15 U.S.C. Chapter 2B — SECURITIES EXCHANGES
- § 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
- § 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
- § 78rr— Data standards for security-based swap reporting