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Code of Federal Regulations (Last Updated: November 8, 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 242 - Regulations M, SHO, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures |
Part 242 - Regulations M, SHO, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures
| § 242.300 - Definitions. |
| § 242.301 - Requirements for alternative trading systems. |
| § 242.302 - Recordkeeping requirements for alternative trading systems. |
| § 242.303 - Record preservation requirements for alternative trading systems. |
| § 242.304 - xxx |
| §§ 242.1000--242.1007 - xxx |
| Customer Margin Requirements for Security Futures |
| § 242.400 - Customer margin requirements for security futures - authority, purpose, interpretation, and scope. |
| § 242.401 - Definitions. |
| § 242.402 - General provisions. |
| § 242.403 - Required margin. |
| § 242.404 - Type, form and use of margin. |
| § 242.405 - Withdrawal of margin. |
| § 242.406 - Undermargined accounts. |
| Regulation M |
| § 242.100 - Preliminary note; definitions. |
| § 242.101 - Activities by distribution participants. |
| § 242.102 - Activities by issuers and selling security holders during a distribution. |
| § 242.103 - Nasdaq passive market making. |
| § 242.104 - Stabilizing and other activities in connection with an offering. |
| § 242.105 - Short selling in connection with a public offering. |
| Regulation NMS—Regulation of the National Market System |
| § 242.600 - NMS security designation and definitions. |
| § 242.602 - Dissemination of quotations in NMS securities. |
| § 242.603 - Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks. |
| § 242.605 - Disclosure of order execution information. |
| § 242.610 - Access to quotations. |
| § 242.611 - Order protection rule. |
| § 242.612 - Minimum pricing increment. |
| § 242.614 - Registration and responsibilities of competing consolidators. |
| § 242.610T - Equity transaction fee pilot. |
| Regulation AC - Analyst Certification |
| § 242.500 - Definitions. |
| § 242.501 - Certifications in connection with research reports. |
| § 242.502 - Certifications in connection with public appearances. |
| § 242.503 - Certain foreign research reports. |
| § 242.504 - Notification to associated persons. |
| § 242.505 - Exclusion for news media. |
| Regulation SHO—Regulation of Short Sales |
| § 242.201 - Circuit breaker. |
| § 242.204 - Close-out requirement. |
| § 242.202T - Temporary short sale rule suspension. |
| § 242.204T - Short sales. |
| Regulation Sho - Regulation of Short Sales |
| § 242.200 - Definition of “short sale” and marking requirements. |
| § 242.203 - Borrowing and delivery requirements. |
| Regulation Sbsr - Regulatory Reporting and Public Dissemination of Security-Based Swap Information |
| § 242.900 - Definitions. |
| § 242.901 - Reporting obligations. |
| § 242.902 - Public dissemination of transaction reports. |
| § 242.903 - Coded information. |
| § 242.904 - Operating hours of registered security-based swap data repositories. |
| § 242.905 - Correction of errors in security-based swap information. |
| § 242.906 - Other duties of participants. |
| § 242.907 - Policies and procedures of registered security-based swap data repositories. |
| § 242.908 - Cross-border matters. |
| § 242.909 - Registration of security-based swap data repository as a securities information processor. |
| Regulation Nms - Regulation of the National Market System |
| § 242.242 - 610T Equity transaction fee pilot. |
| § 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks. |
| § 242.604 - Display of customer limit orders. |
| § 242.606 - Disclosure of order routing information. |
| § 242.607 - Customer account statements. |
| § 242.608 - Filing and amendment of national market system plans. |
| § 242.609 - Registration of securities information processors: form of application and amendments. |
| § 242.613 - Consolidated audit trail. |
| Regulation Ats - Alternative Trading Systems |
| Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information |
| Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities |
| § 242.800 - Scope. |
| § 242.801 - Applicable provisions. |
| § 242.802 - Definitions. |
| § 242.803 - Requirements and procedures for registration. |
| § 242.804 - Listing products for trading by certification. |
| § 242.805 - Voluntary submission of new products for Commission review and approval. |
| § 242.806 - Voluntary submission of rules for Commission review and approval. |
| § 242.807 - Self-certification of rules. |
| § 242.808 - Availability of public information. |
| § 242.809 - Staying of certification and tolling of review period pending jurisdictional determination. |
| § 242.810 - Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities. |
| § 242.811 - Information relating to security-based swap execution facility compliance. |
| § 242.812 - Enforceability. |
| § 242.813 - Prohibited use of data collected for regulatory purposes. |
| § 242.814 - Entity operating both a national securities exchange and security-based swap execution facility. |
| § 242.815 - Methods of execution for Required and Permitted Transactions. |
| § 242.816 - Trade execution requirement and exemptions therefrom. |
| § 242.817 - Trade execution compliance schedule. |
| § 242.818 - Core Principle 1—Compliance with core principles. |
| § 242.819 - Core Principle 2—Compliance with rules. |
| § 242.820 - Core Principle 3—Security-based swaps not readily susceptible to manipulation. |
| § 242.821 - Core Principle 4—Monitoring of trading and trade processing. |
| § 242.822 - Core Principle 5—Ability to obtain information. |
| § 242.823 - Core Principle 6—Financial integrity of transactions. |
| § 242.824 - Core Principle 7—Emergency authority. |
| § 242.825 - Core Principle 8—Timely publication of trading information. |
| § 242.826 - Core Principle 9—Recordkeeping and reporting. |
| § 242.827 - Core Principle 10—Antitrust considerations. |
| § 242.828 - Core Principle 11—Conflicts of interest. |
| § 242.829 - Core Principle 12—Financial resources. |
| § 242.830 - Core Principle 13—System safeguards. |
| § 242.831 - Core Principle 14—Designation of chief compliance officer. |
| § 242.832 - Application of the trade execution requirement to cross-border security-based swap transactions. |
| § 242.833 - Cross-border exemptions. |
| § 242.834 - Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges. |
| § 242.835 - Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access. |
| SubPart - Regulation SCI - Systems Compliance and Integrity |
| § 242.1000 - Definitions. |
| § 242.1001 - Obligations related to policies and procedures of SCI entities. |
| § 242.1002 - Obligations related to SCI events. |
| § 242.1003 - Obligations related to systems changes; SCI review. |
| § 242.1004 - SCI entity business continuity and disaster recovery plans testing requirements for members or participants. |
| § 242.1005 - Recordkeeping requirements related to compliance with Regulation SCI. |
| § 242.1006 - Electronic filing and submission. |
| § 242.1007 - Requirements for service bureaus. |
| Regulation AC—Analyst Certification |