FEDERAL · 17 CFR

§ 240.142-11 — Not Yet Available

17 C.F.R. § 240.142-11

17 C.F.R. § 240.142-11 is referenced in other legal documents but could not be loaded from the eCFR.

This section may have been removed, reserved, or renumbered. Browse Part 240 or Title 17 — Commodity and Securities Exchanges for available sections.

Nearby Sections

15

§ 240.0-1

§ 240.0-2

Business hours of the Commission.

§ 240.0-3

Filing of material with the Commission.

§ 240.0-4

Nondisclosure of information obtained in examinations and investigations.

§ 240.0-5

Reference to rule by obsolete designation.

§ 240.0-6

Disclosure detrimental to the national defense or foreign policy.

§ 240.0-8

Application of rules to registered broker-dealers.

§ 240.0-9

Payment of filing fees.

§ 240.0-10

Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.

§ 240.0-11

Filing fees for certain acquisitions, dispositions and similar transactions.

§ 240.0-12

Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.

§ 240.0-13

Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.

§ 240.3a1-1

Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.

§ 240.3a4-1

Associated persons of an issuer deemed not to be brokers.

§ 240.3a4-2 - 240.3a4-6

§§ 240.3a4-2-240.3a4-6 [Reserved]