Registration effective as to class or series.
§ 240.12d2-1 Suspension of trading.
§ 240.12d2-2 Removal from listing and registration.
§ 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.
§ 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]
§ 240.12g5-1 Definition of securities “held of record”.
§ 240.12g-1 Registration of securities; exemption from section 12(g).
§ 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).
§ 240.12g5-2 Definition of “total assets”.
§ 240.12g3-2 Exemptions for American depositary receipts and certain foreign securities.
§ 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.
§ 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-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 Exemption for issuers of securities that are subject to insurance regulation.
§ 240.12a-10T Temporary exemption of eligible credit default swaps from Section 12(a) of the Act.
§ 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.
§ 240.3a12-1 Exemption of certain mortgages and interests in mortgages.
§ 240.3a11-1 Definition of the term “equity security.”
§ 240.3a67-1 Definition of “major security-based swap participant.”
§ 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
§ 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
§ 240.3a4-1 Associated persons of an issuer deemed not to be brokers.
§ 240.13a-1 Requirements of annual reports.
§ 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
§ 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.
§ 240.3a51-1 Definition of “penny stock”.
§ 240.3a71-1 Definition of “security-based swap dealer.”
§ 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.
§ 240.3a40-1 Designation of financial responsibility rules.
§ 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
§ 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 240.3a71-2 De minimis exception.
§ 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 240.3a12-2 [Reserved]
§ 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act — additional products.
§ 240.3a67-2 Categories of security-based swaps.
§ 240.13a-2 [Reserved]
§ 240.3a67-3 Definition of “substantial position.”
§ 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.
§ 240.3a68-3 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.
§ 240.13a-3 Reporting by Form 40-F registrant.
§ 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
§ 240.3a71-3 Cross-border security-based swap dealing activity.
§ 240.3a67-4 Definition of “hedging or mitigating commercial risk.”
§ 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
§ 240.3a68-4 Regulation of mixed swaps.
§ 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
§ 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.
§ 240.3a67-5 Definition of “substantial counterparty exposure.”
§ 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
§ 240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
§ 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
§ 240.3a67-6 Definition of “financial entity.”
§ 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
§ 240.3a67-7 Definition of “highly leveraged.”
§ 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.
§ 240.3a67-8 Timing requirements, reevaluation period, and termination of status.
§ 240.3a67-9 Calculation of major participant status by certain persons.
§ 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.
§ 240.13a-10 Transition reports.
§ 240.3a67-10 Foreign major security-based swap participants.
§ 240.13a-11 Current reports on Form 8-K (§ 249.308 of this chapter).
§ 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.
§ 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.
§ 240.3b-1 Definition of “listed”.
§ 240.13b2-1 Falsification of accounting records.
§ 240.13b2-2 Representations and conduct in connection with the preparation of required reports and documents.
§ 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-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.
§ 240.13d-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-4 Disclaimer of beneficial ownership.
§ 240.13d-5 Acquisition of securities.
§ 240.13d-6 Exemption of certain acquisitions.
§ 240.13d-7 Dissemination.
§ 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.
§ 240.13e-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.
§ 240.13k-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.
§ 240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71–2).
§ 240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
§§ 240.3a4-2 — 240.3a4-6 [Reserved]
§ 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
§ 240.3Ca-1 Stay of clearing requirement and review by the Commission.
§ 240.3Ca-2 Submission of security-based swaps for clearing.
§§ 240.3b-9 — 240.3b-10 [Reserved]
§ 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-6 Filing requirements.
§ 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-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-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-101 Schedule 14A. Information required in proxy statement.
§ 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).
§ 240.14a-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).
§ 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.24b-1 Documents to be kept public by exchanges.
§ 240.24b-2 Nondisclosure of information filed with the Commission and with any exchange.
§ 240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.24b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.
§ 240.14c-1 Definitions.
§ 240.24c-1 Access to nonpublic information.
§ 240.14c-2 Distribution of information statement.
§ 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-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 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.
§ 240.14n-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.
§ 240.15a-1 Securities activities of OTC derivatives dealers.
§ 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.
§ 240.15a-6 Exemption of certain foreign brokers or dealers.
§ 240.15a1-6 xxx
§ 240.15a-10 Exemption of certain brokers or dealers with respect to security futures products.
§ 240.15a-11 [Reserved]
§ 240.15b11-1 Registration by notice of security futures product broker-dealers.
§ 240.15b12-1 Brokers or dealers engaged in a retail forex business.
§ 240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
§ 240.15b6-1 Withdrawal from registration.
§ 240.15b3-1 Amendments to application.
§ 240.15b7-1 Compliance with qualification requirements of self-regulatory organizations.
§ 240.15b1-1 Application for registration of brokers or dealers.
§ 240.15b9-1 Exemption for certain exchange members.
§ 240.15b2-2 Inspection of newly registered brokers and dealers.
§ 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.
§ 240.15b1-2 [Reserved]
§ 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.
§ 240.15c2-1 Hypothecation of customers' securities.
§ 240.15c6-1 Settlement cycle.
§ 240.15c1-1 Definitions.
§ 240.15c3-1 Net capital requirements for brokers or dealers.
§ 240.15c1-2 Fraud and misrepresentation.
§ 240.15c3-2 [Reserved]
§ 240.15c2-3 [Reserved]
§ 240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
§ 240.15c3-3 Customer protection — reserves and custody of securities.
§ 240.15c1-4 [Reserved]
§ 240.15c3-4 Internal risk management control systems for OTC derivatives dealers.
§ 240.15c2-4 Transmission or maintenance of payments received in connection with underwritings.
§ 240.15c3-5 Risk management controls for brokers or dealers with market access.
§ 240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
§ 240.15c1-5 Disclosure of control.
§ 240.15c2-6 [Reserved]
§ 240.15c1-6 Disclosure of interest in distribution.
§ 240.15c1-7 Discretionary accounts.
§ 240.15c2-7 Identification of quotations.
§ 240.15c2-8 Delivery of prospectus.
§ 240.15c1-8 Sales at the market.
§ 240.15c1-9 Use of pro forma balance sheets.
§ 240.15c2-11 Initiation or resumption of quotations without specific information.
§ 240.15c2-12 Municipal securities disclosure.
§ 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.
§ 240.15d-10 Transition reports.
§ 240.15d-11 Current reports on Form 8-K (§ 249.308 of this chapter).
§ 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.
§ 240.15d-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.
§ 240.15Aa-1 Registration of a national or an affiliated securities association.
§§ 240.15a-7 — 240.15a-9 [Reserved]
§ 240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
§ 240.15Ba1-1 Definitions.
§ 240.15Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
§ 240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons.
§ 240.15Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
§ 240.15Ba2-4 Registration of successor to registered municipal securities dealer.
§ 240.15Ba1-4 Withdrawal from municipal advisor registration.
§ 240.15Ba2-5 Registration of fiduciaries.
§ 240.15Ba1-5 Amendments to Form MA and Form MA-I.
§ 240.15Ba2-6 [Reserved]
§ 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.
§ 240.15Ba1-7 Registration of successor to municipal advisor.
§ 240.15Ba1-8 Books and records to be made and maintained by municipal advisors.
§ 240.15c3-3a ExhibitA — Formula for determination of customer and PAB account reserve requirements of brokers and dealers under §240.15c3-3.
§ 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
§ 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.
§ 240.15Ca2-5 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.
§ 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to 17 CFR 240.15c3-1).
§ 240.15Bc3-1 Withdrawal from registration of municipal securities dealers.
§ 240.15Bc7-1 Availability of examination reports.
§ 240.15Bc4-1 Persons associated with municipal advisors.
§ 240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (Appendix C to 17 CFR 240.15c3-1).
§ 240.15Cc1-1 Withdrawal from registration of government securities brokers or government securities dealers.
§ 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).
§ 240.15Ga-1 Repurchases and replacements relating to asset-backed securities.
§ 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 Associated persons.
§ 240.15Ga-2 Findings and conclusions of third-party due diligence reports.
§ 240.15Fb3-2 Withdrawal from registration.
§ 240.15Fb6-2 Associated person certification.
§ 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.
§ 240.15c3-1f 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).
§ 240.15Aj-1 Amendments and supplements to registration statements of securities associations.
§ 240.15Al2-1 [Reserved]
§ 240.15Fh-1 Scope and reliance on representations.
§ 240.15Fh-2 Definitions.
§ 240.15Fh-3 Business conduct requirements.
§ 240.15Fh-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.
§ 240.15Fh-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.
§ 240.15Fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
§ 240.15b7-3T Operational capability in a Year 2000 environment.
§ 240.15b12-1T Brokers or dealers engaged in a retail forex business.
§ 240.15Ba2-6T Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration.
§§ 240.15Fb1-1 — 240.15Fb6-2 xxx
§ 240.16a-1 Definition of terms.
§ 240.36a1-1 Exemption from Section 7 for OTC derivatives dealers.
§ 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.
§ 240.16a-2 Persons and transactions subject to section 16.
§ 240.36a1-2 Exemption from SIPA for OTC derivatives dealers.
§ 240.6a-3 Supplemental material to be filed by exchanges.
§ 240.16a-3 Reporting transactions and holdings.
§ 240.16a-4 Derivative securities.
§ 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.
§ 240.16a-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.
§ 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.
§ 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.
§ 240.16e-1 Arbitrage transactions under section 16.
§ 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.
§ 240.17a-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-4 Records to be preserved 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-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-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
§ 240.7c2-1 [Reserved]
§ 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.
§ 240.17g-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.
§ 240.17i-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.
§ 240.17Ab2-1 Registration of clearing agencies.
§ 240.17Ab2-2 Determinations affecting covered clearing agencies.
§ 240.17Ac3-1 Withdrawal from registration with the Commission.
§ 240.17Ac2-1 Application for registration of transfer agents.
§ 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-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 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-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
§ 240.17Ad-22 Standards for clearing agencies.
§ 240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.
§ 240.17h-2T Risk assessment reporting requirements for brokers and dealers.
§ 240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
§ 240.17Ad-21T Operational capability in a Year 2000 environment.
§ 240.8c-1 Hypothecation of customers' securities.
§ 240.19a3-1 [Reserved]
§ 240.9b-1 Options disclosure document.
§ 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-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 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
§ 240.19d-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 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.
§ 240.19h-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.