17 CFR Subpart A
Rules and Regulations Under the Securities Exchange Act of 1934
April 15, 2021
Topic
Rules of General Application
Topic
Definition of “Equity Security” as Used in Sections 12(g) and 16
Topic
Miscellaneous Exemptions
Topic
Security-Based Swap Dealer and Participant Definitions
Topic
Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Topic
Definitions
Topic
Clearing of Security-Based Swaps
Topic
Registration and Exemption of Exchanges
Topic
Hypothecation of Customers' Securities
Topic
Manipulative and Deceptive Devices and Contrivances
Topic
Reports Under Section 10A
Topic
Requirements Under Section 10C
Topic
Adoption of Floor Trading Regulation (Rule 11a-1)
Topic
Adoption of Regulation on Conduct of Specialists
Topic
Exemption of Certain Securities From Section 11(d)(1)
Topic
Securities Exempted From Registration
Topic
Regulation 12B: Registration and Reporting
Topic
Formal Requirements
Topic
General Requirements as to Contents
Topic
Exhibits
Topic
Special Provisions
Topic
Certification by Exchanges and Effectiveness of Registration
Topic
Suspension of Trading, Withdrawal, and Striking From Listing and Registration
Topic
Unlisted Trading
Topic
Extensions and Temporary Exemptions; Definitions
Topic
Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
Topic
Other Reports
Topic
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
Topic
Regulation 13D-G
Topic
Regulation 14A: Solicitation of Proxies
Topic
Regulation 14C: Distribution of Information Pursuant to Section 14(c)
Topic
Regulation 14D
Topic
Regulation 14E
Topic
Regulation 14N: Filings Required by Certain Nominating Shareholders
Topic
Exemption of Certain OTC Derivatives Dealers
Topic
Exemption of Certain Securities From Section 15(a)
Topic
Registration of Brokers and Dealers
Topic
Rules Relating to Over-the-Counter Markets
Topic
Regulation 15D: Reports of Registrants Under the Securities Act of 1933
Topic
Other Reports
Topic
Exemption of Certain Issuers From Section 15(d) of the Act
Topic
National and Affiliated Securities Associations
Topic
Registration of Government Securities Brokers and Government Securities Dealers
Topic
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
Topic
Exemption of Certain Transactions From Section 16(b)
Topic
Exemption of Certain Transactions From Section 16(c)
Topic
Arbitrage Transactions
Topic
Preservation of Records and Reports of Certain Stabilizing Activities
Topic
Nationally Recognized Statistical Rating Organizations
Topic
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Topic
Suspension and Expulsion of Exchange Members
Topic
Securities Whistleblower Incentives and Protections
Topic
Inspection and Publication of Information Filed Under the Act
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