17 CFR Topic
Rules of General Application
April 15, 2021
§
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 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
§
§240.3a4-2--240.3a4-6
[Reserved]
§
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
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