17 CFR Part 240 — General Rules and Regulations, Securities Exchange Act of 1934
- § 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-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-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-33— Annual reports to other Federal agencies.
- § 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.
- § 240.12d1-2— 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.
- § 240.12d2-1— Suspension of trading.
- § 240.12d2-2— Removal from listing and registration.
- § 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.
- § 240.12g-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).
- § 240.12g-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 or Regulation Crowdfunding.
- § 240.12g3-2— Exemptions for American depositary receipts and certain foreign securities.
- § 240.12g5-1— Definition of securities “held of record”.
- § 240.12g5-2— Definition of “total assets”.
- § 240.12h-1— Exemptions from registration under section 12(g) of the Act.
- § 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.
- § 240.13a-1— Requirements of annual reports.
- § 240.13a-3— Reporting by Form 40-F registrant.
- § 240.13a-10— Transition reports.
- § 240.13a-11— Current reports on Form 8-K (§ 249.308 of this chapter).
- § 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.
- § 240.13b2-1— Falsification of accounting records.
- § 240.13b2-2— Representations and conduct in connection with the preparation of required reports and documents.
- § 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 beneficial ownership.
- § 240.13d-6— Exemption of certain acquisitions.
- § 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-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.
- § 240.13f-1— Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
- § 240.13f-2— Reporting by institutional investment managers regarding gross short position and activity information.
- § 240.13h-1— Large trader reporting.
- § 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.
- § 240.14a-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-19— Solicitation of proxies in support of director nominees other than the registrant's nominees.
- § 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.
- § 240.14Ad-1— Report of proxy voting record.
- § 240.14b-1— Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
- § 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.
- § 240.14c-1— Definitions.
- § 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.
- § 240.14e-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-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.
- § 240.15a-10— Exemption of certain brokers or dealers with respect to security futures products.
- § 240.15a-12— Exemption for certain security-based swap execution facilities from certain broker requirements.
- § 240.15b1-1— Application for registration of brokers or dealers.
- § 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.
- § 240.15b2-2— Inspection of newly registered brokers and dealers.
- § 240.15b3-1— Amendments to application.
- § 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.
- § 240.15b7-1— Compliance with qualification requirements of self-regulatory organizations.
- § 240.15b7-3T— Operational capability in a Year 2000 environment.
- § 240.15b9-1— Exemption for certain exchange members.
- § 240.15b9-2— Exemption from SRO membership for OTC derivatives dealers.
- § 240.15b11-1— Registration by notice of security futures product broker-dealers.
- § 240.15c1-1— Definitions.
- § 240.15c1-2— Fraud and misrepresentation.
- § 240.15c1-3— Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
- § 240.15c1-5— Disclosure of control.
- § 240.15c1-6— Disclosure of interest in distribution.
- § 240.15c1-7— Discretionary accounts.
- § 240.15c1-8— Sales at the market.
- § 240.15c1-9— Use of pro forma balance sheets.
- § 240.15c2-1— Hypothecation of customers' securities.
- § 240.15c2-4— Transmission or maintenance of payments received in connection with underwritings.
- § 240.15c2-5— Disclosure and other requirements when extending or arranging credit in certain transactions.
- § 240.15c2-7— Identification of quotations.
- § 240.15c2-8— Delivery of prospectus.
- § 240.15c2-11— Publication or submission of quotations without specified information.
- § 240.15c2-12— Municipal securities disclosure.
- § 240.15c3-1— Net capital requirements for brokers or dealers.
- § 240.15c3-1a— Options (Appendix A to 17 CFR 240.15c3-1).
- § 240.15c3-1b— Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
- § 240.15c3-1c— Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
- § 240.15c3-1d— 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).
- § 240.15c3-1f— 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).
- § 240.15c3-3— Customer protection—reserves and custody of securities.
- § 240.15c3-4— Internal risk management control systems for OTC derivatives dealers.
- § 240.15c3-5— Risk management controls for brokers or dealers with market access.
- § 240.15c6-1— Settlement cycle.
- § 240.15c6-2— Same-day allocation, confirmation, and affirmation.
- § 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.
- § 240.15l-1— Regulation best interest.
- § 240.15aa-1— Registration of a national or an affiliated securities association.
- § 240.15aa-2— Amendments and supplements to registration statements of securities associations.
- § 240.15Ba1-1— Definitions.
- § 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.
- § 240.15Ba1-4— Withdrawal from municipal advisor registration.
- § 240.15Ba1-5— Amendments to Form MA and Form MA-I.
- § 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.
- § 240.15Ba2-1— Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
- § 240.15Ba2-2— Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
- § 240.15Ba2-4— Registration of successor to registered municipal securities dealer.
- § 240.15Ba2-5— Registration of fiduciaries.
- § 240.15Bc3-1— Withdrawal from registration of municipal securities dealers.
- § 240.15Bc4-1— Persons associated with municipal advisors.
- § 240.15Bc7-1— Availability of examination reports.
- § 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.
- § 240.15Ca2-3— 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.
- § 240.15Cc1-1— Withdrawal from registration of government securities brokers or government securities dealers.
- § 240.15Fb1-1— Signatures.
- § 240.15Fb2-1— Registration of security-based swap dealers and major security-based swap participants.
- § 240.15Fb2-3— Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
- § 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.
- § 240.15Fb3-1— Duration of registration.
- § 240.15Fb3-2— Withdrawal from registration.
- § 240.15Fb3-3— Cancellation and revocation of registration.
- § 240.15Fb6-2— Associated person certification.
- § 240.15Fh-1— Scope and reliance on representations.
- § 240.15Fh-2— Definitions.
- § 240.15Fh-3— Business 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-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.
- § 240.15fi-3— Security-based swap portfolio reconciliation.
- § 240.15Fi-4— Security-based swap portfolio compression.
- § 240.15Fi-5— Security-based swap trading relationship documentation.
- § 240.15fk-1— Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
- § 240.15Ga-1— Repurchases and replacements relating to asset-backed securities.
- § 240.15Ga-2— Findings and conclusions of third-party due diligence reports.
- § 240.16a-1— Definition of terms.
- § 240.16a-2— Persons and transactions subject to section 16.
- § 240.16a-3— Reporting transactions and holdings.
- § 240.16a-4— Derivative securities.
- § 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-3— Transactions between an issuer and its officers or directors.
- § 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.
- § 240.17a-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-9T— Records to be made and retained by certain exchange members, brokers and dealers.
- § 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-14— Form CRS, for preparation, filing and delivery of Form CRS.
- § 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-25— Electronic submission of securities transaction information by exchange members, brokers, and dealers.
- § 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.
- § 240.17h-1T— Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
- § 240.17h-2T— Risk assessment reporting requirements for brokers and dealers.
- § 240.17ab2-1— Registration of clearing agencies.
- § 240.17Ab2-2— Determinations affecting covered clearing agencies.
- § 240.17Ac2-1— Application for registration of transfer agents.
- § 240.17Ac2-2— Annual reporting requirement for registered transfer agents.
- § 240.17Ac3-1— Withdrawal from registration with the Commission.
- § 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— (Rule 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-21T— Operational capability in a Year 2000 environment.
- § 240.17ad-22— Standards for clearing agencies.
- § 240.17Ad-24— Exemption 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-25— Clearing agency boards of directors and conflicts of interest.
- § 240.17ad-26— Recovery and orderly wind-down plans of covered clearing agencies.
- § 240.17Ad-27— Straight-through processing by clearing agencies that provide a central matching service.
- § 240.18a-1— Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
- § 240.18a-1a— Options.
- § 240.18a-1b— Adjustments to net worth for certain commodities transactions.
- § 240.18a-1c— Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
- § 240.18a-1d— Satisfactory Subordinated Loan Agreements.
- § 240.18a-2— Capital requirements for major security-based swap participants for which there is not a prudential regulator.
- § 240.18a-3— Non-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-4— Segregation requirements for security-based swap dealers and major security-based swap participants.
- § 240.18a-5— Records to be made by certain security-based swap dealers and major security-based swap participants.
- § 240.18a-6— Records to be preserved by certain security-based swap dealers and major security-based swap participants.
- § 240.18a-7— Reports to be made by certain security-based swap dealers and major security-based swap participants.
- § 240.18a-8— Notification provisions for security-based swap dealers and major security-based swap participants.
- § 240.18a-9— Quarterly security counts to be made by certain security-based swap dealers.
- § 240.18a-10— Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
- § 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.
- § 240.21F-1— General.
- § 240.21F-2— Whistleblower status, award eligibility, confidentiality, and retaliation protections.
- § 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 and forms.
- § 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.
- § 240.21F-18— Summary disposition.
- § 240.24b-1— Documents to be kept public by exchanges.
- § 240.24b-2— Nondisclosure of information filed with the Commission and with any exchange.
- § 240.24b-3— Information filed by issuers and others under sections 12, 13, 14, and 16.
- § 240.24c-1— Access to nonpublic information.
- § 240.31— Section 31 transaction fees.
- § 240.31T— Temporary rule regarding fiscal year 2004.
- § 240.36a1-1— Exemption from Section 7 for OTC derivatives dealers.
- § 240.36a1-2— Exemption from SIPA for OTC derivatives dealers.
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 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.
- § 240.3a5-1— Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
- § 240.3a5-2— Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
- § 240.3a5-3— Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
- § 240.3a5-4— Further definition of “as a part of a regular business” in connection with certain liquidity providers.
- § 240.3a11-1— Definition of the term “equity security.”
- § 240.3a12-1— Exemption of certain mortgages and interests in mortgages.
- § 240.3a12-3— Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
- § 240.3a12-4— Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
- § 240.3a12-5— Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
- § 240.3a12-6— Definition of “common trust fund” as used in section 3(a)(12) of the Act.
- § 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.
- § 240.3a12-9— 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.
- § 240.3a12-11— 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.
- § 240.3a40-1— Designation of financial responsibility rules.
- § 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.
- § 240.3a44-1— Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
- § 240.3a44-2— Further definition of “as a part of a regular business” in connection with certain liquidity providers.
- § 240.3a51-1— Definition of “penny stock”.
- § 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.
- § 240.3a55-2— Indexes underlying futures contracts trading for fewer than 30 days.
- § 240.3a55-3— Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
- § 240.3a55-4— Exclusion from definition of narrow-based security index for indexes composed of debt securities.
- § 240.3a67-1— Definition of “major security-based swap participant.”
- § 240.3a67-2— Categories of security-based swaps.
- § 240.3a67-3— Definition of “substantial position.”
- § 240.3a67-4— Definition of “hedging or mitigating commercial risk.”
- § 240.3a67-5— Definition of “substantial counterparty exposure.”
- § 240.3a67-6— Definition of “financial entity.”
- § 240.3a67-7— Definition of “highly leveraged.”
- § 240.3a67-8— Timing requirements, reevaluation period, and termination of status.
- § 240.3a67-9— Calculation of major participant status by certain persons.
- § 240.3a67-10— Foreign major security-based swap participants.
- § 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.
- § 240.3a68-1b— Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
- § 240.3a68-2— Requests for interpretation of swaps, security-based swaps, and mixed swaps.
- § 240.3a68-3— Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
- § 240.3a68-4— Regulation of mixed swaps.
- § 240.3a68-5— Regulation of certain futures contracts on foreign sovereign debt.
- § 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.
- § 240.3a69-2— Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
- § 240.3a69-3— Books and records requirements for security-based swap agreements.
- § 240.3a71-1— Definition of “security-based swap dealer.”
- § 240.3a71-2— <em>De minimis</em> exception.
- § 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).
- § 240.3a71-3— Cross-border security-based swap dealing activity.
- § 240.3a71-4— Exception from aggregation for affiliated groups with registered security-based swap dealers.
- § 240.3a71-5— Exception for cleared transactions executed on a swap execution facility.
- § 240.3a71-6— Substituted compliance for security-based swap dealers and major security-based swap participants.
- § 240.3b-1— Definition of “listed”.
- § 240.3b-2— Definition of “officer”.
- § 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-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.
- § 240.3Ca-1— Stay of clearing requirement and review by the Commission.
- § 240.3Ca-2— Submission of security-based swaps for clearing.
- § 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.
- § 240.6a-3— Supplemental material to be filed by exchanges.
- § 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.
- § 240.6h-1— Settlement and regulatory halt requirements for security futures products.
- § 240.6h-2— Security future based on note, bond, debenture, or evidence of indebtedness.
- § 240.8c-1— Hypothecation of customers' securities.
- § 240.9b-1— Options disclosure document.
- § 240.9j-1— Prohibition against fraud, manipulation, or deception in connection with security-based swaps.
- § 240.10b-1— Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
- § 240.10b-3— Employment of manipulative and deceptive devices by brokers or dealers.
- § 240.10b-5— Employment of manipulative and deceptive devices.
- § 240.10b5-1— Trading “on the basis of” material nonpublic information in insider trading cases.
- § 240.10b5-2— Duties of trust or confidence in misappropriation insider trading cases.
- § 240.10b-9— Prohibited representations in connection with certain offerings.
- § 240.10b-10— Confirmation of transactions.
- § 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-1a— Securities lending transparency.
- § 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.
- § 240.10C-1— Listing standards relating to compensation committees.
- § 240.10D-1— Listing standards relating to recovery of erroneously awarded compensation.
- § 240.11a-1— Regulation of floor trading.
- § 240.11a1-1(T)— Transactions yielding priority, parity, and precedence.
- § 240.11a1-2— Transactions 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.
- § 240.11a1-5— Transactions by registered competitive market makers and registered equity market makers.
- § 240.11a1-6— Transactions for certain accounts of OTC derivatives dealers.
- § 240.11a2-2(T)— Transactions effected by exchange members through other members.
- § 240.11b-1— Regulation of specialists.
- § 240.11d1-1— Exemption of certain securities from section 11(d)(1).
- § 240.11d1-2— Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
- § 240.11d2-1— Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
- § 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.