Home/CFR/Title 17/Part 242
FEDERAL · 17 CFR

Part 242 — Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures

97 sections · Title 17: Commodity and Securities Exchanges

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