Part 240. PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

• § 240.17Ad-8 - Securities position listings.
• § 240.17Ad-9 - Definitions.
• § 240.17Ad-10 - Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.
• § 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
• § 240.17Ad-12 - Safeguarding of funds and securities.
• § 240.17Ad-13 - Annual study and evaluation of internal accounting control.
• § 240.17Ad-14 - Tender agents.
• § 240.17Ad-15 - Signature guarantees.
• § 240.17Ad-16 - Notice of assumption or termination of transfer agent services.
• § 240.17Ad-17 - Lost securityholders and unresponsive payees.
• § 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.
• § 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
• § 240.17Ad-20 - Issuer restrictions or prohibitions on ownership by securities intermediaries.
• § 240.17Ad-21T - Operational capability in a Year 2000 environment.
• § 240.17ad-22 - Standards for clearing agencies.
• § 240.17Ad-24 - Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under (or subject to the period set forth in § 240.3a71-2(b)).
• § 240.17ad-25 - Clearing agency boards of directors and conflicts of interest.
• § 240.17ad-26 - xxx
• § 240.17Ad-27 - Straight-through processing by clearing agencies that provide a central matching service.
• § 240.13d-1 - Filing of Schedules 13D and 13G.
• § 240.13d-2 - Filing of amendments to Schedules 13D or 13G.
• § 240.13d-3 - Determination of beneficial owner.
• § 240.13d-4 - Disclaimer of beneficial ownership.
• § 240.13d-5 - Acquisition of beneficial ownership.
• § 240.13d-6 - Exemption of certain acquisitions.
• § 240.13d-7 - [Reserved]
• § 240.13d-101 - Schedule 13D—Information to be included in statements filed pursuant to and amendments thereto filed pursuant to § 240.13d-2(a).
• § 240.13d-102 - Schedule 13G—Information to be included in statements filed pursuant to (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.
• § 240.13e-1 - Purchase of securities by the issuer during a third-party tender offer.
• § 240.13e-2 - [Reserved]
• § 240.13e-3 - Going private transactions by certain issuers or their affiliates.
• § 240.13e-4 - Tender offers by issuers.
• § 240.13e-100 - Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (thereunder.
• § 240.13e-101 - [Reserved]
• § 240.13e-102 - Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and thereunder.
• § 240.13f-1 - Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
• § 240.13f-2 - Reporting by institutional investment managers regarding gross short position and activity information.
• § 240.13h-1 - Large trader reporting.
• § 240.13k-1 - Foreign bank exemption from the insider lending prohibition under section 13(k).
• § 240.13n-1 - Registration of security-based swap data repository.
• § 240.13n-2 - Withdrawal from registration; revocation and cancellation.
• § 240.13n-3 - Registration of successor to registered security-based swap data repository.
• § 240.13n-4 - Duties and core principles of security-based swap data repository.
• § 240.13n-5 - Data collection and maintenance.
• § 240.13n-6 - Automated systems.
• § 240.13n-7 - Recordkeeping of security-based swap data repository.
• § 240.13n-8 - Reports to be provided to the Commission.
• § 240.13n-9 - Privacy requirements of security-based swap data repository.
• § 240.13n-10 - Disclosure requirements of security-based swap data repository.
• § 240.13n-11 - Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
• § 240.13n-12 - Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
• § 240.13p-1 - Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
• § 240.13q-1 - Disclosure of payments made by resource extraction issuers.
• § 240.14a-1 - Definitions.
• § 240.14a-2 - Solicitations to which to apply.
• § 240.14a-3 - Information to be furnished to security holders.
• § 240.14a-4 - Requirements as to proxy.
• § 240.14a-5 - Presentation of information in proxy statement.
• § 240.14a-6 - Filing requirements.
• § 240.14a-7 - Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
• § 240.14a-8 - Shareholder proposals.
• § 240.14a-9 - False or misleading statements.
• § 240.14a-10 - Prohibition of certain solicitations.
• § 240.14a-12 - Solicitation before furnishing a proxy statement.
• § 240.14a-13 - Obligation of registrants in communicating with beneficial owners.
• § 240.14a-14 - Modified or superseded documents.
• § 240.14a-15 - Differential and contingent compensation in connection with roll-up transactions.
• § 240.14a-16 - Internet availability of proxy materials.
• § 240.14a-17 - Electronic shareholder forums.
• § 240.14a-18 - Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.
• § 240.14a-19 - Solicitation of proxies in support of director nominees other than the registrant's nominees.
• § 240.14a-20 - Shareholder approval of executive compensation of TARP recipients.
• § 240.14a-21 - Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
• § 240.14a-101 - Schedule 14A. Information required in proxy statement.
• § 240.14a-102 - [Reserved]
• § 240.14a-103 - Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).
• § 240.14a-104 - Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to and § 240.14a-6(n).
• § 240.14Ad-1 - Report of proxy voting record.
• § 240.14b-1 - Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
• § 240.14b-2 - Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
• § 240.14c-1 - Definitions.
• § 240.14c-2 - Distribution of information statement.
• § 240.14c-3 - Annual report to be furnished security holders.
• § 240.14c-4 - Presentation of information in information statement.
• § 240.14c-5 - Filing requirements.
• § 240.14c-6 - False or misleading statements.
• § 240.14c-7 - Providing copies of material for certain beneficial owners.
• § 240.14c-101 - Schedule 14C. Information required in information statement.
• § 240.14d-1 - Scope of and definitions applicable to Regulations 14D and 14E.
• § 240.14d-2 - Commencement of a tender offer.
• § 240.14d-3 - Filing and transmission of tender offer statement.
• § 240.14d-4 - Dissemination of tender offers to security holders.
• § 240.14d-5 - Dissemination of certain tender offers by the use of stockholder lists and security position listings.
• § 240.14d-6 - Disclosure of tender offer information to security holders.
• § 240.14d-7 - Additional withdrawal rights.
• § 240.14d-8 - Exemption from statutory pro rata requirements.
• § 240.14d-9 - Recommendation or solicitation by the subject company and others.
• § 240.14d-10 - Equal treatment of security holders.
• § 240.14d-11 - Subsequent offering period.
• § 240.14d-100 - Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
• § 240.14d-101 - Schedule 14D-9.
• § 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
• § 240.14d-103 - Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.
• § 240.14e-1 - Unlawful tender offer practices.
• § 240.14e-2 - Position of subject company with respect to a tender offer.
• § 240.14e-3 - Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
• § 240.14e-4 - Prohibited transactions in connection with partial tender offers.
• § 240.14e-5 - Prohibiting purchases outside of a tender offer.
• § 240.14e-6 - Repurchase offers by certain closed-end registered investment companies.
• § 240.14e-7 - Unlawful tender offer practices in connection with roll-ups.
• § 240.14e-8 - Prohibited conduct in connection with pre-commencement communications.
• § 240.14f-1 - Change in majority of directors.
• SUBPART A [§ 240.0-1 - § 240.12a-11] - Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934
• SUBPART B - Subpart B—Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]

• Regulation 15D: Reports of Registrants Under the Securities Act of 1933

• Annual Reports

  • SECTION § 240.13a-1 - Requirements of annual reports.
  • SECTION § 240.13a-2 - [Reserved]
  • SECTION § 240.13a-3 - Reporting by Form 40-F registrant.

• Other Reports

  • SECTION § 240.13a-10 - Transition reports.
  • SECTION § 240.13a-11 - Current reports on Form 8-K (of this chapter).
  • SECTION § 240.13a-13 - Quarterly reports on Form 10-Q (of this chapter).
  • SECTION § 240.13a-14 - Certification of disclosure in annual and quarterly reports.
  • SECTION § 240.13a-15 - Controls and procedures.
  • SECTION § 240.13a-16 - Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
  • SECTION § 240.13a-17 - Reports of asset-backed issuers on Form 10-D (of this chapter).
  • SECTION § 240.13a-18 - Compliance with servicing criteria for asset-backed securities.
  • SECTION § 240.13a-19 - Reports by shell companies on Form 20-F.
  • SECTION § 240.13a-20 - Plain English presentation of specified information.
  • SECTION § 240.13a-21 - [Reserved]

• Exemption of Certain Issuers From Section 15(d) of the Act

  • SECTION § 240.15d-21 - Reports for employee stock purchase, savings and similar plans.
  • SECTION § 240.15d-22 - Reporting regarding asset-backed securities under section 15(d) of the Act.
  • SECTION § 240.15d-23 - Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
  • SECTION § 240.15g-1 - Exemptions for certain transactions.
  • SECTION § 240.15g-2 - Penny stock disclosure document relating to the penny stock market.
  • SECTION § 240.15g-3 - Broker or dealer disclosure of quotations and other information relating to the penny stock market.
  • SECTION § 240.15g-4 - Disclosure of compensation to brokers or dealers.
  • SECTION § 240.15g-5 - Disclosure of compensation of associated persons in connection with penny stock transactions.
  • SECTION § 240.15g-6 - Account statements for penny stock customers.
  • SECTION § 240.15g-8 - Sales of escrowed securities of blank check companies.
  • SECTION § 240.15g-9 - Sales practice requirements for certain low-priced securities.
  • SECTION § 240.15g-100 - Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
  • SECTION § 240.15l-1 - Regulation best interest.

• National and Affiliated Securities Associations

  • SECTION § 240.15Aa-1 - Registration of a national or an affiliated securities association.
  • SECTION § 240.15Aj-1 - Amendments and supplements to registration statements of securities associations.
  • SECTION § 240.15Al2-1 - [Reserved]
  • SECTION § 240.15Ba1-1 - Definitions.
  • SECTION § 240.15Ba1-2 - Registration of municipal advisors and information regarding certain natural persons.
  • SECTION § 240.15Ba1-3 - Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
  • SECTION § 240.15Ba1-4 - Withdrawal from municipal advisor registration.
  • SECTION § 240.15Ba1-5 - Amendments to Form MA and Form MA-I.
  • SECTION § 240.15Ba1-6 - Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
  • SECTION § 240.15Ba1-7 - Registration of successor to municipal advisor.
  • SECTION § 240.15Ba1-8 - Books and records to be made and maintained by municipal advisors.
  • SECTION § 240.15Ba2-1 - Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
  • SECTION § 240.15Ba2-2 - Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
  • SECTION § 240.15Ba2-4 - Registration of successor to registered municipal securities dealer.
  • SECTION § 240.15Ba2-5 - Registration of fiduciaries.
  • SECTION § 240.15Ba2-6 - [Reserved]
  • SECTION § 240.15Bc3-1 - Withdrawal from registration of municipal securities dealers.
  • SECTION § 240.15Bc4-1 - Persons associated with municipal advisors.
  • SECTION § 240.15Bc7-1 - Availability of examination reports.

• Registration of Government Securities Brokers and Government Securities Dealers

  • SECTION § 240.15Ca1-1 - Notice of government securities broker-dealer activities.
  • SECTION § 240.15Ca2-1 - Application for registration as a government securities broker or government securities dealer.
  • SECTION § 240.15Ca2-2 - [Reserved]
  • SECTION § 240.15Ca2-3 - Registration of successor to registered government securities broker or government securities dealer.
  • SECTION § 240.15Ca2-4 - Registration of fiduciaries.
  • SECTION § 240.15Ca2-5 - Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
  • SECTION § 240.15Cc1-1 - Withdrawal from registration of government securities brokers or government securities dealers.

• Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants

  • SECTION § 240.15Fb1-1. - Signatures.
  • SECTION § 240.15Fb2-1 - Registration of security-based swap dealers and major security-based swap participants.
  • SECTION § 240.15Fb2-3 - Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
  • SECTION § 240.15Fb2-4 - Nonresident security-based swap dealers and major security-based swap participants.
  • SECTION § 240.15Fb2-5 - Registration of successor to registered security-based swap dealer or a major security-based swap participant.
  • SECTION § 240.15Fb2-6 - Registration of fiduciaries.
  • SECTION § 240.15Fb3-1 - Duration of registration.
  • SECTION § 240.15Fb3-2 - Withdrawal from registration.
  • SECTION § 240.15Fb3-3 - Cancellation and revocation of registration.
  • SECTION § 240.15Fb6-1 - [Reserved]
  • SECTION § 240.15Fb6-2 - Associated person certification.
  • SECTION § 240.15Fh-1 - Scope and reliance on representations.
  • SECTION § 240.15Fh-2 - Definitions.
  • SECTION § 240.15Fh-3 - Business conduct requirements.
  • SECTION § 240.15fh-4 - (Rule 15fh-4) Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
  • SECTION § 240.15Fh-5 - Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
  • SECTION § 240.15Fh-6 - Political contributions by certain security-based swap dealers.
  • SECTION § 240.15Fi-1 - Definitions.
  • SECTION § 240.15Fi-2 - Acknowledgment and verification of security-based swap transactions.
  • SECTION § 240.15Fi-3 - Security-based swap portfolio reconciliation.
  • SECTION § 240.15Fi-4 - Security-based swap portfolio compression.
  • SECTION § 240.15Fi-5 - Security-based swap trading relationship documentation.
  • SECTION § 240.15Fk-1 - Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
  • SECTION § 240.15Ga-1 - Repurchases and replacements relating to asset-backed securities.
  • SECTION § 240.15Ga-2 - Findings and conclusions of third-party due diligence reports.

• Reports of Directors, Officers, and Principal Shareholders

  • SECTION § 240.16a-1 - Definition of terms.
  • SECTION § 240.16a-2 - Persons and transactions subject to section 16.
  • SECTION § 240.16a-3 - Reporting transactions and holdings.
  • SECTION § 240.16a-4 - Derivative securities.
  • SECTION § 240.16a-5 - Odd-lot dealers.
  • SECTION § 240.16a-6 - Small acquisitions.
  • SECTION § 240.16a-7 - Transactions effected in connection with a distribution.
  • SECTION § 240.16a-8 - Trusts.
  • SECTION § 240.16a-9 - Stock splits, stock dividends, and pro rata rights.
  • SECTION § 240.16a-10 - Exemptions under section 16(a).
  • SECTION § 240.16a-11 - Dividend or interest reinvestment plans.
  • SECTION § 240.16a-12 - Domestic relations orders.
  • SECTION § 240.16a-13 - Change in form of beneficial ownership.

• Exemption of Certain Transactions From Section 16(b)

  • SECTION § 240.16b-1 - Transactions approved by a regulatory authority.
  • SECTION § 240.16b-2 - [Reserved]
  • SECTION § 240.16b-3 - Transactions between an issuer and its officers or directors.
  • SECTION § 240.16b-4 - [Reserved]
  • SECTION § 240.16b-5 - Bona fide gifts and inheritance.
  • SECTION § 240.16b-6 - Derivative securities.
  • SECTION § 240.16b-7 - Mergers, reclassifications, and consolidations.
  • SECTION § 240.16b-8 - Voting trusts.

• Exemption of Certain Transactions From Section 16(c)

  • SECTION § 240.16c-1 - Brokers.
  • SECTION § 240.16c-2 - Transactions effected in connection with a distribution.
  • SECTION § 240.16c-3 - Exemption of sales of securities to be acquired.
  • SECTION § 240.16c-4 - Derivative securities.

• Arbitrage Transactions

  • SECTION § 240.16e-1 - Arbitrage transactions under section 16.

• Preservation of Records and Reports of Certain Stabilizing Activities

  • SECTION § 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
  • SECTION § 240.17a-2 - Recordkeeping requirements relating to stabilizing activities.
  • SECTION § 240.17a-3 - Records to be made by certain exchange members, brokers and dealers.
  • SECTION § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers.
  • SECTION § 240.17a-5 - Reports to be made by certain brokers and dealers.
  • SECTION § 240.17a-6 - Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
  • SECTION § 240.17a-7 - Records of non-resident brokers and dealers.
  • SECTION § 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions.
  • SECTION § 240.17a-9T - Records to be made and retained by certain exchange members, brokers and dealers.
  • SECTION § 240.17a-10 - Report on revenue and expenses.
  • SECTION § 240.17a-11 - Notification provisions for brokers and dealers.
  • SECTION § 240.17a-12 - Reports to be made by certain OTC derivatives dealers.
  • SECTION § 240.17a-13 - Quarterly security counts to be made by certain exchange members, brokers, and dealers.
  • SECTION § 240.17a-14 - Form CRS, for preparation, filing and delivery of Form CRS.
  • SECTION § 240.17a-18 - [Reserved]
  • SECTION § 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
  • SECTION § 240.17a-21 - Reports of the Municipal Securities Rulemaking Board.
  • SECTION § 240.17a-22 - Supplemental material of registered clearing agencies.
  • SECTION § 240.17a-25 - Electronic submission of securities transaction information by exchange members, brokers, and dealers.
  • SECTION § 240.17d-1 - Examination for compliance with applicable financial responsibility rules.
  • SECTION § 240.17d-2 - Program for allocation of regulatory responsibility.
  • SECTION § 240.17f-1 - Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
  • SECTION § 240.17f-2 - Fingerprinting of securities industry personnel.

• Nationally Recognized Statistical Rating Organizations

  • SECTION § 240.17g-1 - Application for registration as a nationally recognized statistical rating organization.
  • SECTION § 240.17g-2 - Records to be made and retained by nationally recognized statistical rating organizations.
  • SECTION § 240.17g-3 - Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
  • SECTION § 240.17g-4 - Prevention of misuse of material nonpublic information.
  • SECTION § 240.17g-5 - Conflicts of interest.
  • SECTION § 240.17g-6 - Prohibited acts and practices.
  • SECTION § 240.17g-7 - Disclosure requirements.
  • SECTION § 240.17g-8 - Policies, procedures, and internal controls.
  • SECTION § 240.17g-9 - Standards of training, experience, and competence for credit analysts.
  • SECTION § 240.17g-10 - Certification of providers of third-party due diligence services in connection with asset-backed securities.
  • SECTION § 240.17h-1T - Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
  • SECTION § 240.17h-2T - Risk assessment reporting requirements for brokers and dealers.
  • SECTION § 240.17Ab2-1 - Registration of clearing agencies.
  • SECTION § 240.17Ab2-2 - Determinations affecting covered clearing agencies.
  • SECTION § 240.17Ac2-1 - Application for registration of transfer agents.
  • SECTION § 240.17Ac2-2 - Annual reporting requirement for registered transfer agents.
  • SECTION § 240.17Ac3-1 - Withdrawal from registration with the Commission.
  • SECTION § 240.17Ad-1 - Definitions.
  • SECTION § 240.17Ad-2 - Turnaround, processing, and forwarding of items.
  • SECTION § 240.17Ad-3 - Limitations on expansion.
  • SECTION § 240.17Ad-4 - Applicability of §240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
  • SECTION § 240.17Ad-5 - Written inquiries and requests.
  • SECTION § 240.17Ad-6 - Recordkeeping.

• Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants

  • SECTION § 240.18a-1 - Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
  • SECTION § 240.18a-1a - Options.
  • SECTION § 240.18a-1b - Adjustments to net worth for certain commodities transactions.
  • SECTION § 240.18a-1c - Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
  • SECTION § 240.18a-1d - Satisfactory Subordinated Loan Agreements.
  • SECTION § 240.18a-2 - Capital requirements for major security-based swap participants for which there is not a prudential regulator.
  • SECTION § 240.18a-3 - Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
  • SECTION § 240.18a-4 - Segregation requirements for security-based swap dealers and major security-based swap participants.
  • SECTION § 240.18a-4a - Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
  • SECTION § 240.18a-5 - Records to be made by certain security-based swap dealers and major security-based swap participants.
  • SECTION § 240.18a-6 - Records to be preserved by certain security-based swap dealers and major security-based swap participants.
  • SECTION § 240.18a-7 - Reports to be made by certain security-based swap dealers and major security-based swap participants.
  • SECTION § 240.18a-8 - Notification provisions for security-based swap dealers and major security-based swap participants.
  • SECTION § 240.18a-9 - Quarterly security counts to be made by certain security-based swap dealers.
  • SECTION § 240.18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.

• Suspension and Expulsion of Exchange Members

  • SECTION § 240.19a3-1 - [Reserved]
  • SECTION § 240.19b-3 - [Reserved]
  • SECTION § 240.19b-4 - Filings with respect to proposed rule changes by self-regulatory organizations.
  • SECTION § 240.19b-5 - Temporary exemption from the filing requirements of Section 19(b) of the Act.
  • SECTION § 240.19b-7 - Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
  • SECTION § 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.
  • SECTION § 240.19c-3 - Governing off-board trading by members of national securities exchanges.
  • SECTION § 240.19c-4 - Governing certain listing or authorization determinations by national securities exchanges and associations.
  • SECTION § 240.19c-5 - Governing the multiple listing of options on national securities exchanges.
  • SECTION § 240.19d-1 - Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
  • SECTION § 240.19d-2 - Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
  • SECTION § 240.19d-3 - Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
  • SECTION § 240.19d-4 - Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
  • SECTION § 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
  • SECTION § 240.19h-1 - Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.

• Securities Whistleblower Incentives and Protections

  • SECTION § 240.21F-1 - General.
  • SECTION § 240.21F-2 - Whistleblower status, award eligibility, confidentiality, and retaliation protections.
  • SECTION § 240.21F-3 - Payment of awards.
  • SECTION § 240.21F-4 - Other definitions.
  • SECTION § 240.21F-5 - Amount of award.
  • SECTION § 240.21F-6 - Criteria for determining amount of award.
  • SECTION § 240.21F-7 - Confidentiality of submissions.
  • SECTION § 240.21F-8 - Eligibility and forms.
  • SECTION § 240.21F-9 - Procedures for submitting original information.
  • SECTION § 240.21F-10 - Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
  • SECTION § 240.21F-11 - Procedures for determining awards based upon a related action.
  • SECTION § 240.21F-12 - Materials that may form the basis of an award determination and that may comprise the record on appeal.
  • SECTION § 240.21F-13 - Appeals.
  • SECTION § 240.21F-14 - Procedures applicable to the payment of awards.
  • SECTION § 240.21F-15 - No amnesty.
  • SECTION § 240.21F-16 - Awards to whistleblowers who engage in culpable conduct.
  • SECTION § 240.21F-17 - Staff communications with individuals reporting possible securities law violations.
  • SECTION § 240.21F-18 - Summary disposition.

• Inspection and Publication of Information Filed Under the Act

  • SECTION § 240.24b-1 - Documents to be kept public by exchanges.
  • SECTION § 240.24b-2 - Nondisclosure of information filed with the Commission and with any exchange.
  • SECTION § 240.24b-3 - Information filed by issuers and others under sections 12, 13, 14, and 16.
  • SECTION § 240.24c-1 - Access to nonpublic information.
  • SECTION § 240.31 - Section 31 transaction fees.
  • SECTION § 240.31T - Temporary rule regarding fiscal year 2004.
  • SECTION § 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.
  • SECTION § 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

• General

  • SECTION § 240.12b-1 - Scope of regulation.
  • SECTION § 240.12b-2 - Definitions.
  • SECTION § 240.12b-3 - Title of securities.
  • SECTION § 240.12b-4 - Supplemental information.
  • SECTION § 240.12b-5 - Determination of affiliates of banks.
  • SECTION § 240.12b-6 - When securities are deemed to be registered.
  • SECTION § 240.12b-7 - [Reserved]

• Formal Requirements

  • SECTION § 240.12b-10 - Requirements as to proper form.
  • SECTION § 240.12b-11 - Number of copies; signatures; binding.
  • SECTION § 240.12b-12 - Requirements as to paper, printing and language.
  • SECTION § 240.12b-13 - Preparation of statement or report.
  • SECTION § 240.12b-14 - Riders; inserts.
  • SECTION § 240.12b-15 - Amendments.

• General Requirements as to Contents

  • SECTION § 240.12b-20 - Additional information.
  • SECTION § 240.12b-21 - Information unknown or not available.
  • SECTION § 240.12b-22 - Disclaimer of control.
  • SECTION § 240.12b-23 - Incorporation by reference.
  • SECTION § 240.12b-24 - [Reserved]
  • SECTION § 240.12b-25 - Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-CEN , N-CSR, 10-Q, or 10-D.

• Exhibits

  • SECTION § 240.12b-30 - Additional exhibits.
  • SECTION § 240.12b-31 - Omission of substantially identical documents.
  • SECTION § 240.12b-32 - [Reserved]
  • SECTION § 240.12b-33 - Annual reports to other Federal agencies.

• Special Provisions

  • SECTION § 240.12b-35 - [Reserved]
  • SECTION § 240.12b-36 - Use of financial statements filed under other acts.
  • SECTION § 240.12b-37 - Satisfaction of filing requirements.

• Certification by Exchanges and Effectiveness of Registration

  • SECTION § 240.12d1-1 - Registration effective as to class or series.
  • SECTION § 240.12d1-2 - Effectiveness of registration.
  • SECTION § 240.12d1-3 - Requirements as to certification.
  • SECTION § 240.12d1-4 - Date of receipt of certification by Commission.
  • SECTION § 240.12d1-5 - Operation of certification on subsequent amendments.
  • SECTION § 240.12d1-6 - Withdrawal of certification.

• Suspension of Trading, Withdrawal, and Striking From Listing and Registration

  • SECTION § 240.12d2-1 - Suspension of trading.
  • SECTION § 240.12d2-2 - Removal from listing and registration.

• Unlisted Trading

  • SECTION § 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.
  • SECTION § 240.12f-2 - Extending unlisted trading privileges to a security that is the subject of an initial public offering.
  • SECTION § 240.12f-3 - Termination or suspension of unlisted trading privileges.
  • SECTION § 240.12f-4 - Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
  • SECTION § 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.
  • SECTION § 240.12f-6 - [Reserved]

• Extensions and Temporary Exemptions; Definitions

  • SECTION § 240.12g-1 - Registration of securities; exemption from section 12(g).
  • SECTION § 240.12g-2 - Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).
  • SECTION § 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).
  • SECTION § 240.12g-4 - Certifications of termination of registration under section 12(g).
  • SECTION § 240.12g-6 - Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
  • SECTION § 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.
  • SECTION § 240.12g5-1 - Definition of securities “held of record”.
  • SECTION § 240.12g5-2 - Definition of “total assets”.
  • SECTION § 240.12h-1 - Exemptions from registration under section 12(g) of the Act.
  • SECTION § 240.12h-2 - [Reserved]
  • SECTION § 240.12h-3 - Suspension of duty to file reports under section 15(d).
  • SECTION § 240.12h-4 - Exemption from duty to file reports under section 15(d).
  • SECTION § 240.12h-5 - Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
  • SECTION § 240.12h-6 - Certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
  • SECTION § 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

• Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12

• Regulation 13b-2: Maintenance of Records and Preparation of Required Reports

  • SECTION § 240.13b2-1 - Falsification of accounting records.
  • SECTION § 240.13b2-2 - Representations and conduct in connection with the preparation of required reports and documents.

• Regulation 13D-G

• Regulation 14A: Solicitation of Proxies

• Regulation 14C: Distribution of Information Pursuant to Section 14(c)

• Regulation 14D

• Regulation 14E

• Regulation 14N: Filings Required by Certain Nominating Shareholders

  • SECTION § 240.14n-1 - Filing of Schedule 14N.
  • SECTION § 240.14n-2 - Filing of amendments to Schedule 14N.
  • SECTION § 240.14n-3 - Dissemination.
  • SECTION § 240.14n-101 - Schedule 14N—Information to be included in statements filed pursuant to and amendments thereto filed pursuant to § 240.14n-2.

• Exemption of Certain OTC Derivatives Dealers

  • SECTION § 240.15a-1 - Securities activities of OTC derivatives dealers.

• Exemption of Certain Securities From Section 15(a)

  • SECTION § 240.15a-2 - Exemption of certain securities of cooperative apartment houses from section 15(a).
  • SECTION § 240.15a-3 - [Reserved]
  • SECTION § 240.15a-4 - Forty-five day exemption from registration for certain members of national securities exchanges.
  • SECTION § 240.15a-5 - Exemption of certain nonbank lenders.

• Registration of Brokers and Dealers

  • SECTION § 240.15a-6 - Exemption of certain foreign brokers or dealers.
  • SECTION §§ 240.15a-7—240.15a-9 - §[Reserved]
  • SECTION § 240.15a-10 - Exemption of certain brokers or dealers with respect to security futures products.
  • SECTION § 240.15a-11 - [Reserved]
  • SECTION § 240.15a-12 - Exemption for certain security-based swap execution facilities from certain broker requirements.
  • SECTION § 240.15b1-1 - Application for registration of brokers or dealers.
  • SECTION § 240.15b1-2 - [Reserved]
  • SECTION § 240.15b1-3 - Registration of successor to registered broker or dealer.
  • SECTION § 240.15b1-4 - Registration of fiduciaries.
  • SECTION § 240.15b1-5 - Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
  • SECTION § 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
  • SECTION § 240.15b2-2 - Inspection of newly registered brokers and dealers.
  • SECTION § 240.15b3-1 - Amendments to application.
  • SECTION § 240.15b5-1 - Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
  • SECTION § 240.15b6-1 - Withdrawal from registration.
  • SECTION § 240.15b7-1 - Compliance with qualification requirements of self-regulatory organizations.
  • SECTION § 240.15b7-3T - Operational capability in a Year 2000 environment.
  • SECTION § 240.15b9-1 - Exemption for certain exchange members.
  • SECTION § 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.
  • SECTION § 240.15b11-1 - Registration by notice of security futures product broker-dealers.

• Rules Relating to Over-the-Counter Markets

  • SECTION § 240.15c1-1 - Definitions.
  • SECTION § 240.15c1-2 - Fraud and misrepresentation.
  • SECTION § 240.15c1-3 - Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
  • SECTION § 240.15c1-4 - [Reserved]
  • SECTION § 240.15c1-5 - Disclosure of control.
  • SECTION § 240.15c1-6 - Disclosure of interest in distribution.
  • SECTION § 240.15c1-7 - Discretionary accounts.
  • SECTION § 240.15c1-8 - Sales at the market.
  • SECTION § 240.15c1-9 - Use of pro forma balance sheets.
  • SECTION § 240.15c2-1 - Hypothecation of customers' securities.
  • SECTION § 240.15c2-3 - [Reserved]
  • SECTION § 240.15c2-4 - Transmission or maintenance of payments received in connection with underwritings.
  • SECTION § 240.15c2-5 - Disclosure and other requirements when extending or arranging credit in certain transactions.
  • SECTION § 240.15c2-6 - [Reserved]
  • SECTION § 240.15c2-7 - Identification of quotations.
  • SECTION § 240.15c2-8 - Delivery of prospectus.
  • SECTION § 240.15c2-11 - Publication or submission of quotations without specified information.
  • SECTION § 240.15c2-12 - Municipal securities disclosure.
  • SECTION § 240.15c3-1 - Net capital requirements for brokers or dealers.
  • SECTION § 240.15c3-1a - Options (Appendix A to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1b - Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1c - Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1d - Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1e - Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1f - Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-1g - Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
  • SECTION § 240.15c3-2 - [Reserved]
  • SECTION § 240.15c3-3 - Customer protection—reserves and custody of securities.
  • SECTION § 240.15c3-3a - Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
  • SECTION § 240.15c3-3b - Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
  • SECTION § 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.
  • SECTION § 240.15c3-5 - Risk management controls for brokers or dealers with market access.
  • SECTION § 240.15c6-1 - Settlement cycle.
  • SECTION § 240.15c6-2 - Same-day allocation, confirmation, and affirmation.