17 CFR Part 242 — Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures
- § 242.100— Preliminary note; definitions.
- § 242.101— Activities by distribution participants.
- § 242.102— Activities by issuers and selling security holders during a distribution.
- § 242.103— Nasdaq passive market making.
- § 242.104— Stabilizing and other activities in connection with an offering.
- § 242.105— Short selling in connection with a public offering.
- § 242.200— Definition of “short sale” and marking requirements.
- § 242.201— Circuit breaker.
- § 242.203— Borrowing and delivery requirements.
- § 242.204— Close-out requirement.
- § 242.300— Definitions.
- § 242.301— Requirements for alternative trading systems.
- § 242.302— Recordkeeping requirements for alternative trading systems.
- § 242.303— Record preservation requirements for alternative trading systems.
- § 242.304— NMS Stock ATSs.
- § 242.400— Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
- § 242.401— Definitions.
- § 242.402— General provisions.
- § 242.403— Required margin.
- § 242.404— Type, form and use of margin.
- § 242.405— Withdrawal of margin.
- § 242.406— Undermargined accounts.
- § 242.500— Definitions.
- § 242.501— Certifications in connection with research reports.
- § 242.502— Certifications in connection with public appearances.
- § 242.503— Certain foreign research reports.
- § 242.504— Notification to associated persons.
- § 242.505— Exclusion for news media.
- § 242.600— NMS security designation and definitions.
- § 242.601— Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
- § 242.602— Dissemination of quotations in NMS securities.
- § 242.603— Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.
- § 242.604— Display of customer limit orders.
- § 242.605— Disclosure of order execution information.
- § 242.606— Disclosure of order routing information.
- § 242.607— Customer account statements.
- § 242.608— Filing and amendment of national market system plans.
- § 242.609— Registration of securities information processors: form of application and amendments.
- § 242.610— Access to quotations.
- § 242.611— Order protection rule.
- § 242.612— Minimum pricing increment.
- § 242.613— Consolidated audit trail.
- § 242.614— Registration and responsibilities of competing consolidators.
- § 242.800— Scope.
- § 242.801— Applicable provisions.
- § 242.802— Definitions.
- § 242.803— Requirements and procedures for registration.
- § 242.804— Listing products for trading by certification.
- § 242.805— Voluntary submission of new products for Commission review and approval.
- § 242.806— Voluntary submission of rules for Commission review and approval.
- § 242.807— Self-certification of rules.
- § 242.808— Availability of public information.
- § 242.809— Staying of certification and tolling of review period pending jurisdictional determination.
- § 242.810— Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
- § 242.811— Information relating to security-based swap execution facility compliance.
- § 242.812— Enforceability.
- § 242.813— Prohibited use of data collected for regulatory purposes.
- § 242.814— Entity operating both a national securities exchange and security-based swap execution facility.
- § 242.815— Methods of execution for Required and Permitted Transactions.
- § 242.816— Trade execution requirement and exemptions therefrom.
- § 242.817— Trade execution compliance schedule.
- § 242.818— Core Principle 1—Compliance with core principles.
- § 242.819— Core Principle 2—Compliance with rules.
- § 242.820— Core Principle 3—Security-based swaps not readily susceptible to manipulation.
- § 242.821— Core Principle 4—Monitoring of trading and trade processing.
- § 242.822— Core Principle 5—Ability to obtain information.
- § 242.823— Core Principle 6—Financial integrity of transactions.
- § 242.824— Core Principle 7—Emergency authority.
- § 242.825— Core Principle 8—Timely publication of trading information.
- § 242.826— Core Principle 9—Recordkeeping and reporting.
- § 242.827— Core Principle 10—Antitrust considerations.
- § 242.828— Core Principle 11—Conflicts of interest.
- § 242.829— Core Principle 12—Financial resources.
- § 242.830— Core Principle 13—System safeguards.
- § 242.831— Core Principle 14—Designation of chief compliance officer.
- § 242.832— Application of the trade execution requirement to cross-border security-based swap transactions.
- § 242.833— Cross-border exemptions.
- § 242.834— Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
- § 242.835— Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.
- § 242.900— Definitions.
- § 242.901— Reporting obligations.
- § 242.902— Public dissemination of transaction reports.
- § 242.903— Coded information.
- § 242.904— Operating hours of registered security-based swap data repositories.
- § 242.905— Correction of errors in security-based swap information.
- § 242.906— Other duties of participants.
- § 242.907— Policies and procedures of registered security-based swap data repositories.
- § 242.908— Cross-border matters.
- § 242.909— Registration of security-based swap data repository as a securities information processor.
Subpart ECFRe106e84e67e2bc9 — Systems Compliance and Integrity
- § 242.1000— Definitions.
- § 242.1001— Obligations related to policies and procedures of SCI entities.
- § 242.1002— Obligations related to SCI events.
- § 242.1003— Obligations related to systems changes; SCI review.
- § 242.1004— SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
- § 242.1005— Recordkeeping requirements related to compliance with Regulation SCI.
- § 242.1006— Electronic filing and submission.
- § 242.1007— Requirements for service bureaus.