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FEDERAL · 17 CFR

Part 240 — General Rules and Regulations, Securities Exchange Act of 1934

594 sections · Title 17: Commodity and Securities Exchanges

§ 240.0-1Definitions.
§ 240.0-2Business hours of the Commission.
§ 240.0-3Filing of material with the Commission.
§ 240.0-4Nondisclosure of information obtained in examinations and investigations.
§ 240.0-5Reference to rule by obsolete designation.
§ 240.0-6Disclosure detrimental to the national defense or foreign policy.
§ 240.0-8Application of rules to registered broker-dealers.
§ 240.0-9Payment of filing fees.
§ 240.0-10Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
§ 240.0-11Filing fees for certain acquisitions, dispositions and similar transactions.
§ 240.0-12Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
§ 240.0-13Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
§ 240.3a1-1Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
§ 240.3a4-1Associated persons of an issuer deemed not to be brokers.
§ 240.3a4-2 - 240.3a4-6§§ 240.3a4-2-240.3a4-6 [Reserved]
§ 240.3a5-1Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
§ 240.3a5-2Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 240.3a5-3Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
§ 240.3a5-4Further definition of “as a part of a regular business” in connection with certain liquidity providers.
§ 240.3a11-1Definition of the term “equity security.”
§ 240.3a12-1Exemption of certain mortgages and interests in mortgages.
§ 240.3a12-2§ 240.3a12-2 [Reserved]
§ 240.3a12-3Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
§ 240.3a12-4Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
§ 240.3a12-5Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
§ 240.3a12-6Definition of “common trust fund” as used in section 3(a)(12) of the Act.
§ 240.3a12-7Exemption for certain derivative securities traded otherwise than on a national securities exchange.
§ 240.3a12-8Exemption for designated foreign government securities for purposes of futures trading.
§ 240.3a12-9Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
§ 240.3a12-10Exemption of certain securities issued by the Resolution Funding Corporation.
§ 240.3a12-11Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
§ 240.3a12-12Exemption from certain provisions of section 16 of the Act for asset-backed securities.
§ 240.3a40-1Designation of financial responsibility rules.
§ 240.3a43-1Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
§ 240.3a44-1Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
§ 240.3a44-2Further definition of “as a part of a regular business” in connection with certain liquidity providers.
§ 240.3a51-1Definition of “penny stock”.
§ 240.3a55-1Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
§ 240.3a55-2Indexes underlying futures contracts trading for fewer than 30 days.
§ 240.3a55-3Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
§ 240.3a55-4Exclusion from definition of narrow-based security index for indexes composed of debt securities.
§ 240.3a67-1Definition of “major security-based swap participant.”
§ 240.3a67-2Categories of security-based swaps.
§ 240.3a67-3Definition of “substantial position.”
§ 240.3a67-4Definition of “hedging or mitigating commercial risk.”
§ 240.3a67-5Definition of “substantial counterparty exposure.”
§ 240.3a67-6Definition of “financial entity.”
§ 240.3a67-7Definition of “highly leveraged.”
§ 240.3a67-8Timing requirements, reevaluation period, and termination of status.
§ 240.3a67-9Calculation of major participant status by certain persons.
§ 240.3a67-10Foreign major security-based swap participants.
§ 240.3a68-1aMeaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
§ 240.3a68-1bMeaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
§ 240.3a68-2Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 240.3a68-3Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
§ 240.3a68-4Regulation of mixed swaps.
§ 240.3a68-5Regulation of certain futures contracts on foreign sovereign debt.
§ 240.3a69-1Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance.
§ 240.3a69-2Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
§ 240.3a69-3Books and records requirements for security-based swap agreements.
§ 240.3a71-1Definition of “security-based swap dealer.”
§ 240.3a71-2<em>De minimis</em> exception.
§ 240.3a71-2AReport regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
§ 240.3a71-3Cross-border security-based swap dealing activity.
§ 240.3a71-4Exception from aggregation for affiliated groups with registered security-based swap dealers.
§ 240.3a71-5Exception for cleared transactions executed on a swap execution facility.
§ 240.3a71-6Substituted compliance for security-based swap dealers and major security-based swap participants.
§ 240.3b-1Definition of “listed”.
§ 240.3b-2Definition of “officer”.
§ 240.3b-3§ 240.3b-3 [Reserved]
§ 240.3b-4Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
§ 240.3b-5Non-exempt securities issued under governmental obligations.
§ 240.3b-6Liability for certain statements by issuers.
§ 240.3b-7Definition of “executive officer”.
§ 240.3b-8Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
§ 240.3b-9 - 240.3b-10§§ 240.3b-9-240.3b-10 [Reserved]
§ 240.3b-11Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
§ 240.3b-12Definition of OTC derivatives dealer.
§ 240.3b-13Definition of eligible OTC derivative instrument.
§ 240.3b-14Definition of cash management securities activities.
§ 240.3b-15Definition of ancillary portfolio management securities activities.
§ 240.3b-16Definitions of terms used in Section 3(a)(1) of the Act.
§ 240.3b-17§ 240.3b-17 [Reserved]
§ 240.3b-18Definitions of terms used in Section 3(a)(5) of the Act.
§ 240.3b-19Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
§ 240.3Ca-1Stay of clearing requirement and review by the Commission.
§ 240.3Ca-2Submission of security-based swaps for clearing.
§ 240.6a-1Application for registration as a national securities exchange or exemption from registration based on limited volume.
§ 240.6a-2Amendments to application.
§ 240.6a-3Supplemental material to be filed by exchanges.
§ 240.6a-4Notice 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-1Settlement and regulatory halt requirements for security futures products.
§ 240.6h-2Security future based on note, bond, debenture, or evidence of indebtedness.
§ 240.7c2-1§ 240.7c2-1 [Reserved]
§ 240.8c-1Hypothecation of customers' securities.
§ 240.9b-1Options disclosure document.
§ 240.9j-1Prohibition against fraud, manipulation, or deception in connection with security-based swaps.
§ 240.10a-1 - 240.10a-2§§ 240.10a-1-240.10a-2 [Reserved]
§ 240.10b-1Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
§ 240.10b-2§ 240.10b-2 [Reserved]
§ 240.10b-3Employment of manipulative and deceptive devices by brokers or dealers.
§ 240.10b-4§ 240.10b-4 [Reserved]
§ 240.10b-5Employment of manipulative and deceptive devices.
§ 240.10b5-1Trading “on the basis of” material nonpublic information in insider trading cases.
§ 240.10b5-2Duties of trust or confidence in misappropriation insider trading cases.
§ 240.10b-6 - 240.10b-8§§ 240.10b-6-240.10b-8 [Reserved]
§ 240.10b-9Prohibited representations in connection with certain offerings.
§ 240.10b-10Confirmation of transactions.
§ 240.10b-13§ 240.10b-13 [Reserved]
§ 240.10b-16Disclosure of credit terms in margin transactions.
§ 240.10b-17Untimely announcements of record dates.
§ 240.10b-18Purchases of certain equity securities by the issuer and others.
§ 240.10b-21Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
§ 240.10c-1aSecurities lending transparency.
§ 240.10A-1Notice to the Commission Pursuant to Section 10A of the Act.
§ 240.10A-2Auditor independence.
§ 240.10A-3Listing standards relating to audit committees.
§ 240.10C-1Listing standards relating to compensation committees.
§ 240.10D-1Listing standards relating to recovery of erroneously awarded compensation.
§ 240.11a-1Regulation of floor trading.
§ 240.11a1-1(T)Transactions yielding priority, parity, and precedence.
§ 240.11a1-2Transactions for certain accounts of associated persons of members.
§ 240.11a1-3(T)Bona fide hedge transactions in certain securities.
§ 240.11a1-4(T)Bond transactions on national securities exchanges.
§ 240.11a1-5Transactions by registered competitive market makers and registered equity market makers.
§ 240.11a1-6Transactions for certain accounts of OTC derivatives dealers.
§ 240.11a2-2(T)Transactions effected by exchange members through other members.
§ 240.11b-1Regulation of specialists.
§ 240.11d1-1Exemption of certain securities from section 11(d)(1).
§ 240.11d1-2Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
§ 240.11d2-1Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
§ 240.12a-4Exemption of certain warrants from section 12(a).
§ 240.12a-5Temporary exemption of substituted or additional securities.
§ 240.12a-6Exemption of securities underlying certain options from section 12(a).
§ 240.12a-7Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
§ 240.12a-8Exemption of depositary shares.
§ 240.12a-9Exemption of standardized options from section 12(a) of the Act.
§ 240.12a-10Exemption of security-based swaps from section 12(a) of the Act.
§ 240.12a-11Exemption 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-1Scope of regulation.
§ 240.12b-2Definitions.
§ 240.12b-3Title of securities.
§ 240.12b-4Supplemental information.
§ 240.12b-5Determination of affiliates of banks.
§ 240.12b-6When securities are deemed to be registered.
§ 240.12b-7§ 240.12b-7 [Reserved]
§ 240.12b-10Requirements as to proper form.
§ 240.12b-11Number of copies; signatures; binding.
§ 240.12b-12Requirements as to paper, printing and language.
§ 240.12b-13Preparation of statement or report.
§ 240.12b-14Riders; inserts.
§ 240.12b-15Amendments.
§ 240.12b-20Additional information.
§ 240.12b-21Information unknown or not available.
§ 240.12b-22Disclaimer of control.
§ 240.12b-23Incorporation by reference.
§ 240.12b-24§ 240.12b-24 [Reserved]
§ 240.12b-25Notification 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-30Additional exhibits.
§ 240.12b-31Omission of substantially identical documents.
§ 240.12b-32§ 240.12b-32 [Reserved]
§ 240.12b-33Annual reports to other Federal agencies.
§ 240.12b-35§ 240.12b-35 [Reserved]
§ 240.12b-36Use of financial statements filed under other acts.
§ 240.12b-37Satisfaction of filing requirements.
§ 240.12d1-1Registration effective as to class or series.
§ 240.12d1-2Effectiveness of registration.
§ 240.12d1-3Requirements as to certification.
§ 240.12d1-4Date of receipt of certification by Commission.
§ 240.12d1-5Operation of certification on subsequent amendments.
§ 240.12d1-6Withdrawal of certification.
§ 240.12d2-1Suspension of trading.
§ 240.12d2-2Removal from listing and registration.
§ 240.12f-1Applications for permission to reinstate unlisted trading privileges.
§ 240.12f-2Extending unlisted trading privileges to a security that is the subject of an initial public offering.
§ 240.12f-3Termination or suspension of unlisted trading privileges.
§ 240.12f-4Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
§ 240.12f-5Exchange rules for securities to which unlisted trading privileges are extended.
§ 240.12f-6§ 240.12f-6 [Reserved]
§ 240.12g-1Registration of securities; exemption from section 12(g).
§ 240.12g-2Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).
§ 240.12g-3Registration of securities of successor issuers under section 12(b) or 12(g).
§ 240.12g-4Certifications of termination of registration under section 12(g).
§ 240.12g-6Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
§ 240.12g3-2Exemptions for American depositary receipts and certain foreign securities.
§ 240.12g5-1Definition of securities “held of record”.
§ 240.12g5-2Definition of “total assets”.
§ 240.12h-1Exemptions from registration under section 12(g) of the Act.
§ 240.12h-2§ 240.12h-2 [Reserved]
§ 240.12h-3Suspension of duty to file reports under section 15(d).
§ 240.12h-4Exemption from duty to file reports under section 15(d).
§ 240.12h-5Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
§ 240.12h-6Certification 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-7Exemption for issuers of securities that are subject to insurance regulation.
§ 240.13a-1Requirements of annual reports.
§ 240.13a-2§ 240.13a-2 [Reserved]
§ 240.13a-3Reporting by Form 40-F registrant.
§ 240.13a-10Transition reports.
§ 240.13a-11Current reports on Form 8-K (§ 249.308 of this chapter).
§ 240.13a-13Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
§ 240.13a-14Certification of disclosure in annual and quarterly reports.
§ 240.13a-15Controls and procedures.
§ 240.13a-16Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
§ 240.13a-17Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
§ 240.13a-18Compliance with servicing criteria for asset-backed securities.
§ 240.13a-19Reports by shell companies on Form 20-F.
§ 240.13a-20Plain English presentation of specified information.
§ 240.13a-21§ 240.13a-21 [Reserved]
§ 240.13b2-1Falsification of accounting records.
§ 240.13b2-2Representations and conduct in connection with the preparation of required reports and documents.
§ 240.13d-1Filing of Schedules 13D and 13G.
§ 240.13d-2Filing of amendments to Schedules 13D or 13G.
§ 240.13d-3Determination of beneficial owner.
§ 240.13d-4Disclaimer of beneficial ownership.
§ 240.13d-5Acquisition of beneficial ownership.
§ 240.13d-6Exemption of certain acquisitions.
§ 240.13d-7§ 240.13d-7 [Reserved]
§ 240.13d-101Schedule 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-102Schedule 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-1Purchase of securities by the issuer during a third-party tender offer.
§ 240.13e-2§ 240.13e-2 [Reserved]
§ 240.13e-3Going private transactions by certain issuers or their affiliates.
§ 240.13e-4Tender offers by issuers.
§ 240.13e-100Schedule 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§ 240.13e-101 [Reserved]
§ 240.13e-102Schedule 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-1Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
§ 240.13f-2Reporting by institutional investment managers regarding gross short position and activity information.
§ 240.13h-1Large trader reporting.
§ 240.13k-1Foreign bank exemption from the insider lending prohibition under section 13(k).
§ 240.13n-1Registration of security-based swap data repository.
§ 240.13n-2Withdrawal from registration; revocation and cancellation.
§ 240.13n-3Registration of successor to registered security-based swap data repository.
§ 240.13n-4Duties and core principles of security-based swap data repository.
§ 240.13n-5Data collection and maintenance.
§ 240.13n-6Automated systems.
§ 240.13n-7Recordkeeping of security-based swap data repository.
§ 240.13n-8Reports to be provided to the Commission.
§ 240.13n-9Privacy requirements of security-based swap data repository.
§ 240.13n-10Disclosure requirements of security-based swap data repository.
§ 240.13n-11Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
§ 240.13n-12Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
§ 240.13p-1Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
§ 240.13q-1Disclosure of payments made by resource extraction issuers.
§ 240.14a-1Definitions.
§ 240.14a-2Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
§ 240.14a-3Information to be furnished to security holders.
§ 240.14a-4Requirements as to proxy.
§ 240.14a-5Presentation of information in proxy statement.
§ 240.14a-6Filing requirements.
§ 240.14a-7Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
§ 240.14a-8Shareholder proposals.
§ 240.14a-9False or misleading statements.
§ 240.14a-10Prohibition of certain solicitations.
§ 240.14a-12Solicitation before furnishing a proxy statement.
§ 240.14a-13Obligation of registrants in communicating with beneficial owners.
§ 240.14a-14Modified or superseded documents.
§ 240.14a-15Differential and contingent compensation in connection with roll-up transactions.
§ 240.14a-16Internet availability of proxy materials.
§ 240.14a-17Electronic shareholder forums.
§ 240.14a-18Disclosure 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-19Solicitation of proxies in support of director nominees other than the registrant's nominees.
§ 240.14a-20Shareholder approval of executive compensation of TARP recipients.
§ 240.14a-21Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
§ 240.14a-101Schedule 14A. Information required in proxy statement.
§ 240.14a-102§ 240.14a-102 [Reserved]
§ 240.14a-103Notice 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-104Notice 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).
§ 240.14Ad-1Report of proxy voting record.
§ 240.14b-1Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14b-2Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14c-1Definitions.
§ 240.14c-2Distribution of information statement.
§ 240.14c-3Annual report to be furnished security holders.
§ 240.14c-4Presentation of information in information statement.
§ 240.14c-5Filing requirements.
§ 240.14c-6False or misleading statements.
§ 240.14c-7Providing copies of material for certain beneficial owners.
§ 240.14c-101Schedule 14C. Information required in information statement.
§ 240.14d-1Scope of and definitions applicable to Regulations 14D and 14E.
§ 240.14d-2Commencement of a tender offer.
§ 240.14d-3Filing and transmission of tender offer statement.
§ 240.14d-4Dissemination of tender offers to security holders.
§ 240.14d-5Dissemination of certain tender offers by the use of stockholder lists and security position listings.
§ 240.14d-6Disclosure of tender offer information to security holders.
§ 240.14d-7Additional withdrawal rights.
§ 240.14d-8Exemption from statutory pro rata requirements.
§ 240.14d-9Recommendation or solicitation by the subject company and others.
§ 240.14d-10Equal treatment of security holders.
§ 240.14d-11Subsequent offering period.
§ 240.14d-100Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
§ 240.14d-101Schedule 14D-9.
§ 240.14d-102Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
§ 240.14d-103Schedule 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-1Unlawful tender offer practices.
§ 240.14e-2Position of subject company with respect to a tender offer.
§ 240.14e-3Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
§ 240.14e-4Prohibited transactions in connection with partial tender offers.
§ 240.14e-5Prohibiting purchases outside of a tender offer.
§ 240.14e-6Repurchase offers by certain closed-end registered investment companies.
§ 240.14e-7Unlawful tender offer practices in connection with roll-ups.
§ 240.14e-8Prohibited conduct in connection with pre-commencement communications.
§ 240.14f-1Change in majority of directors.
§ 240.14n-1Filing of Schedule 14N.
§ 240.14n-2Filing of amendments to Schedule 14N.
§ 240.14n-3Dissemination.
§ 240.14n-101Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
§ 240.15a-1Securities activities of OTC derivatives dealers.
§ 240.15a-2Exemption of certain securities of cooperative apartment houses from section 15(a).
§ 240.15a-3§ 240.15a-3 [Reserved]
§ 240.15a-4Forty-five day exemption from registration for certain members of national securities exchanges.
§ 240.15a-5Exemption of certain nonbank lenders.
§ 240.15a-6Exemption of certain foreign brokers or dealers.
§ 240.15a-7 - 240.15a-9§§ 240.15a-7-240.15a-9 [Reserved]
§ 240.15a-10Exemption of certain brokers or dealers with respect to security futures products.
§ 240.15a-11§ 240.15a-11 [Reserved]
§ 240.15a-12Exemption for certain security-based swap execution facilities from certain broker requirements.
§ 240.15b1-1Application for registration of brokers or dealers.
§ 240.15b1-2§ 240.15b1-2 [Reserved]
§ 240.15b1-3Registration of successor to registered broker or dealer.
§ 240.15b1-4Registration of fiduciaries.
§ 240.15b1-5Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
§ 240.15b1-6Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
§ 240.15b2-2Inspection of newly registered brokers and dealers.
§ 240.15b3-1Amendments to application.
§ 240.15b5-1Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
§ 240.15b6-1Withdrawal from registration.
§ 240.15b7-1Compliance with qualification requirements of self-regulatory organizations.
§ 240.15b7-3TOperational capability in a Year 2000 environment.
§ 240.15b9-1Exemption for certain exchange members.
§ 240.15b9-2Exemption from SRO membership for OTC derivatives dealers.
§ 240.15b11-1Registration by notice of security futures product broker-dealers.
§ 240.15c1-1Definitions.
§ 240.15c1-2Fraud and misrepresentation.
§ 240.15c1-3Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
§ 240.15c1-4§ 240.15c1-4 [Reserved]
§ 240.15c1-5Disclosure of control.
§ 240.15c1-6Disclosure of interest in distribution.
§ 240.15c1-7Discretionary accounts.
§ 240.15c1-8Sales at the market.
§ 240.15c1-9Use of pro forma balance sheets.
§ 240.15c2-1Hypothecation of customers' securities.
§ 240.15c2-3§ 240.15c2-3 [Reserved]
§ 240.15c2-4Transmission or maintenance of payments received in connection with underwritings.
§ 240.15c2-5Disclosure and other requirements when extending or arranging credit in certain transactions.
§ 240.15c2-6§ 240.15c2-6 [Reserved]
§ 240.15c2-7Identification of quotations.
§ 240.15c2-8Delivery of prospectus.
§ 240.15c2-11Publication or submission of quotations without specified information.
§ 240.15c2-12Municipal securities disclosure.
§ 240.15c3-1Net capital requirements for brokers or dealers.
§ 240.15c3-1aOptions (Appendix A to 17 CFR 240.15c3-1).
§ 240.15c3-1bAdjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
§ 240.15c3-1cConsolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
§ 240.15c3-1dSatisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
§ 240.15c3-1eDeductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
§ 240.15c3-1fOptional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
§ 240.15c3-1gConditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
§ 240.15c3-2§ 240.15c3-2 [Reserved]
§ 240.15c3-3Customer protection—reserves and custody of securities.
§ 240.15c3-3aExhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
§ 240.15c3-3bExhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
§ 240.15c3-4Internal risk management control systems for OTC derivatives dealers.
§ 240.15c3-5Risk management controls for brokers or dealers with market access.
§ 240.15c6-1Settlement cycle.
§ 240.15c6-2Same-day allocation, confirmation, and affirmation.
§ 240.15d-1Requirement of annual reports.
§ 240.15d-2Special financial report.
§ 240.15d-3Reports for depositary shares registered on Form F-6.
§ 240.15d-4Reporting by Form 40-F registrants.
§ 240.15d-5Reporting by successor issuers.
§ 240.15d-6Suspension of duty to file reports.
§ 240.15d-10Transition reports.
§ 240.15d-11Current reports on Form 8-K (§ 249.308 of this chapter).
§ 240.15d-13Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
§ 240.15d-14Certification of disclosure in annual and quarterly reports.
§ 240.15d-15Controls and procedures.
§ 240.15d-16Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
§ 240.15d-17Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
§ 240.15d-18Compliance with servicing criteria for asset-backed securities.
§ 240.15d-19Reports by shell companies on Form 20-F.
§ 240.15d-20Plain English presentation of specified information.
§ 240.15d-21Reports for employee stock purchase, savings and similar plans.
§ 240.15d-22Reporting regarding asset-backed securities under section 15(d) of the Act.
§ 240.15d-23Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
§ 240.15g-1Exemptions for certain transactions.
§ 240.15g-2Penny stock disclosure document relating to the penny stock market.
§ 240.15g-3Broker or dealer disclosure of quotations and other information relating to the penny stock market.
§ 240.15g-4Disclosure of compensation to brokers or dealers.
§ 240.15g-5Disclosure of compensation of associated persons in connection with penny stock transactions.
§ 240.15g-6Account statements for penny stock customers.
§ 240.15g-8Sales of escrowed securities of blank check companies.
§ 240.15g-9Sales practice requirements for certain low-priced securities.
§ 240.15g-100Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
§ 240.15l-1Regulation best interest.
§ 240.15aa-1Registration of a national or an affiliated securities association.
§ 240.15aa-2Amendments and supplements to registration statements of securities associations.
§ 240.15Al2-1§ 240.15Al2-1 [Reserved]
§ 240.15Ba1-1Definitions.
§ 240.15Ba1-2Registration of municipal advisors and information regarding certain natural persons.
§ 240.15Ba1-3Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
§ 240.15Ba1-4Withdrawal from municipal advisor registration.
§ 240.15Ba1-5Amendments to Form MA and Form MA-I.
§ 240.15Ba1-6Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
§ 240.15Ba1-7Registration of successor to municipal advisor.
§ 240.15Ba1-8Books and records to be made and maintained by municipal advisors.
§ 240.15Ba2-1Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
§ 240.15Ba2-2Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
§ 240.15Ba2-4Registration of successor to registered municipal securities dealer.
§ 240.15Ba2-5Registration of fiduciaries.
§ 240.15Ba2-6§ 240.15Ba2-6 [Reserved]
§ 240.15Bc3-1Withdrawal from registration of municipal securities dealers.
§ 240.15Bc4-1Persons associated with municipal advisors.
§ 240.15Bc7-1Availability of examination reports.
§ 240.15Ca1-1Notice of government securities broker-dealer activities.
§ 240.15Ca2-1Application for registration as a government securities broker or government securities dealer.
§ 240.15Ca2-2§ 240.15Ca2-2 [Reserved]
§ 240.15Ca2-3Registration of successor to registered government securities broker or government securities dealer.
§ 240.15Ca2-4Registration of fiduciaries.
§ 240.15Ca2-5Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
§ 240.15Cc1-1Withdrawal from registration of government securities brokers or government securities dealers.
§ 240.15Fb1-1Signatures.
§ 240.15Fb2-1Registration of security-based swap dealers and major security-based swap participants.
§ 240.15Fb2-3Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
§ 240.15Fb2-4Nonresident security-based swap dealers and major security-based swap participants.
§ 240.15Fb2-5Registration of successor to registered security-based swap dealer or a major security-based swap participant.
§ 240.15Fb2-6Registration of fiduciaries.
§ 240.15Fb3-1Duration of registration.
§ 240.15Fb3-2Withdrawal from registration.
§ 240.15Fb3-3Cancellation and revocation of registration.
§ 240.15Fb6-1§ 240.15Fb6-1 [Reserved]
§ 240.15Fb6-2Associated person certification.
§ 240.15Fh-1Scope and reliance on representations.
§ 240.15Fh-2Definitions.
§ 240.15Fh-3Business conduct requirements.
§ 240.15fh-4(Rule 15fh-4) Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
§ 240.15Fh-5Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
§ 240.15Fh-6Political contributions by certain security-based swap dealers.
§ 240.15Fi-1Definitions.
§ 240.15Fi-2Acknowledgment and verification of security-based swap transactions.
§ 240.15fi-3Security-based swap portfolio reconciliation.
§ 240.15Fi-4Security-based swap portfolio compression.
§ 240.15Fi-5Security-based swap trading relationship documentation.
§ 240.15fk-1Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
§ 240.15Ga-1Repurchases and replacements relating to asset-backed securities.
§ 240.15Ga-2Findings and conclusions of third-party due diligence reports.
§ 240.16a-1Definition of terms.
§ 240.16a-2Persons and transactions subject to section 16.
§ 240.16a-3Reporting transactions and holdings.
§ 240.16a-4Derivative securities.
§ 240.16a-5Odd-lot dealers.
§ 240.16a-6Small acquisitions.
§ 240.16a-7Transactions effected in connection with a distribution.
§ 240.16a-8Trusts.
§ 240.16a-9Stock splits, stock dividends, and pro rata rights.
§ 240.16a-10Exemptions under section 16(a).
§ 240.16a-11Dividend or interest reinvestment plans.
§ 240.16a-12Domestic relations orders.
§ 240.16a-13Change in form of beneficial ownership.
§ 240.16b-1Transactions approved by a regulatory authority.
§ 240.16b-2§ 240.16b-2 [Reserved]
§ 240.16b-3Transactions between an issuer and its officers or directors.
§ 240.16b-4§ 240.16b-4 [Reserved]
§ 240.16b-5Bona fide gifts and inheritance.
§ 240.16b-6Derivative securities.
§ 240.16b-7Mergers, reclassifications, and consolidations.
§ 240.16b-8Voting trusts.
§ 240.16c-1Brokers.
§ 240.16c-2Transactions effected in connection with a distribution.
§ 240.16c-3Exemption of sales of securities to be acquired.
§ 240.16c-4Derivative securities.
§ 240.16e-1Arbitrage transactions under section 16.
§ 240.17a-1Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
§ 240.17a-2Recordkeeping requirements relating to stabilizing activities.
§ 240.17a-3Records to be made by certain exchange members, brokers and dealers.
§ 240.17a-4Records to be preserved by certain exchange members, brokers and dealers.
§ 240.17a-5Reports to be made by certain brokers and dealers.
§ 240.17a-6Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
§ 240.17a-7Records of non-resident brokers and dealers.
§ 240.17a-8Financial recordkeeping and reporting of currency and foreign transactions.
§ 240.17a-9TRecords to be made and retained by certain exchange members, brokers and dealers.
§ 240.17a-10Report on revenue and expenses.
§ 240.17a-11Notification provisions for brokers and dealers.
§ 240.17a-12Reports to be made by certain OTC derivatives dealers.
§ 240.17a-13Quarterly security counts to be made by certain exchange members, brokers, and dealers.
§ 240.17a-14Form CRS, for preparation, filing and delivery of Form CRS.
§ 240.17a-18§ 240.17a-18 [Reserved]
§ 240.17a-19Form 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-21Reports of the Municipal Securities Rulemaking Board.
§ 240.17a-22Supplemental material of registered clearing agencies.
§ 240.17a-25Electronic submission of securities transaction information by exchange members, brokers, and dealers.
§ 240.17d-1Examination for compliance with applicable financial responsibility rules.
§ 240.17d-2Program for allocation of regulatory responsibility.
§ 240.17f-1Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
§ 240.17f-2Fingerprinting of securities industry personnel.
§ 240.17g-1Application for registration as a nationally recognized statistical rating organization.
§ 240.17g-2Records to be made and retained by nationally recognized statistical rating organizations.
§ 240.17g-3Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
§ 240.17g-4Prevention of misuse of material nonpublic information.
§ 240.17g-5Conflicts of interest.
§ 240.17g-6Prohibited acts and practices.
§ 240.17g-7Disclosure requirements.
§ 240.17g-8Policies, procedures, and internal controls.
§ 240.17g-9Standards of training, experience, and competence for credit analysts.
§ 240.17g-10Certification of providers of third-party due diligence services in connection with asset-backed securities.
§ 240.17h-1TRisk assessment recordkeeping requirements for associated persons of brokers and dealers.
§ 240.17h-2TRisk assessment reporting requirements for brokers and dealers.
§ 240.17ab2-1Registration of clearing agencies.
§ 240.17Ab2-2Determinations affecting covered clearing agencies.
§ 240.17Ac2-1Application for registration of transfer agents.
§ 240.17Ac2-2Annual reporting requirement for registered transfer agents.
§ 240.17Ac3-1Withdrawal from registration with the Commission.
§ 240.17Ad-1Definitions.
§ 240.17Ad-2Turnaround, processing, and forwarding of items.
§ 240.17Ad-3Limitations on expansion.
§ 240.17Ad-4Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
§ 240.17Ad-5Written inquiries and requests.
§ 240.17Ad-6Recordkeeping.
§ 240.17ad-7(Rule 17Ad-7) Record retention.
§ 240.17Ad-8Securities position listings.
§ 240.17Ad-9Definitions.
§ 240.17Ad-10Prompt 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-11Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
§ 240.17Ad-12Safeguarding of funds and securities.
§ 240.17Ad-13Annual study and evaluation of internal accounting control.
§ 240.17Ad-14Tender agents.
§ 240.17Ad-15Signature guarantees.
§ 240.17Ad-16Notice of assumption or termination of transfer agent services.
§ 240.17Ad-17Lost securityholders and unresponsive payees.
§ 240.17Ad-18Year 2000 Reports to be made by certain transfer agents.
§ 240.17Ad-19Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
§ 240.17Ad-20Issuer restrictions or prohibitions on ownership by securities intermediaries.
§ 240.17Ad-21TOperational capability in a Year 2000 environment.
§ 240.17ad-22Standards for clearing agencies.
§ 240.17Ad-24Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).
§ 240.17ad-25Clearing agency boards of directors and conflicts of interest.
§ 240.17ad-26Recovery and orderly wind-down plans of covered clearing agencies.
§ 240.17Ad-27Straight-through processing by clearing agencies that provide a central matching service.
§ 240.18a-1Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
§ 240.18a-1aOptions.
§ 240.18a-1bAdjustments to net worth for certain commodities transactions.
§ 240.18a-1cConsolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
§ 240.18a-1dSatisfactory Subordinated Loan Agreements.
§ 240.18a-2Capital requirements for major security-based swap participants for which there is not a prudential regulator.
§ 240.18a-3Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
§ 240.18a-4Segregation requirements for security-based swap dealers and major security-based swap participants.
§ 240.18a-4aExhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
§ 240.18a-5Records to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-6Records to be preserved by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-7Reports to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-8Notification provisions for security-based swap dealers and major security-based swap participants.
§ 240.18a-9Quarterly security counts to be made by certain security-based swap dealers.
§ 240.18a-10Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
§ 240.19a3-1§ 240.19a3-1 [Reserved]
§ 240.19b-3§ 240.19b-3 [Reserved]
§ 240.19b-4Filings with respect to proposed rule changes by self-regulatory organizations.
§ 240.19b-5Temporary exemption from the filing requirements of Section 19(b) of the Act.
§ 240.19b-7Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
§ 240.19c-1Governing certain off-board agency transactions by members of national securities exchanges.
§ 240.19c-3Governing off-board trading by members of national securities exchanges.
§ 240.19c-4Governing certain listing or authorization determinations by national securities exchanges and associations.
§ 240.19c-5Governing the multiple listing of options on national securities exchanges.
§ 240.19d-1Notices 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-2Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
§ 240.19d-3Applications 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-4Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
§ 240.19g2-1Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
§ 240.19h-1Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.
§ 240.21F-1General.
§ 240.21F-2Whistleblower status, award eligibility, confidentiality, and retaliation protections.
§ 240.21F-3Payment of awards.
§ 240.21F-4Other definitions.
§ 240.21F-5Amount of award.
§ 240.21F-6Criteria for determining amount of award.
§ 240.21F-7Confidentiality of submissions.
§ 240.21F-8Eligibility and forms.
§ 240.21F-9Procedures for submitting original information.
§ 240.21F-10Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
§ 240.21F-11Procedures for determining awards based upon a related action.
§ 240.21F-12Materials that may form the basis of an award determination and that may comprise the record on appeal.
§ 240.21F-13Appeals.
§ 240.21F-14Procedures applicable to the payment of awards.
§ 240.21F-15No amnesty.
§ 240.21F-16Awards to whistleblowers who engage in culpable conduct.
§ 240.21F-17Staff communications with individuals reporting possible securities law violations.
§ 240.21F-18Summary disposition.
§ 240.24b-1Documents to be kept public by exchanges.
§ 240.24b-2Nondisclosure of information filed with the Commission and with any exchange.
§ 240.24b-3Information filed by issuers and others under sections 12, 13, 14, and 16.
§ 240.24c-1Access to nonpublic information.
§ 240.31Section 31 transaction fees.
§ 240.31TTemporary rule regarding fiscal year 2004.
§ 240.36a1-1Exemption from Section 7 for OTC derivatives dealers.
§ 240.36a1-2Exemption from SIPA for OTC derivatives dealers.