CFR Subpart A
CFR Subpart A
in effectContents
section240.10A-1. A-1 Notice to the Commission Pursuant to Section 10A of the Act.section240.10A-2. A-2 Auditor independence.section240.10A-3. A-3 Listing standards relating to audit committees.section240.17Ab2-1. Ab2-1 Registration of clearing agencies.section240.17Ab2-2. Ab2-2 Determinations affecting covered clearing agencies.section240.17Ac2-1. Ac2-1 Application for registration of transfer agents.section240.17Ac2-2. Ac2-2 Annual reporting requirement for registered transfer agents.section240.17Ac3-1. Ac3-1 Withdrawal from registration with the Commission.section240.17Ad-1. Ad-1 Definitions.section240.17Ad-2. Ad-2 Turnaround, processing, and forwarding of items.section240.17Ad-3. Ad-3 Limitations on expansion.section240.17Ad-4. Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).section240.17Ad-5. Ad-5 Written inquiries and requests.section240.17Ad-6. Ad-6 Recordkeeping.section240.17Ad-7. Ad-7 Record retention.section240.17Ad-8. Ad-8 Securities position listings.section240.17Ad-9. Ad-9 Definitions.section240.17Ad-10. Ad-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.section240.17Ad-11. Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.section240.17Ad-12. Ad-12 Safeguarding of funds and securities.section240.17Ad-13. Ad-13 Annual study and evaluation of internal accounting control.section240.17Ad-14. Ad-14 Tender agents.section240.17Ad-15. Ad-15 Signature guarantees.section240.17Ad-16. Ad-16 Notice of assumption or termination of transfer agent services.section240.17Ad-17. Ad-17 Lost securityholders and unresponsive payees.section240.17Ad-18. Ad-18 Year 2000 Reports to be made by certain transfer agents.section240.17Ad-19. Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.section240.17Ad-20. Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.section240.17Ad-21T. Ad-21T Operational capability in a Year 2000 environment.section240.17ad-22. ad-22 Standards for clearing agencies.section240.17Ad-24. Ad-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 § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).section240.17ad-25. ad-25 Clearing agency boards of directors and conflicts of interest.section240.17Ad-27. Ad-27 Straight-through processing by clearing agencies that provide a central matching service.section240.17g-1. g-1 Application for registration as a nationally recognized statistical rating organization.section240.17g-2. g-2 Records to be made and retained by nationally recognized statistical rating organizations.section240.17g-3. g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.section240.17g-4. g-4 Prevention of misuse of material nonpublic information.section240.17g-5. g-5 Conflicts of interest.section240.17g-6. g-6 Prohibited acts and practices.section240.17g-7. g-7 Disclosure requirements.section240.17g-8. g-8 Policies, procedures, and internal controls.section240.17g-9. g-9 Standards of training, experience, and competence for credit analysts.section240.17g-10. g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.section240.17h-1T. h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.section240.17h-2T. h-2T Risk assessment reporting requirements for brokers and dealers.section240.15d-10. d-10 Transition reports.section240.15d-11. d-11 Current reports on Form 8-K (§ 249.308 of this chapter).section240.15d-13. d-13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).section240.15d-14. d-14 Certification of disclosure in annual and quarterly reports.section240.15d-15. d-15 Controls and procedures.section240.15d-16. d-16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].section240.15d-17. d-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).section240.15d-18. d-18 Compliance with servicing criteria for asset-backed securities.section240.15d-19. d-19 Reports by shell companies on Form 20-F.section240.15d-20. d-20 Plain English presentation of specified information.section240.6a-1. a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.section240.6a-2. a-2 Amendments to application.section240.6a-3. a-3 Supplemental material to be filed by exchanges.section240.6a-4. a-4 Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act.section240.6h-1. h-1 Settlement and regulatory halt requirements for security futures products.section240.6h-2. h-2 Security future based on note, bond, debenture, or evidence of indebtedness.section240.18a-1. a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.section240.18a-1a. a-1a Options.section240.18a-1b. a-1b Adjustments to net worth for certain commodities transactions.section240.18a-1c. a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.section240.18a-1d. a-1d Satisfactory Subordinated Loan Agreements.section240.18a-2. a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.section240.18a-3. a-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.section240.18a-4. a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.section240.18a-5. a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.section240.18a-6. a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.section240.18a-7. a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.section240.18a-8. a-8 Notification provisions for security-based swap dealers and major security-based swap participants.section240.18a-9. a-9 Quarterly security counts to be made by certain security-based swap dealers.section240.18a-10. a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.section240.12b-20. b-20 Additional information.section240.12b-21. b-21 Information unknown or not available.section240.12b-22. b-22 Disclaimer of control.section240.12b-23. b-23 Incorporation by reference.section240.12b-25. b-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.section240.10D-1. D-1 Listing standards relating to recovery of erroneously awarded compensation.section240.12b-36. b-36 Use of financial statements filed under other acts.section240.12b-37. b-37 Satisfaction of filing requirements.section240.13a-1. a-1 Requirements of annual reports.section240.13a-3. a-3 Reporting by Form 40-F registrant.section240.16b-1. b-1 Transactions approved by a regulatory authority.section240.16b-3. b-3 Transactions between an issuer and its officers or directors.section240.16b-5. b-5 Bona fide gifts and inheritance.section240.16b-6. b-6 Derivative securities.section240.16b-7. b-7 Mergers, reclassifications, and consolidations.section240.16b-8. b-8 Voting trusts.section240.14d-1. d-1 Scope of and definitions applicable to Regulations 14D and 14E.section240.14d-2. d-2 Commencement of a tender offer.section240.14d-3. d-3 Filing and transmission of tender offer statement.section240.14d-4. d-4 Dissemination of tender offers to security holders.section240.14d-5. d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.section240.14d-6. d-6 Disclosure of tender offer information to security holders.section240.14d-7. d-7 Additional withdrawal rights.section240.14d-8. d-8 Exemption from statutory pro rata requirements.section240.14d-9. d-9 Recommendation or solicitation by the subject company and others.section240.14d-10. d-10 Equal treatment of security holders.section240.14d-11. d-11 Subsequent offering period.section240.14d-100. d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.section240.14d-101. d-101 Schedule 14D-9.section240.14d-102. d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.section240.14d-103. d-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.section240.13d-1. d-1 Filing of Schedules 13D and 13G.section240.13d-2. d-2 Filing of amendments to Schedules 13D or 13G.section240.13d-3. d-3 Determination of beneficial owner.section240.13d-4. d-4 Disclaimer of beneficial ownership.section240.13d-5. d-5 Acquisition of beneficial ownership.section240.13d-6. d-6 Exemption of certain acquisitions.section240.13d-101. d-101 Schedule 13D—Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).section240.13d-102. d-102 Schedule 13G—Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.section240.13e-1. e-1 Purchase of securities by the issuer during a third-party tender offer.section240.13e-3. e-3 Going private transactions by certain issuers or their affiliates.section240.13e-4. e-4 Tender offers by issuers.section240.13e-100. e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.section240.13e-102. e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.section240.13f-1. f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.section240.13f-2. f-2 Reporting by institutional investment managers regarding gross short position and activity information.section240.13h-1. h-1 Large trader reporting.section240.13k-1. k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).section240.13n-1. n-1 Registration of security-based swap data repository.section240.13n-2. n-2 Withdrawal from registration; revocation and cancellation.section240.13n-3. n-3 Registration of successor to registered security-based swap data repository.section240.13n-4. n-4 Duties and core principles of security-based swap data repository.section240.13n-5. n-5 Data collection and maintenance.section240.13n-6. n-6 Automated systems.section240.13n-7. n-7 Recordkeeping of security-based swap data repository.section240.13n-8. n-8 Reports to be provided to the Commission.section240.13n-9. n-9 Privacy requirements of security-based swap data repository.section240.13n-10. n-10 Disclosure requirements of security-based swap data repository.section240.13n-11. n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.section240.13n-12. n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.section240.13p-1. p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.section240.13q-1. q-1 Disclosure of payments made by resource extraction issuers.section240.3a67-1. a67-1 Definition of “major security-based swap participant.”section240.3a67-2. a67-2 Categories of security-based swaps.section240.3a67-3. a67-3 Definition of “substantial position.”section240.3a67-4. a67-4 Definition of “hedging or mitigating commercial risk.”section240.3a67-5. a67-5 Definition of “substantial counterparty exposure.”section240.3a67-6. a67-6 Definition of “financial entity.”section240.3a67-7. a67-7 Definition of “highly leveraged.”section240.3a67-8. a67-8 Timing requirements, reevaluation period, and termination of status.section240.3a67-9. a67-9 Calculation of major participant status by certain persons.section240.3a67-10. a67-10 Foreign major security-based swap participants.section240.12d2-1. d2-1 Suspension of trading.section240.12d2-2. d2-2 Removal from listing and registration.section240.14a-1. a-1 Definitions.section240.14a-2. a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.section240.14a-3. a-3 Information to be furnished to security holders.section240.14a-4. a-4 Requirements as to proxy.section240.14a-5. a-5 Presentation of information in proxy statement.section240.14a-6. a-6 Filing requirements.section240.14a-7. a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.section240.14a-8. a-8 Shareholder proposals.section240.14a-9. a-9 False or misleading statements.section240.14a-10. a-10 Prohibition of certain solicitations.section240.14a-12. a-12 Solicitation before furnishing a proxy statement.section240.14a-13. a-13 Obligation of registrants in communicating with beneficial owners.section240.14a-14. a-14 Modified or superseded documents.section240.14a-15. a-15 Differential and contingent compensation in connection with roll-up transactions.section240.14a-16. a-16 Internet availability of proxy materials.section240.14a-17. a-17 Electronic shareholder forums.section240.14a-18. a-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.section240.14a-19. a-19 Solicitation of proxies in support of director nominees other than the registrant's nominees.section240.14a-20. a-20 Shareholder approval of executive compensation of TARP recipients.section240.14a-21. a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.section240.14a-101. a-101 Schedule 14A. Information required in proxy statement.section240.14a-103. a-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).section240.14a-104. a-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 § 240.14a-2(b)(4) and § 240.14a-6(n).section240.14Ad-1. Ad-1 Report of proxy voting record.section240.14b-1. b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.section240.14b-2. b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.section240.17a-1. a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.section240.17a-2. a-2 Recordkeeping requirements relating to stabilizing activities.section240.17a-3. a-3 Records to be made by certain exchange members, brokers and dealers.section240.17a-4. a-4 Records to be preserved by certain exchange members, brokers and dealers.section240.17a-5. a-5 Reports to be made by certain brokers and dealers.section240.17a-6. a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.section240.17a-7. a-7 Records of non-resident brokers and dealers.section240.17a-8. a-8 Financial recordkeeping and reporting of currency and foreign transactions.section240.17a-9T. a-9T Records to be made and retained by certain exchange members, brokers and dealers.section240.17a-10. a-10 Report on revenue and expenses.section240.17a-11. a-11 Notification provisions for brokers and dealers.section240.17a-12. a-12 Reports to be made by certain OTC derivatives dealers.section240.17a-13. a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.section240.17a-14. a-14 Form CRS, for preparation, filing and delivery of Form CRS.section240.17a-19. a-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.section240.17a-21. a-21 Reports of the Municipal Securities Rulemaking Board.section240.17a-22. a-22 Supplemental material of registered clearing agencies.section240.17a-25. a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.section240.17d-1. d-1 Examination for compliance with applicable financial responsibility rules.section240.17d-2. d-2 Program for allocation of regulatory responsibility.section240.17f-1. f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.section240.17f-2. f-2 Fingerprinting of securities industry personnel.section240.12a-4. a-4 Exemption of certain warrants from section 12(a).section240.12a-5. a-5 Temporary exemption of substituted or additional securities.section240.12a-6. a-6 Exemption of securities underlying certain options from section 12(a).section240.12a-7. a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.section240.12a-8. a-8 Exemption of depositary shares.section240.12a-9. a-9 Exemption of standardized options from section 12(a) of the Act.section240.12a-10. a-10 Exemption of security-based swaps from section 12(a) of the Act.section240.12a-11. a-11 Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.section240.19b-4. b-4 Filings with respect to proposed rule changes by self-regulatory organizations.section240.19b-5. b-5 Temporary exemption from the filing requirements of Section 19(b) of the Act.section240.19b-7. b-7 Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.section240.19c-1. c-1 Governing certain off-board agency transactions by members of national securities exchanges.section240.19c-3. c-3 Governing off-board trading by members of national securities exchanges.section240.19c-4. c-4 Governing certain listing or authorization determinations by national securities exchanges and associations.section240.19c-5. c-5 Governing the multiple listing of options on national securities exchanges.section240.19d-1. d-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.section240.19d-2. d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.section240.19d-3. d-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.section240.19d-4. d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.section240.19g2-1. g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.section240.19h-1. h-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.section240.14c-1. c-1 Definitions.section240.14c-2. c-2 Distribution of information statement.section240.14c-3. c-3 Annual report to be furnished security holders.section240.14c-4. c-4 Presentation of information in information statement.section240.14c-5. c-5 Filing requirements.section240.14c-6. c-6 False or misleading statements.section240.14c-7. c-7 Providing copies of material for certain beneficial owners.section240.14c-101. c-101 Schedule 14C. Information required in information statement.section240.3a12-1. a12-1 Exemption of certain mortgages and interests in mortgages.section240.3a12-3. a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.section240.3a12-4. a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.section240.3a12-5. a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).section240.3a12-6. a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.section240.3a12-7. a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.section240.3a12-8. a12-8 Exemption for designated foreign government securities for purposes of futures trading.section240.3a12-9. a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).section240.3a12-10. a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.section240.3a12-11. a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.section240.3a12-12. a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.section240.3a40-1. a40-1 Designation of financial responsibility rules.section240.3a43-1. a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.section240.3a44-1. a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.section240.3a44-2. a44-2 Further definition of “as a part of a regular business” in connection with certain liquidity providers.section240.3a51-1. a51-1 Definition of “penny stock”.section240.3a55-1. a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.section240.3a55-2. a55-2 Indexes underlying futures contracts trading for fewer than 30 days.section240.3a55-3. a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.section240.3a55-4. a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.section240.15a-6. a-6 Exemption of certain foreign brokers or dealers.section240.15a-10. a-10 Exemption of certain brokers or dealers with respect to security futures products.section240.15a-12. a-12 Exemption for certain security-based swap execution facilities from certain broker requirements.section240.15b1-1. b1-1 Application for registration of brokers or dealers.section240.15b1-3. b1-3 Registration of successor to registered broker or dealer.section240.15b1-4. b1-4 Registration of fiduciaries.section240.15b1-5. b1-5 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.section240.15b1-6. b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.section240.15b2-2. b2-2 Inspection of newly registered brokers and dealers.section240.15b3-1. b3-1 Amendments to application.section240.15b5-1. b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.section240.15b6-1. b6-1 Withdrawal from registration.section240.15b7-1. b7-1 Compliance with qualification requirements of self-regulatory organizations.section240.15b7-3T. b7-3T Operational capability in a Year 2000 environment.section240.15b9-1. b9-1 Exemption for certain exchange members.section240.15b9-2. b9-2 Exemption from SRO membership for OTC derivatives dealers.section240.15b11-1. b11-1 Registration by notice of security futures product broker-dealers.section240.13a-10. a-10 Transition reports.section240.13a-11. a-11 Current reports on Form 8-K (§ 249.308 of this chapter).section240.13a-13. a-13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).section240.13a-14. a-14 Certification of disclosure in annual and quarterly reports.section240.13a-15. a-15 Controls and procedures.section240.13a-16. a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).section240.13a-17. a-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).section240.13a-18. a-18 Compliance with servicing criteria for asset-backed securities.section240.13a-19. a-19 Reports by shell companies on Form 20-F.section240.13a-20. a-20 Plain English presentation of specified information.section240.12f-1. f-1 Applications for permission to reinstate unlisted trading privileges.section240.12f-2. f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.section240.12f-3. f-3 Termination or suspension of unlisted trading privileges.section240.12f-4. f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.section240.12f-5. f-5 Exchange rules for securities to which unlisted trading privileges are extended.section240.15a-2. a-2 Exemption of certain securities of cooperative apartment houses from section 15(a).section240.15a-4. a-4 Forty-five day exemption from registration for certain members of national securities exchanges.section240.15a-5. a-5 Exemption of certain nonbank lenders.section240.3Ca-1. Ca-1 Stay of clearing requirement and review by the Commission.section240.3Ca-2. Ca-2 Submission of security-based swaps for clearing.section240.3a11-1. a11-1 Definition of the term “equity security.”section240.14e-1. e-1 Unlawful tender offer practices.section240.14e-2. e-2 Position of subject company with respect to a tender offer.section240.14e-3. e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.section240.14e-4. e-4 Prohibited transactions in connection with partial tender offers.section240.14e-5. e-5 Prohibiting purchases outside of a tender offer.section240.14e-6. e-6 Repurchase offers by certain closed-end registered investment companies.section240.14e-7. e-7 Unlawful tender offer practices in connection with roll-ups.section240.14e-8. e-8 Prohibited conduct in connection with pre-commencement communications.section240.14f-1. f-1 Change in majority of directors.section240.12d1-1. d1-1 Registration effective as to class or series.section240.12d1-2. d1-2 Effectiveness of registration.section240.12d1-3. d1-3 Requirements as to certification.section240.12d1-4. d1-4 Date of receipt of certification by Commission.section240.12d1-5. d1-5 Operation of certification on subsequent amendments.section240.12d1-6. d1-6 Withdrawal of certification.section240.15Aa-1. Aa-1 Registration of a national or an affiliated securities association.section240.15Aj-1. Aj-1 Amendments and supplements to registration statements of securities associations.section240.15Ba1-1. Ba1-1 Definitions.section240.15Ba1-2. Ba1-2 Registration of municipal advisors and information regarding certain natural persons.section240.15Ba1-3. Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.section240.15Ba1-4. Ba1-4 Withdrawal from municipal advisor registration.section240.15Ba1-5. Ba1-5 Amendments to Form MA and Form MA-I.section240.15Ba1-6. Ba1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.section240.15Ba1-7. Ba1-7 Registration of successor to municipal advisor.section240.15Ba1-8. Ba1-8 Books and records to be made and maintained by municipal advisors.section240.15Ba2-1. Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.section240.15Ba2-2. Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.section240.15Ba2-4. Ba2-4 Registration of successor to registered municipal securities dealer.section240.15Ba2-5. Ba2-5 Registration of fiduciaries.section240.15Bc3-1. Bc3-1 Withdrawal from registration of municipal securities dealers.section240.15Bc4-1. Bc4-1 Persons associated with municipal advisors.section240.15Bc7-1. Bc7-1 Availability of examination reports.section240.15d-21. d-21 Reports for employee stock purchase, savings and similar plans.section240.15d-22. d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.section240.15d-23. d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.section240.15g-1. g-1 Exemptions for certain transactions.section240.15g-2. g-2 Penny stock disclosure document relating to the penny stock market.section240.15g-3. g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.section240.15g-4. g-4 Disclosure of compensation to brokers or dealers.section240.15g-5. g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.section240.15g-6. g-6 Account statements for penny stock customers.section240.15g-8. g-8 Sales of escrowed securities of blank check companies.section240.15g-9. g-9 Sales practice requirements for certain low-priced securities.section240.15g-100. g-100 Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.section240.15l-1. l-1 Regulation best interest.section240.15Ca1-1. Ca1-1 Notice of government securities broker-dealer activities.section240.15Ca2-1. Ca2-1 Application for registration as a government securities broker or government securities dealer.section240.15Ca2-3. Ca2-3 Registration of successor to registered government securities broker or government securities dealer.section240.15Ca2-4. Ca2-4 Registration of fiduciaries.section240.15Ca2-5. Ca2-5 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.section240.15Cc1-1. Cc1-1 Withdrawal from registration of government securities brokers or government securities dealers.section240.16e-1. e-1 Arbitrage transactions under section 16.section240.3a68-1a. a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.section240.3a68-1b. a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.section240.3a68-2. a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.section240.3a68-3. a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”section240.3a68-4. a68-4 Regulation of mixed swaps.section240.3a68-5. a68-5 Regulation of certain futures contracts on foreign sovereign debt.section240.3a69-1. a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance.section240.3a69-2. a69-2 Definition of “swap” as used in section 3(a)(69) of the Act—additional products.section240.3a69-3. a69-3 Books and records requirements for security-based swap agreements.section240.3a71-1. a71-1 Definition of “security-based swap dealer.”section240.3a71-2. a71-2 De minimis exception.section240.3a71-2A. a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).section240.3a71-3. a71-3 Cross-border security-based swap dealing activity.section240.3a71-4. a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.section240.3a71-5. a71-5 Exception for cleared transactions executed on a swap execution facility.section240.3a71-6. a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.section240.12b-1. b-1 Scope of regulation.section240.12b-2. b-2 Definitions.section240.12b-3. b-3 Title of securities.section240.12b-4. b-4 Supplemental information.section240.12b-5. b-5 Determination of affiliates of banks.section240.12b-6. b-6 When securities are deemed to be registered.section240.15d-1. d-1 Requirement of annual reports.section240.15d-2. d-2 Special financial report.section240.15d-3. d-3 Reports for depositary shares registered on Form F-6.section240.15d-4. d-4 Reporting by Form 40-F registrants.section240.15d-5. d-5 Reporting by successor issuers.section240.15d-6. d-6 Suspension of duty to file reports.section240.12b-30. b-30 Additional exhibits.section240.12b-31. b-31 Omission of substantially identical documents.section240.12b-33. b-33 Annual reports to other Federal agencies.section240.11a-1. a-1 Regulation of floor trading.section240.11a1-1(T). a1-1(T) Transactions yielding priority, parity, and precedence.section240.11a1-2. a1-2 Transactions for certain accounts of associated persons of members.section240.11a1-3(T). a1-3(T) Bona fide hedge transactions in certain securities.section240.11a1-4(T). a1-4(T) Bond transactions on national securities exchanges.section240.11a1-5. a1-5 Transactions by registered competitive market makers and registered equity market makers.section240.11a1-6. a1-6 Transactions for certain accounts of OTC derivatives dealers.section240.11a2-2(T). a2-2(T) Transactions effected by exchange members through other members.section240.15c1-1. c1-1 Definitions.section240.15c1-2. c1-2 Fraud and misrepresentation.section240.15c1-3. c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.section240.15c1-5. c1-5 Disclosure of control.section240.15c1-6. c1-6 Disclosure of interest in distribution.section240.15c1-7. c1-7 Discretionary accounts.section240.15c1-8. c1-8 Sales at the market.section240.15c1-9. c1-9 Use of pro forma balance sheets.section240.15c2-1. c2-1 Hypothecation of customers' securities.section240.15c2-4. c2-4 Transmission or maintenance of payments received in connection with underwritings.section240.15c2-5. c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.section240.15c2-7. c2-7 Identification of quotations.section240.15c2-8. c2-8 Delivery of prospectus.section240.15c2-11. c2-11 Publication or submission of quotations without specified information.section240.15c2-12. c2-12 Municipal securities disclosure.section240.15c3-1. c3-1 Net capital requirements for brokers or dealers.section240.15c3-1a. c3-1a Options (Appendix A to 17 CFR 240.15c3-1).section240.15c3-1b. c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).section240.15c3-1c. c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).section240.15c3-1d. c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).section240.15c3-1e. c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).section240.15c3-1f. c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).section240.15c3-1g. c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).section240.15c3-3. c3-3 Customer protection—reserves and custody of securities.section240.15c3-3a. c3-3a Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.section240.15c3-4. c3-4 Internal risk management control systems for OTC derivatives dealers.section240.15c3-5. c3-5 Risk management controls for brokers or dealers with market access.section240.15c6-1. c6-1 Settlement cycle.section240.15c6-2. c6-2 Same-day allocation, confirmation, and affirmation.section240.11b-1. b-1 Regulation of specialists.section240.3b-1. b-1 Definition of “listed”.section240.3b-2. b-2 Definition of “officer”.section240.3b-4. b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.section240.3b-5. b-5 Non-exempt securities issued under governmental obligations.section240.3b-6. b-6 Liability for certain statements by issuers.section240.3b-7. b-7 Definition of “executive officer”.section240.3b-8. b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.section240.3b-11. b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).section240.3b-12. b-12 Definition of OTC derivatives dealer.section240.3b-13. b-13 Definition of eligible OTC derivative instrument.section240.3b-14. b-14 Definition of cash management securities activities.section240.3b-15. b-15 Definition of ancillary portfolio management securities activities.section240.3b-16. b-16 Definitions of terms used in Section 3(a)(1) of the Act.section240.3b-18. b-18 Definitions of terms used in Section 3(a)(5) of the Act.section240.3b-19. b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.section240.11d1-1. d1-1 Exemption of certain securities from section 11(d)(1).section240.11d1-2. d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.section240.11d2-1. d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.section240.24b-1. b-1 Documents to be kept public by exchanges.section240.24b-2. b-2 Nondisclosure of information filed with the Commission and with any exchange.section240.24b-3. b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.section240.24c-1. c-1 Access to nonpublic information.section240.31. Section 31 transaction fees.section240.31T. T Temporary rule regarding fiscal year 2004.section240.36a1-1. a1-1 Exemption from Section 7 for OTC derivatives dealers.section240.36a1-2. a1-2 Exemption from SIPA for OTC derivatives dealers.section240.14n-1. n-1 Filing of Schedule 14N.section240.14n-2. n-2 Filing of amendments to Schedule 14N.section240.14n-3. n-3 Dissemination.section240.14n-101. n-101 Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.section240.21F-1. F-1 General.section240.21F-2. F-2 Whistleblower status, award eligibility, confidentiality, and retaliation protections.section240.21F-3. F-3 Payment of awards.section240.21F-4. F-4 Other definitions.section240.21F-5. F-5 Amount of award.section240.21F-6. F-6 Criteria for determining amount of award.section240.21F-7. F-7 Confidentiality of submissions.section240.21F-8. F-8 Eligibility and forms.section240.21F-9. F-9 Procedures for submitting original information.section240.21F-10. F-10 Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.section240.21F-11. F-11 Procedures for determining awards based upon a related action.section240.21F-12. F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.section240.21F-13. F-13 Appeals.section240.21F-14. F-14 Procedures applicable to the payment of awards.section240.21F-15. F-15 No amnesty.section240.21F-16. F-16 Awards to whistleblowers who engage in culpable conduct.section240.21F-17. F-17 Staff communications with individuals reporting possible securities law violations.section240.21F-18. F-18 Summary disposition.section240.16a-1. a-1 Definition of terms.section240.16a-2. a-2 Persons and transactions subject to section 16.section240.16a-3. a-3 Reporting transactions and holdings.section240.16a-4. a-4 Derivative securities.section240.16a-5. a-5 Odd-lot dealers.section240.16a-6. a-6 Small acquisitions.section240.16a-7. a-7 Transactions effected in connection with a distribution.section240.16a-8. a-8 Trusts.section240.16a-9. a-9 Stock splits, stock dividends, and pro rata rights.section240.16a-10. a-10 Exemptions under section 16(a).section240.16a-11. a-11 Dividend or interest reinvestment plans.section240.16a-12. a-12 Domestic relations orders.section240.16a-13. a-13 Change in form of beneficial ownership.section240.13b2-1. b2-1 Falsification of accounting records.section240.13b2-2. b2-2 Representations and conduct in connection with the preparation of required reports and documents.section240.9j-1. j-1 Prohibition against fraud, manipulation, or deception in connection with security-based swaps.section240.10b-1. b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.section240.10b-3. b-3 Employment of manipulative and deceptive devices by brokers or dealers.section240.10b-5. b-5 Employment of manipulative and deceptive devices.section240.10b5-1. b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.section240.10b5-2. b5-2 Duties of trust or confidence in misappropriation insider trading cases.section240.10b-9. b-9 Prohibited representations in connection with certain offerings.section240.10b-10. b-10 Confirmation of transactions.section240.10b-16. b-16 Disclosure of credit terms in margin transactions.section240.10b-17. b-17 Untimely announcements of record dates.section240.10b-18. b-18 Purchases of certain equity securities by the issuer and others.section240.10b-21. b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.section240.10c-1a. c-1a Securities lending transparency.section240.12b-10. b-10 Requirements as to proper form.section240.12b-11. b-11 Number of copies; signatures; binding.section240.12b-12. b-12 Requirements as to paper, printing and language.section240.12b-13. b-13 Preparation of statement or report.section240.12b-14. b-14 Riders; inserts.section240.12b-15. b-15 Amendments.section240.15a-1. a-1 Securities activities of OTC derivatives dealers.section240.8c-1. c-1 Hypothecation of customers' securities.section240.9b-1. b-1 Options disclosure document.section240.15Fb1-1. Fb1-1. Signatures.section240.15Fb2-1. Fb2-1 Registration of security-based swap dealers and major security-based swap participants.section240.15Fb2-3. Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.section240.15Fb2-4. Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.section240.15Fb2-5. Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.section240.15Fb2-6. Fb2-6 Registration of fiduciaries.section240.15Fb3-1. Fb3-1 Duration of registration.section240.15Fb3-2. Fb3-2 Withdrawal from registration.section240.15Fb3-3. Fb3-3 Cancellation and revocation of registration.section240.15Fb6-2. Fb6-2 Associated person certification.section240.15Fh-1. Fh-1 Scope and reliance on representations.section240.15Fh-2. Fh-2 Definitions.section240.15Fh-3. Fh-3 Business conduct requirements.section240.15fh-4. fh-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.section240.15Fh-5. Fh-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.section240.15Fh-6. Fh-6 Political contributions by certain security-based swap dealers.section240.15Fi-1. Fi-1 Definitions.section240.15Fi-2. Fi-2 Acknowledgment and verification of security-based swap transactions.section240.15Fi-3. Fi-3 Security-based swap portfolio reconciliation.section240.15Fi-4. Fi-4 Security-based swap portfolio compression.section240.15Fi-5. Fi-5 Security-based swap trading relationship documentation.section240.15Fk-1. Fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.section240.15Ga-1. Ga-1 Repurchases and replacements relating to asset-backed securities.section240.15Ga-2. Ga-2 Findings and conclusions of third-party due diligence reports.section240.10C-1. C-1 Listing standards relating to compensation committees.section240.0-1. -1 Definitions.section240.0-2. -2 Business hours of the Commission.section240.0-3. -3 Filing of material with the Commission.section240.0-4. -4 Nondisclosure of information obtained in examinations and investigations.section240.0-5. -5 Reference to rule by obsolete designation.section240.0-6. -6 Disclosure detrimental to the national defense or foreign policy.section240.0-8. -8 Application of rules to registered broker-dealers.section240.0-9. -9 Payment of filing fees.section240.0-10. -10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.section240.0-11. -11 Filing fees for certain acquisitions, dispositions and similar transactions.section240.0-12. -12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.section240.0-13. -13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.section240.3a1-1. a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.section240.3a4-1. a4-1 Associated persons of an issuer deemed not to be brokers.section240.3a5-1. a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.section240.3a5-2. a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.section240.3a5-3. a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.section240.3a5-4. a5-4 Further definition of “as a part of a regular business” in connection with certain liquidity providers.section240.16c-1. c-1 Brokers.section240.16c-2. c-2 Transactions effected in connection with a distribution.section240.16c-3. c-3 Exemption of sales of securities to be acquired.section240.16c-4. c-4 Derivative securities.section240.12g-1. g-1 Registration of securities; exemption from section 12(g).section240.12g-2. g-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).section240.12g-3. g-3 Registration of securities of successor issuers under section 12(b) or 12(g).section240.12g3-2. g3-2 Exemptions for American depositary receipts and certain foreign securities.section240.12g-4. g-4 Certifications of termination of registration under section 12(g).section240.12g5-1. g5-1 Definition of securities “held of record”.section240.12g5-2. g5-2 Definition of “total assets”.section240.12g-6. g-6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.section240.12h-1. h-1 Exemptions from registration under section 12(g) of the Act.section240.12h-3. h-3 Suspension of duty to file reports under section 15(d).section240.12h-4. h-4 Exemption from duty to file reports under section 15(d).section240.12h-5. h-5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.section240.12h-6. h-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).section240.12h-7. h-7 Exemption for issuers of securities that are subject to insurance regulation.
Source: eCFRURL: https://www.ecfr.gov/api/versioner/v1/full/2024-07-01/title-17.xmlFetched: 7/26/2026