15 USC Chapter 2B
SECURITIES EXCHANGES
through Pub. L. 116-344, except Pub. Ls. 116-260 and 116-283
§
78a
Short title
§
78b
Necessity for regulation
§
78c
Definitions and application
§
78c-1
Swap agreements
§
78c-2
Securities-related derivatives
§
78c-3
Clearing for security-based swaps
§
78c-4
Security-based swap execution facilities
§
78c-5
Segregation of assets held as collateral in security-based swap transactions
§
78d
Securities and Exchange Commission
§
78d-1
Delegation of functions by Commission
§
78d-2
Transfer of functions with respect to assignment of personnel to chairman
§
78d-3
Appearance and practice before the Commission
§
78d-4
Additional duties of Inspector General
§
78d-5
Deadline for completing enforcement investigations and compliance examinations and inspections
§
78d-6
Report and certification of internal supervisory controls
§
78d-7
Triennial report on personnel management
§
78d-8
Annual financial controls audit
§
78d-9
Report on oversight of national securities associations
§
78e
Transactions on unregistered exchanges
§
78f
National securities exchanges
§
78g
Margin requirements
§
78h
Restrictions on borrowing and lending by members, brokers, and dealers
§
78i
Manipulation of security prices
§
78j
Manipulative and deceptive devices
§
78j-1
Audit requirements
§
78j-2
Position limits and position accountability for security-based swaps and large trader reporting
§
78j-3
Compensation committees
§
78j-4
Recovery of erroneously awarded compensation policy
§
78k
Trading by members of exchanges, brokers, and dealers
§
78k-1
National market system for securities; securities information processors
§
78l
Registration requirements for securities
§
78l-1
Applications for unlisted trading privileges deemed filed under section 78l of this title
§
78m
Periodical and other reports
§
78m-1
Reporting and recordkeeping for certain security-based swaps
§
78m-2
Reporting requirements regarding coal or other mine safety
§
78n
Proxies
§
78n-1
Shareholder approval of executive compensation
§
78n-2
Corporate governance
§
78o
Registration and regulation of brokers and dealers
§
78o-1
Brokers deemed to be registered
§
78o-2
Liabilities arising prior to amendment unaffected
§
78o-3
Registered securities associations
§
78o-4
Municipal securities
§
78o-4a
Commission Office of Municipal Securities
§
78o-5
Government securities brokers and dealers
§
78o-6
Securities analysts and research reports
§
78o-7
Registration of nationally recognized statistical rating organizations
§
78o-8
Universal ratings symbols
§
78o-9
Study and rulemaking on assigned credit ratings
§
78o-10
Registration and regulation of security-based swap dealers and major security-based swap participants
§
78o-11
Credit risk retention
§
78p
Directors, officers, and principal stockholders
§
78q
Records and reports
§
78q-1
National system for clearance and settlement of securities transactions
§
78q-2
Automated quotation systems for penny stocks
§
78r
Liability for misleading statements
§
78s
Registration, responsibilities, and oversight of self-regulatory organizations
§
78t
Liability of controlling persons and persons who aid and abet violations
§
78t-1
Liability to contemporaneous traders for insider trading
§
78u
Investigations and actions
§
78u-1
Civil penalties for insider trading
§
78u-2
Civil remedies in administrative proceedings
§
78u-3
Cease-and-desist proceedings
§
78u-4
Private securities litigation
§
78u-5
Application of safe harbor for forward-looking statements
§
78u-6
Securities whistleblower incentives and protection
§
78u-7
Implementation and transition provisions for whistleblower protection
§
78v
Hearings by Commission
§
78w
Rules, regulations, and orders; annual reports
§
78x
Public availability of information
§
78y
Court review of orders and rules
§
78z
Unlawful representations
§
78aa
Jurisdiction of offenses and suits
§
78aa-1
Special provision relating to statute of limitations on private causes of action
§
78bb
Effect on existing law
§
78cc
Validity of contracts
§
78dd
Foreign securities exchanges
§
78dd-1
Prohibited foreign trade practices by issuers
§
78dd-2
Prohibited foreign trade practices by domestic concerns
§
78dd-3
Prohibited foreign trade practices by persons other than issuers or domestic concerns
§
78ee
Transaction fees
§
78ff
Penalties
§
78gg
Separability
§
78hh
Effective date
§
78hh-1
Effective date of certain sections
§
78ii
Ommitted
§
78jj
Repealed. Pub. L. 100–181, title III, §330, Dec. 4, 1987, 101 Stat. 1259
§
78kk
Authorization of appropriations
§
78ll
Requirements for the EDGAR system
§
78mm
General exemptive authority
§
78nn
Tennessee Valley Authority
§
78oo
Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
§
78pp
Investor Advisory Committee
§
78qq
Small Business Capital Formation Advisory Committee
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