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  1. Title 17 —Commodity and Securities Exchanges
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PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

Authority:

15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78j-4, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, 7201 et seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C.5221(e)(3); 18 U.S.C. 1350; and Pub. L. 111-203, 939A, 124 Stat.1376 (2010); and Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted.

Section 240.3a4-1 also issued under secs. 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121 as amended;

Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), and 23(a), 15 U.S.C. 78w(a);

Section 240.3a12-10 also issued under 15 U.S.C. 78b and c;

Section 240.3a12-9 also issued under secs. 3(a)(12), 7(c), 11(d)(1), 15 U.S.C. 78c(a)(12), 78g(c), 78k(d)(1));

Sections 240.3a43-1 and 240.3a44-1 also issued under sec. 3; 15 U.S.C. 78c;

Sections 3a67-1 through 3a67-9 and 3a71-1 and 3a71-2 are also issued under Pub. L. 111-203, §§ 712, 761(b), 124 Stat. 1841 (2010).

Sections 240.3a67-10, 240.3a71-3, 240.3a71-4, and 240.3a71-5 are also issued under Pub. L. 111-203, section 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Sections 240.3a71-3 and 240.3a71-5 are also issued under Pub. L. 111-203, sec. 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Section 240.3b-6 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.3b-9 also issued under secs. 2, 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121, as amended (15 U.S.C. 78b, 78c, 78o);

Section 240.9b-1 is also issued under sec. 2, 7, 10, 19(a), 48 Stat. 74, 78, 81, 85; secs. 201, 205, 209, 120, 48 Stat. 905, 906, 908; secs. 1-4, 8, 68 Stat. 683, 685; sec. 12(a), 73 Stat. 143; sec. 7(a), 74 Stat. 412; sec. 27(a), 84 Stat. 1433; sec. 308(a)(2), 90 Stat. 57; sec. 505, 94 Stat. 2292; secs. 9, 15, 23(a), 48 Stat. 889, 895, 901; sec. 230(a), 49 Stat. 704; secs. 3, 8, 49 Stat. 1377, 1379; sec. 2, 52 Stat. 1075; secs. 6, 10, 78 Stat. 570-574, 580; sec. 11(d), 84 Stat. 121; sec. 18, 89 Stat. 155; sec. 204, 91 Stat. 1500; 15 U.S.C. 77b, 77g, 77j, 77s(a), 78i, 78o, 78w(a);

Section 240.10b-10 is also issued under secs. 2, 3, 9, 10, 11, 11A, 15, 17, 23, 48 Stat. 891, 89 Stat. 97, 121, 137, 156, (15 U.S.C. 78b, 78c, 78i, 78j, 78k, 78k-1, 78o, 78q).

Section 240.12a-7 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), 6, 15 U.S.C. 78(f), 11A, 15 U.S.C. 78k, 12, 15 U.S.C. 78(l), and 23(a)(1), 15 U.S.C. 78(w)(a)(1).

Sections 240.12b-1 to 240.12b-36 also issued under secs. 3, 12, 13, 15, 48 Stat. 892, as amended, 894, 895, as amended; 15 U.S.C. 78c, 78l, 78m, 78o;

Section 240.12b-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.12b-25 is also issued under 15 U.S.C. 80a-8, 80a-24(a), 80a-29, and 80a-37.

Section 240.12g-3 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.12g3-2 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.13a-10 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13a-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.13a-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13a-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13d-3 is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Sections 240.13e-4, 240.14d-7, 240.14d-10 and 240.14e-1 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(d) and 14(e), 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(d) and 78n(e) and sec. 23(c) of the Investment Company Act of 1940, 15 U.S.C 80a-23(c);

Sections 240.13e-4 to 240.13e-101 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(e), 15(c)(1), 48 Stat. 882, 889, 891, 894, 895, 901, sec. 8, 49 Stat. 1379, sec. 5, 78 Stat. 569, 570, secs. 2, 3, 82 Stat. 454, 455, secs. 1, 2, 3-5, 84 Stat. 1497, secs. 3, 18, 89 Stat. 97, 155; 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(e), 78o(c); sec. 23(c) of the Investment Company Act of 1940; 54 Stat. 825; 15 U.S.C. 80a-23(c);

Section 240.13p-1 is also issued under sec. 1502, Pub. L. 111-203, 124 Stat. 1376.

Section 240.13q-1 is also issued under sec. 1504, Pub. L. 111-203, 124 Stat. 2220.

Sections 240.14a-1, 240.14a-3, 240.14a-13, 240.14b-1, 240.14b-2, 240.14c-1, and 240.14c-7 also issued under secs. 12, 15 U.S.C. 781, and 14, Pub. L. 99-222, 99 Stat. 1737, 15 U.S.C. 78n;

Sections 240.14a-3, 240.14a-13, 240.14b-1 and 240.14c-7 also issued under secs. 12, 14 and 17, 15 U.S.C. 781, 78n and 78g;

Sections 240.14c-1 to 240.14c-101 also issued under sec. 14, 48 Stat. 895; 15 U.S.C. 78n;

Section 240.14d-1 is also issued under 15 U.S.C. 77g, 77j, 77s(a), 77ttt(a), 80a-37.

Section 240.14e-2 is also issued under 15 U.S.C. 77g, 77h, 77s(a), 77sss, 80a-37(a).

Section 240.14e-4 also issued under the Exchange Act, 15 U.S.C. 78a et seq., and particularly sections 3(b), 10(a), 10(b), 14(e), 15(c), and 23(a) of the Exchange Act (15 U.S.C. 78c(b), 78j(a), 78j(b), 78n(e), 78o(c), and 78w(a)).

Section 240.15a-6, also issued under secs. 3, 10, 15, and 17, 15 U.S.C. 78c, 78j, 78o, and 78q;

Section 240.15b1-3 also issued under sec. 15, 17; 15 U.S.C. 78o 78q;

Sections 240.15b1-3 and 240.15b2-1 also issued under 15 U.S.C. 78o, 78q;

Section 240.15b2-2 also issued under secs. 3, 15; 15 U.S.C. 78c, 78o;

Sections 240.15b10-1 to 240.15b10-9 also issued under secs. 15, 17, 48 Stat. 895, 897, sec. 203, 49 Stat. 704, secs. 4, 8, 49 Stat. 1379, sec. 5, 52 Stat. 1076, sec. 6, 78 Stat. 570; 15 U.S.C. 78o, 78q, 12 U.S.C. 241 nt.;

Section 240.15c2-6, also issued under secs. 3, 10, and 15, 15 U.S.C. 78c, 78j, and 78o.

Section 240.15c2-11 also issued under 15 U.S.C. 78j(b), 78o(c), 78q(a), and 78w(a).

Section 240.15c2-12 also issued under 15 U.S.C. 78b, 78c, 78j, 78o, 78o-4 and 78q.

Section 240.15c3-1 is also issued under 15 U.S.C. 78o(c)(3), 78o-10(d), and 78o-10(e).

Sections 240.15c3-1a, 240.15c3-1e, 240.15c3-1f, 240.15c3-1g are also issued under Pub. L. 111-203, secs. 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15c3-3 is also issued under 15 U.S.C. 78c-5, 78o(c)(2), 78(c)(3), 78q(a), 78w(a); sec. 6(c), 84 Stat. 1652; 15 U.S.C. 78fff.

Section 240.15c3-3(o) is also issued under Pub. L. 106-554, 114 Stat. 2763, section 203.

Section 240.15c3-3a is also issued under Pub. L. 111-203, § 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15d-5 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.15d-10 is also issued under 15 U.S.C. 80a-20(a) and 80a-37(a), and secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.15d-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15l-1 is also issued under Pub. L. 111-203, sec. 913, 124 Stat. 1376, 1827 (2010).

Sections 240.15Ba1-1 through 240.15Ba1-8 are also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Section 240.15Bc4-1 is also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Sections 240.15Ca1-1, 240.15Ca2-1, 240.15Ca2-2, 240.15Ca2-3, 240.15Ca2-4, 240.15Ca2-5, 240.15Cc1-1 also issued under secs. 3, 15C; 15 U.S.C. 78c, 78o-5;

Sections 240.15Fh-1 through 240.15Fh-6 and 240.15Fk-1 are also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-1 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-2 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.16a-1(a) is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Sections 240.15fh-1 through 240.15Fh-6 and 240.15Fk-1 are also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17a-3 also issued under secs. 2, 17, 23a, 48 Stat. 897, as amended; 15 U.S.C. 78d-1, 78d-2, 78q; secs. 12, 14, 17, 23(a), 48 Stat. 892, 895, 897, 901; secs. 1, 4, 8, 49 Stat. 1375, 1379; sec. 203(a), 49 Stat. 704; sec. 5, 52 Stat. 1076; sec. 202, 68 Stat. 686; secs. 3, 5, 10, 78 Stat. 565-568, 569, 570, 580; secs. 1, 3, 82 Stat. 454, 455; secs. 28(c), 3-5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 14, 18, 89 Stat. 117, 118, 137, 155; 15 U.S.C. 78l, 78n, 78q, 78w(a);

Section 240.17a-4 also issued under secs. 2, 17, 23(a), 48 Stat. 897, as amended; 15 U.S.C. 78a, 78d-1, 78d-2; sec. 14, Pub. L. 94-29, 89 Stat. 137 (15 U.S.C. 78a); sec. 18, Pub. L. 94-29, 89 Stat. 155 (15 U.S.C. 78w);

Section 240.17a-14 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010)

Section 240.17a-23 also issued under 15 U.S.C. 78b, 78c, 78o, 78q, and 78w(a).

Section 240.17f-1 is also authorized under sections 2, 17 and 17A, 48 Stat. 891, 89 Stat. 137, 141 (15 U.S.C. 78b, 78q, 78q-1);

Section 240.17g-7 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-8 is also issued under sec. 938, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-9 is also issued under sec. 936, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17h-1T also issued under 15 U.S.C. 78q.

Sections 240.17Ac2-1(c) and 240.17Ac2-2 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q-1, 78w(a));

Section 240.17Ad-1 is also issued under secs. 2, 17, 17A and 23(a); 48 Stat. 841 as amended, 48 Stat. 897, as amended, 89 Stat. 137, 141, and 48 Stat. 901 (15 U.S.C. 78b, 78q, 78q-1, 78w);

Sections 240.17Ad-5 and 240.17Ad-10 are also issued under secs. 3 and 17A; 48 Stat. 882, as amended, and 89 Stat. (15 U.S.C. 78c and 78q-1);

Section 240.17Ad-7 also issued under 15 U.S.C. 78b, 78q, and 78q-1.

Section 240.17Ad-17 is also issued under Pub. L. 111-203, section 929W, 124 Stat. 1869 (2010).

Section 240.17ad-22 is also issued under 12 U.S.C. 5461 et seq.

Sections 240.18a-1, 240.18a-1a, 240.18a-1b, 240.18a-1c, 240.18a-1d, 240.18a-2, 240.18a-3, and 240.18a-10 are also issued under 15 U.S.C. 78o-10(d) and 78o-10(e).

Section 240.18a-4 is also issued under 15 U.S.C. 78c-5(f).

Section 240.19b-4 is also issued under 12 U.S.C. 5465(e).

Sections 240.19c-4 also issued under secs. 6, 11A, 14, 15A, 19 and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78o-3, and 78s);

Section 240.19c-5 also issued under Sections 6, 11A, and 19 of the Securities Exchange Act of 1934, 48 Stat. 885, as amended, 89 Stat. 111, as amended, and 48 Stat. 898, as amended, 15 U.S.C. 78f, 78k-1, and 78s.

Section 240.21F is also issued under Pub. L. 111-203, § 922(a), 124 Stat. 1841 (2010).

Section 240.31-1 is also issued under sec. 31, 48 Stat. 904, as amended (15 U.S.C. 78ee).

Editorial Note

Editorial Note:

Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

Note:

In §§ 240.0-1 to 240.24b-3, the numbers to the right of the decimal point correspond with the respective rule numbers of the rules and regulations under the Securities Exchange Act of 1934.

ATTENTION ELECTRONIC FILERS

THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 240General Rules and Regulations, Securities Exchange Act of 1934240.0-1 – 240.36a1-2
Subpart ARules and Regulations Under the Securities Exchange Act of 1934240.0-1 – 240.36a1-2
Rules of General Application240.0-1 – 240.3a5-4
§ 240.0-1Definitions.
§ 240.0-2Business hours of the Commission.
§ 240.0-3Filing of material with the Commission.
§ 240.0-4Nondisclosure of information obtained in examinations and investigations.
§ 240.0-5Reference to rule by obsolete designation.
§ 240.0-6Disclosure detrimental to the national defense or foreign policy.
§ 240.0-8Application of rules to registered broker-dealers.
§ 240.0-9Payment of filing fees.
§ 240.0-10Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
§ 240.0-11Filing fees for certain acquisitions, dispositions and similar transactions.
§ 240.0-12Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
§ 240.0-13Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
§ 240.3a1-1Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
§ 240.3a4-1Associated persons of an issuer deemed not to be brokers.
§§ 240.3a4-2-240.3a4-6 [Reserved]
§ 240.3a5-1Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
§ 240.3a5-2Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 240.3a5-3Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
§ 240.3a5-4xxx -
Definition of “Equity Security” as Used in Sections 12(g) and 16240.3a11-1
§ 240.3a11-1Definition of the term “equity security.”
Miscellaneous Exemptions240.3a12-1 – 240.3a55-4
§ 240.3a12-1Exemption of certain mortgages and interests in mortgages.
§ 240.3a12-2 [Reserved]
§ 240.3a12-3Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
§ 240.3a12-4Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
§ 240.3a12-5Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
§ 240.3a12-6Definition of “common trust fund” as used in section 3(a)(12) of the Act.
§ 240.3a12-7Exemption for certain derivative securities traded otherwise than on a national securities exchange.
§ 240.3a12-8Exemption for designated foreign government securities for purposes of futures trading.
§ 240.3a12-9Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
§ 240.3a12-10Exemption of certain securities issued by the Resolution Funding Corporation.
§ 240.3a12-11Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
§ 240.3a12-12Exemption from certain provisions of section 16 of the Act for asset-backed securities.
§ 240.3a40-1Designation of financial responsibility rules.
§ 240.3a43-1Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
§ 240.3a44-1Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
§ 240a44-2xxx
§ 240.3a51-1Definition of “penny stock”.
§ 240.3a55-1Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
§ 240.3a55-2Indexes underlying futures contracts trading for fewer than 30 days.
§ 240.3a55-3Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
§ 240.3a55-4Exclusion from definition of narrow-based security index for indexes composed of debt securities.
Security-Based Swap Dealer and Participant Definitions240.3a67-1 – 240.3a67-10
§ 240.3a67-1Definition of “major security-based swap participant.”
§ 240.3a67-2Categories of security-based swaps.
§ 240.3a67-3Definition of “substantial position.”
§ 240.3a67-4Definition of “hedging or mitigating commercial risk.”
§ 240.3a67-5Definition of “substantial counterparty exposure.”
§ 240.3a67-6Definition of “financial entity.”
§ 240.3a67-7Definition of “highly leveraged.”
§ 240.3a67-8Timing requirements, reevaluation period, and termination of status.
§ 240.3a67-9Calculation of major participant status by certain persons.
§ 240.3a67-10Foreign major security-based swap participants.
Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping240.3a68-1a – 240.3a71-6
§ 240.3a68-1aMeaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
§ 240.3a68-1bMeaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
§ 240.3a68-2Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 240.3a68-3Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
§ 240.3a68-4Regulation of mixed swaps.
§ 240.3a68-5Regulation of certain futures contracts on foreign sovereign debt.
§ 240.3a69-1Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance.
§ 240.3a69-2Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
§ 240.3a69-3Books and records requirements for security-based swap agreements.
§ 240.3a71-1Definition of “security-based swap dealer.”
§ 240.3a71-2De minimis exception.
§ 240.3a71-2AReport regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
§ 240.3a71-3Cross-border security-based swap dealing activity.
§ 240.3a71-4Exception from aggregation for affiliated groups with registered security-based swap dealers.
§ 240.3a71-5Exception for cleared transactions executed on a swap execution facility.
§ 240.3a71-6Substituted compliance for security-based swap dealers and major security-based swap participants.
Definitions240.3b-1 – 240.3b-19
§ 240.3b-1Definition of “listed”.
§ 240.3b-2Definition of “officer”.
§ 240.3b-3 [Reserved]
§ 240.3b-4Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
§ 240.3b-5Non-exempt securities issued under governmental obligations.
§ 240.3b-6Liability for certain statements by issuers.
§ 240.3b-7Definition of “executive officer”.
§ 240.3b-8Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
§§ 240.3b-9-240.3b-10 [Reserved]
§ 240.3b-11Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
§ 240.3b-12Definition of OTC derivatives dealer.
§ 240.3b-13Definition of eligible OTC derivative instrument.
§ 240.3b-14Definition of cash management securities activities.
§ 240.3b-15Definition of ancillary portfolio management securities activities.
§ 240.3b-16Definitions of terms used in Section 3(a)(1) of the Act.
§ 240.3b-17 [Reserved]
§ 240.3b-18Definitions of terms used in Section 3(a)(5) of the Act.
§ 240.3b-19Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
Clearing of Security-Based Swaps240.3Ca-1 – 240.3Ca-2
§ 240.3Ca-1Stay of clearing requirement and review by the Commission.
§ 240.3Ca-2Submission of security-based swaps for clearing.
Registration and Exemption of Exchanges240.6a-1 – 240.7c2-1
§ 240.6a-1Application for registration as a national securities exchange or exemption from registration based on limited volume.
§ 240.6a-2Amendments to application.
§ 240.6a-3Supplemental material to be filed by exchanges.
§ 240.6a-4Notice 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.
§ 240.6h-1Settlement and regulatory halt requirements for security futures products.
§ 240.6h-2Security future based on note, bond, debenture, or evidence of indebtedness.
§ 240.7c2-1 [Reserved]
Hypothecation of Customers' Securities240.8c-1 – 240.9b-1
§ 240.8c-1Hypothecation of customers' securities.
§ 240.9b-1Options disclosure document.
Manipulative and Deceptive Devices and Contrivances240.9j-1 – 240.10c-1a
§ 240.9j-1Prohibition against fraud, manipulation, or deception in connection with security-based swaps.
§§ 240.10a-1-240.10a-2 [Reserved]
§ 240.10b-1Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
§ 240.10b-2 [Reserved]
§ 240.10b-3Employment of manipulative and deceptive devices by brokers or dealers.
§ 240.10b-4 [Reserved]
§ 240.10b-5Employment of manipulative and deceptive devices.
§ 240.10b5-1Trading “on the basis of” material nonpublic information in insider trading cases.
§ 240.10b5-2Duties of trust or confidence in misappropriation insider trading cases.
§§ 240.10b-6-240.10b-8 [Reserved]
§ 240.10b-9Prohibited representations in connection with certain offerings.
§ 240.10b-10Confirmation of transactions.
§ 240.10b-13 [Reserved]
§ 240.10b-16Disclosure of credit terms in margin transactions.
§ 240.10b-17Untimely announcements of record dates.
§ 240.10b-18Purchases of certain equity securities by the issuer and others.
§ 240.10b-21Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
§ 240.10c-1aSecurities lending transparency.
Reports Under Section 10A240.10A-1 – 240.10A-3
§ 240.10A-1Notice to the Commission Pursuant to Section 10A of the Act.
§ 240.10A-2Auditor independence.
§ 240.10A-3Listing standards relating to audit committees.
Requirements Under Section 10C240.10C-1
§ 240.10C-1Listing standards relating to compensation committees.
Requirements Under Section 10D240.10D-1
§ 240.10D-1Listing standards relating to recovery of erroneously awarded compensation.
Adoption of Floor Trading Regulation (Rule 11a-1)240.11a-1 – 240.11a2-2(T)
§ 240.11a-1Regulation of floor trading.
§ 240.11a1-1(T)Transactions yielding priority, parity, and precedence.
§ 240.11a1-2Transactions for certain accounts of associated persons of members.
§ 240.11a1-3(T)Bona fide hedge transactions in certain securities.
§ 240.11a1-4(T)Bond transactions on national securities exchanges.
§ 240.11a1-5Transactions by registered competitive market makers and registered equity market makers.
§ 240.11a1-6Transactions for certain accounts of OTC derivatives dealers.
§ 240.11a2-2(T)Transactions effected by exchange members through other members.
Adoption of Regulation on Conduct of Specialists240.11b-1
§ 240.11b-1Regulation of specialists.
Exemption of Certain Securities From Section 11(d)(1)240.11d1-1 – 240.11d2-1
§ 240.11d1-1Exemption of certain securities from section 11(d)(1).
§ 240.11d1-2Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
§ 240.11d2-1Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
Securities Exempted From Registration240.12a-4 – 240.12a-11
§ 240.12a-4Exemption of certain warrants from section 12(a).
§ 240.12a-5Temporary exemption of substituted or additional securities.
§ 240.12a-6Exemption of securities underlying certain options from section 12(a).
§ 240.12a-7Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
§ 240.12a-8Exemption of depositary shares.
§ 240.12a-9Exemption of standardized options from section 12(a) of the Act.
§ 240.12a-10Exemption of security-based swaps from section 12(a) of the Act.
§ 240.12a-11Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.
Regulation 12B: Registration and Reporting
General240.12b-1 – 240.12b-7
§ 240.12b-1Scope of regulation.
§ 240.12b-2Definitions.
§ 240.12b-3Title of securities.
§ 240.12b-4Supplemental information.
§ 240.12b-5Determination of affiliates of banks.
§ 240.12b-6When securities are deemed to be registered.
§ 240.12b-7 [Reserved]
Formal Requirements240.12b-10 – 240.12b-15
§ 240.12b-10Requirements as to proper form.
§ 240.12b-11Number of copies; signatures; binding.
§ 240.12b-12Requirements as to paper, printing and language.
§ 240.12b-13Preparation of statement or report.
§ 240.12b-14Riders; inserts.
§ 240.12b-15Amendments.
General Requirements as to Contents240.12b-20 – 240.12b-25
§ 240.12b-20Additional information.
§ 240.12b-21Information unknown or not available.
§ 240.12b-22Disclaimer of control.
§ 240.12b-23Incorporation by reference.
§ 240.12b-24 [Reserved]
§ 240.12b-25Notification 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.
Exhibits240.12b-30 – 240.12b-33
§ 240.12b-30Additional exhibits.
§ 240.12b-31Omission of substantially identical documents.
§ 240.12b-32 [Reserved]
§ 240.12b-33Annual reports to other Federal agencies.
Special Provisions240.12b-35 – 240.12b-37
§ 240.12b-35 [Reserved]
§ 240.12b-36Use of financial statements filed under other acts.
§ 240.12b-37Satisfaction of filing requirements.
Certification by Exchanges and Effectiveness of Registration240.12d1-1 – 240.12d1-6
§ 240.12d1-1Registration effective as to class or series.
§ 240.12d1-2Effectiveness of registration.
§ 240.12d1-3Requirements as to certification.
§ 240.12d1-4Date of receipt of certification by Commission.
§ 240.12d1-5Operation of certification on subsequent amendments.
§ 240.12d1-6Withdrawal of certification.
Suspension of Trading, Withdrawal, and Striking From Listing and Registration240.12d2-1 – 240.12d2-2
§ 240.12d2-1Suspension of trading.
§ 240.12d2-2Removal from listing and registration.
Unlisted Trading240.12f-1 – 240.12f-6
§ 240.12f-1Applications for permission to reinstate unlisted trading privileges.
§ 240.12f-2Extending unlisted trading privileges to a security that is the subject of an initial public offering.
§ 240.12f-3Termination or suspension of unlisted trading privileges.
§ 240.12f-4Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
§ 240.12f-5Exchange rules for securities to which unlisted trading privileges are extended.
§ 240.12f-6 [Reserved]
Extensions and Temporary Exemptions; Definitions240.12g-1 – 240.12h-7
§ 240.12g-1Registration of securities; exemption from section 12(g).
§ 240.12g-2Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).
§ 240.12g-3Registration of securities of successor issuers under section 12(b) or 12(g).
§ 240.12g-4Certifications of termination of registration under section 12(g).
§ 240.12g-6Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
§ 240.12g3-2Exemptions for American depositary receipts and certain foreign securities.
§ 240.12g5-1Definition of securities “held of record”.
§ 240.12g5-2Definition of “total assets”.
§ 240.12h-1Exemptions from registration under section 12(g) of the Act.
§ 240.12h-2 [Reserved]
§ 240.12h-3Suspension of duty to file reports under section 15(d).
§ 240.12h-4Exemption from duty to file reports under section 15(d).
§ 240.12h-5Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
§ 240.12h-6Certification 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).
§ 240.12h-7Exemption for issuers of securities that are subject to insurance regulation.
Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
Annual Reports240.13a-1 – 240.13a-3
§ 240.13a-1Requirements of annual reports.
§ 240.13a-2 [Reserved]
§ 240.13a-3Reporting by Form 40-F registrant.
Other Reports240.13a-10 – 240.13a-21
§ 240.13a-10Transition reports.
§ 240.13a-11Current reports on Form 8-K (§ 249.308 of this chapter).
§ 240.13a-13Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
§ 240.13a-14Certification of disclosure in annual and quarterly reports.
§ 240.13a-15Controls and procedures.
§ 240.13a-16Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
§ 240.13a-17Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
§ 240.13a-18Compliance with servicing criteria for asset-backed securities.
§ 240.13a-19Reports by shell companies on Form 20-F.
§ 240.13a-20Plain English presentation of specified information.
§ 240.13a-21 [Reserved]
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports240.13b2-1 – 240.13b2-2
§ 240.13b2-1Falsification of accounting records.
§ 240.13b2-2Representations and conduct in connection with the preparation of required reports and documents.
Regulation 13D-G240.13d-1 – 240.13q-1
§ 240.13d-1Filing of Schedules 13D and 13G.
§ 240.13d-2Filing of amendments to Schedules 13D or 13G.
§ 240.13d-3Determination of beneficial owner.
§ 240.13d-4Disclaimer of beneficial ownership.
§ 240.13d-5Acquisition of beneficial ownership.
§ 240.13d-6Exemption of certain acquisitions.
§ 240.13d-7 [Reserved]
§ 240.13d-101Schedule 13D—Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).
§ 240.13d-102Schedule 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.
§ 240.13e-1Purchase of securities by the issuer during a third-party tender offer.
§ 240.13e-2 [Reserved]
§ 240.13e-3Going private transactions by certain issuers or their affiliates.
§ 240.13e-4Tender offers by issuers.
§ 240.13e-100Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.
§ 240.13e-101 [Reserved]
§ 240.13e-102Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.
§ 240.13f-1Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
§ 240.13f-2Reporting by institutional investment managers regarding gross short position and activity information.
§ 240.13h-1Large trader reporting.
§ 240.13k-1Foreign bank exemption from the insider lending prohibition under section 13(k).
§ 240.13n-1Registration of security-based swap data repository.
§ 240.13n-2Withdrawal from registration; revocation and cancellation.
§ 240.13n-3Registration of successor to registered security-based swap data repository.
§ 240.13n-4Duties and core principles of security-based swap data repository.
§ 240.13n-5Data collection and maintenance.
§ 240.13n-6Automated systems.
§ 240.13n-7Recordkeeping of security-based swap data repository.
§ 240.13n-8Reports to be provided to the Commission.
§ 240.13n-9Privacy requirements of security-based swap data repository.
§ 240.13n-10Disclosure requirements of security-based swap data repository.
§ 240.13n-11Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
§ 240.13n-12Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
§ 240.13p-1Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
§ 240.13q-1Disclosure of payments made by resource extraction issuers.
Regulation 14A: Solicitation of Proxies240.14a-1 – 240.14b-2
§ 240.14a-1Definitions.
§ 240.14a-2Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
§ 240.14a-3Information to be furnished to security holders.
§ 240.14a-4Requirements as to proxy.
§ 240.14a-5Presentation of information in proxy statement.
§ 240.14a-6Filing requirements.
§ 240.14a-7Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
§ 240.14a-8Shareholder proposals.
§ 240.14a-9False or misleading statements.
§ 240.14a-10Prohibition of certain solicitations.
§ 240.14a-12Solicitation before furnishing a proxy statement.
§ 240.14a-13Obligation of registrants in communicating with beneficial owners.
§ 240.14a-14Modified or superseded documents.
§ 240.14a-15Differential and contingent compensation in connection with roll-up transactions.
§ 240.14a-16Internet availability of proxy materials.
§ 240.14a-17Electronic shareholder forums.
§ 240.14a-18Disclosure 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-19Solicitation of proxies in support of director nominees other than the registrant's nominees.
§ 240.14a-20Shareholder approval of executive compensation of TARP recipients.
§ 240.14a-21Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
§ 240.14a-101Schedule 14A. Information required in proxy statement.
§ 240.14a-102 [Reserved]
§ 240.14a-103Notice 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-104Notice 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).
§ 240.14Ad-1xxx
§ 240.14b-1Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14b-2Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
Regulation 14C: Distribution of Information Pursuant to Section 14(c)240.14c-1 – 240.14c-101
§ 240.14c-1Definitions.
§ 240.14c-2Distribution of information statement.
§ 240.14c-3Annual report to be furnished security holders.
§ 240.14c-4Presentation of information in information statement.
§ 240.14c-5Filing requirements.
§ 240.14c-6False or misleading statements.
§ 240.14c-7Providing copies of material for certain beneficial owners.
§ 240.14c-101Schedule 14C. Information required in information statement.
Regulation 14D240.14d-1 – 240.14d-103
§ 240.14d-1Scope of and definitions applicable to Regulations 14D and 14E.
§ 240.14d-2Commencement of a tender offer.
§ 240.14d-3Filing and transmission of tender offer statement.
§ 240.14d-4Dissemination of tender offers to security holders.
§ 240.14d-5Dissemination of certain tender offers by the use of stockholder lists and security position listings.
§ 240.14d-6Disclosure of tender offer information to security holders.
§ 240.14d-7Additional withdrawal rights.
§ 240.14d-8Exemption from statutory pro rata requirements.
§ 240.14d-9Recommendation or solicitation by the subject company and others.
§ 240.14d-10Equal treatment of security holders.
§ 240.14d-11Subsequent offering period.
§ 240.14d-100Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
§ 240.14d-101Schedule 14D-9.
§ 240.14d-102Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
§ 240.14d-103Schedule 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.
Regulation 14E240.14e-1 – 240.14f-1
§ 240.14e-1Unlawful tender offer practices.
§ 240.14e-2Position of subject company with respect to a tender offer.
§ 240.14e-3Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
§ 240.14e-4Prohibited transactions in connection with partial tender offers.
§ 240.14e-5Prohibiting purchases outside of a tender offer.
§ 240.14e-6Repurchase offers by certain closed-end registered investment companies.
§ 240.14e-7Unlawful tender offer practices in connection with roll-ups.
§ 240.14e-8Prohibited conduct in connection with pre-commencement communications.
§ 240.14f-1Change in majority of directors.
Regulation 14N: Filings Required by Certain Nominating Shareholders240.14n-1 – 240.14n-101
§ 240.14n-1Filing of Schedule 14N.
§ 240.14n-2Filing of amendments to Schedule 14N.
§ 240.14n-3Dissemination.
§ 240.14n-101Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
Exemption of Certain OTC Derivatives Dealers240.15a-1
§ 240.15a-1Securities activities of OTC derivatives dealers.
Exemption of Certain Securities From Section 15(a)240.15a-2 – 240.15a-5
§ 240.15a-2Exemption of certain securities of cooperative apartment houses from section 15(a).
§ 240.15a-3 [Reserved]
§ 240.15a-4Forty-five day exemption from registration for certain members of national securities exchanges.
§ 240.15a-5Exemption of certain nonbank lenders.
Registration of Brokers and Dealers240.15a-6 – 240.15b11-1
§ 240.15a-6Exemption of certain foreign brokers or dealers.
§§ 240.15a-7-240.15a-9 [Reserved]
§ 240.15a-10Exemption of certain brokers or dealers with respect to security futures products.
§ 240.15a-11 [Reserved]
§ 240.15a-12Exemption for certain security-based swap execution facilities from certain broker requirements.
§ 240.15b1-1Application for registration of brokers or dealers.
§ 240.15b1-2 [Reserved]
§ 240.15b1-3Registration of successor to registered broker or dealer.
§ 240.15b1-4Registration of fiduciaries.
§ 240.15b1-5Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
§ 240.15b1-6Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
§ 240.15b2-2Inspection of newly registered brokers and dealers.
§ 240.15b3-1Amendments to application.
§ 240.15b5-1Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
§ 240.15b6-1Withdrawal from registration.
§ 240.15b7-1Compliance with qualification requirements of self-regulatory organizations.
§ 240.15b7-3TOperational capability in a Year 2000 environment.
§ 240.15b9-1Exemption for certain exchange members.
§ 240.15b9-2Exemption from SRO membership for OTC derivatives dealers.
§ 240.15b11-1Registration by notice of security futures product broker-dealers.
Rules Relating to Over-the-Counter Markets240.15c1-1 – 240.15c6-2
§ 240.15c1-1Definitions.
§ 240.15c1-2Fraud and misrepresentation.
§ 240.15c1-3Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
§ 240.15c1-4 [Reserved]
§ 240.15c1-5Disclosure of control.
§ 240.15c1-6Disclosure of interest in distribution.
§ 240.15c1-7Discretionary accounts.
§ 240.15c1-8Sales at the market.
§ 240.15c1-9Use of pro forma balance sheets.
§ 240.15c2-1Hypothecation of customers' securities.
§ 240.15c2-3 [Reserved]
§ 240.15c2-4Transmission or maintenance of payments received in connection with underwritings.
§ 240.15c2-5Disclosure and other requirements when extending or arranging credit in certain transactions.
§ 240.15c2-6 [Reserved]
§ 240.15c2-7Identification of quotations.
§ 240.15c2-8Delivery of prospectus.
§ 240.15c2-11Publication or submission of quotations without specified information.
§ 240.15c2-12Municipal securities disclosure.
§ 240.15c3-1Net capital requirements for brokers or dealers.
§ 240.15c3-1aOptions (Appendix A to 17 CFR 240.15c3-1).
§ 240.15c3-1bAdjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
§ 240.15c3-1cConsolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
§ 240.15c3-1dSatisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
§ 240.15c3-1eDeductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
§ 240.15c3-1fOptional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
§ 240.15c3-1gConditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
§ 240.15c3-2 [Reserved]
§ 240.15c3-3Customer protection—reserves and custody of securities.
§ 240.15c3-3aExhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
§ 240.15c3-3bExhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
§ 240.15c3-4Internal risk management control systems for OTC derivatives dealers.
§ 240.15c3-5Risk management controls for brokers or dealers with market access.
§ 240.15c6-1Settlement cycle.
§ 240.15c6-2Same-day allocation, confirmation, and affirmation.
Regulation 15D: Reports of Registrants Under the Securities Act of 1933
Annual Reports240.15d-1 – 240.15d-6
§ 240.15d-1Requirement of annual reports.
§ 240.15d-2Special financial report.
§ 240.15d-3Reports for depositary shares registered on Form F-6.
§ 240.15d-4Reporting by Form 40-F registrants.
§ 240.15d-5Reporting by successor issuers.
§ 240.15d-6Suspension of duty to file reports.
Other Reports240.15d-10 – 240.15d-20
§ 240.15d-10Transition reports.
§ 240.15d-11Current reports on Form 8-K (§ 249.308 of this chapter).
§ 240.15d-13Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
§ 240.15d-14Certification of disclosure in annual and quarterly reports.
§ 240.15d-15Controls and procedures.
§ 240.15d-16Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
§ 240.15d-17Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
§ 240.15d-18Compliance with servicing criteria for asset-backed securities.
§ 240.15d-19Reports by shell companies on Form 20-F.
§ 240.15d-20Plain English presentation of specified information.
Exemption of Certain Issuers From Section 15(d) of the Act240.15d-21 – 240.15l-1
§ 240.15d-21Reports for employee stock purchase, savings and similar plans.
§ 240.15d-22Reporting regarding asset-backed securities under section 15(d) of the Act.
§ 240.15d-23Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
§ 240.15g-1Exemptions for certain transactions.
§ 240.15g-2Penny stock disclosure document relating to the penny stock market.
§ 240.15g-3Broker or dealer disclosure of quotations and other information relating to the penny stock market.
§ 240.15g-4Disclosure of compensation to brokers or dealers.
§ 240.15g-5Disclosure of compensation of associated persons in connection with penny stock transactions.
§ 240.15g-6Account statements for penny stock customers.
§ 240.15g-8Sales of escrowed securities of blank check companies.
§ 240.15g-9Sales practice requirements for certain low-priced securities.
§ 240.15g-100Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
§ 240.15l-1Regulation best interest.
National and Affiliated Securities Associations240.15Aa-1 – 240.15Bc7-1
§ 240.15Aa-1Registration of a national or an affiliated securities association.
§ 240.15Aj-1Amendments and supplements to registration statements of securities associations.
§ 240.15Al2-1 [Reserved]
§ 240.15Ba1-1Definitions.
§ 240.15Ba1-2Registration of municipal advisors and information regarding certain natural persons.
§ 240.15Ba1-3Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
§ 240.15Ba1-4Withdrawal from municipal advisor registration.
§ 240.15Ba1-5Amendments to Form MA and Form MA-I.
§ 240.15Ba1-6Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
§ 240.15Ba1-7Registration of successor to municipal advisor.
§ 240.15Ba1-8Books and records to be made and maintained by municipal advisors.
§ 240.15Ba2-1Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
§ 240.15Ba2-2Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
§ 240.15Ba2-4Registration of successor to registered municipal securities dealer.
§ 240.15Ba2-5Registration of fiduciaries.
§ 240.15Ba2-6 [Reserved]
§ 240.15Bc3-1Withdrawal from registration of municipal securities dealers.
§ 240.15Bc4-1Persons associated with municipal advisors.
§ 240.15Bc7-1Availability of examination reports.
Registration of Government Securities Brokers and Government Securities Dealers240.15Ca1-1 – 240.15Cc1-1
§ 240.15Ca1-1Notice of government securities broker-dealer activities.
§ 240.15Ca2-1Application for registration as a government securities broker or government securities dealer.
§ 240.15Ca2-2 [Reserved]
§ 240.15Ca2-3Registration of successor to registered government securities broker or government securities dealer.
§ 240.15Ca2-4Registration of fiduciaries.
§ 240.15Ca2-5Consent 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.
§ 240.15Cc1-1Withdrawal from registration of government securities brokers or government securities dealers.
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants240.15Fb1-1 – 240.15Ga-2
§ 240.15Fb1-1.Signatures.
§ 240.15Fb2-1Registration of security-based swap dealers and major security-based swap participants.
§ 240.15Fb2-3Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
§ 240.15Fb2-4Nonresident security-based swap dealers and major security-based swap participants.
§ 240.15Fb2-5Registration of successor to registered security-based swap dealer or a major security-based swap participant.
§ 240.15Fb2-6Registration of fiduciaries.
§ 240.15Fb3-1Duration of registration.
§ 240.15Fb3-2Withdrawal from registration.
§ 240.15Fb3-3Cancellation and revocation of registration.
§ 240.15Fb6-1 [Reserved]
§ 240.15Fb6-2Associated person certification.
§ 240.15Fh-1Scope and reliance on representations.
§ 240.15Fh-2Definitions.
§ 240.15Fh-3Business conduct requirements.
§ 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.
§ 240.15Fh-5Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
§ 240.15Fh-6Political contributions by certain security-based swap dealers.
§ 240.15Fi-1Definitions.
§ 240.15Fi-2Acknowledgment and verification of security-based swap transactions.
§ 240.15Fi-3Security-based swap portfolio reconciliation.
§ 240.15Fi-4Security-based swap portfolio compression.
§ 240.15Fi-5Security-based swap trading relationship documentation.
§ 240.15Fk-1Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
§ 240.15Ga-1Repurchases and replacements relating to asset-backed securities.
§ 240.15Ga-2Findings and conclusions of third-party due diligence reports.
Reports of Directors, Officers, and Principal Shareholders240.16a-1 – 240.16a-13
§ 240.16a-1Definition of terms.
§ 240.16a-2Persons and transactions subject to section 16.
§ 240.16a-3Reporting transactions and holdings.
§ 240.16a-4Derivative securities.
§ 240.16a-5Odd-lot dealers.
§ 240.16a-6Small acquisitions.
§ 240.16a-7Transactions effected in connection with a distribution.
§ 240.16a-8Trusts.
§ 240.16a-9Stock splits, stock dividends, and pro rata rights.
§ 240.16a-10Exemptions under section 16(a).
§ 240.16a-11Dividend or interest reinvestment plans.
§ 240.16a-12Domestic relations orders.
§ 240.16a-13Change in form of beneficial ownership.
Exemption of Certain Transactions From Section 16(b)240.16b-1 – 240.16b-8
§ 240.16b-1Transactions approved by a regulatory authority.
§ 240.16b-2 [Reserved]
§ 240.16b-3Transactions between an issuer and its officers or directors.
§ 240.16b-4 [Reserved]
§ 240.16b-5Bona fide gifts and inheritance.
§ 240.16b-6Derivative securities.
§ 240.16b-7Mergers, reclassifications, and consolidations.
§ 240.16b-8Voting trusts.
Exemption of Certain Transactions From Section 16(c)240.16c-1 – 240.16c-4
§ 240.16c-1Brokers.
§ 240.16c-2Transactions effected in connection with a distribution.
§ 240.16c-3Exemption of sales of securities to be acquired.
§ 240.16c-4Derivative securities.
Arbitrage Transactions240.16e-1
§ 240.16e-1Arbitrage transactions under section 16.
Preservation of Records and Reports of Certain Stabilizing Activities240.17a-1 – 240.17f-2
§ 240.17a-1Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
§ 240.17a-2Recordkeeping requirements relating to stabilizing activities.
§ 240.17a-3Records to be made by certain exchange members, brokers and dealers.
§ 240.17a-4Records to be preserved by certain exchange members, brokers and dealers.
§ 240.17a-5Reports to be made by certain brokers and dealers.
§ 240.17a-6Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
§ 240.17a-7Records of non-resident brokers and dealers.
§ 240.17a-8Financial recordkeeping and reporting of currency and foreign transactions.
§ 240.17a-9TRecords to be made and retained by certain exchange members, brokers and dealers.
§ 240.17a-10Report on revenue and expenses.
§ 240.17a-11Notification provisions for brokers and dealers.
§ 240.17a-12Reports to be made by certain OTC derivatives dealers.
§ 240.17a-13Quarterly security counts to be made by certain exchange members, brokers, and dealers.
§ 240.17a-14Form CRS, for preparation, filing and delivery of Form CRS.
§ 240.17a-18 [Reserved]
§ 240.17a-19Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
§ 240.17a-21Reports of the Municipal Securities Rulemaking Board.
§ 240.17a-22Supplemental material of registered clearing agencies.
§ 240.17a-25Electronic submission of securities transaction information by exchange members, brokers, and dealers.
§ 240.17d-1Examination for compliance with applicable financial responsibility rules.
§ 240.17d-2Program for allocation of regulatory responsibility.
§ 240.17f-1Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
§ 240.17f-2Fingerprinting of securities industry personnel.
Nationally Recognized Statistical Rating Organizations240.17g-1 – 240.17Ad-27
§ 240.17g-1Application for registration as a nationally recognized statistical rating organization.
§ 240.17g-2Records to be made and retained by nationally recognized statistical rating organizations.
§ 240.17g-3Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
§ 240.17g-4Prevention of misuse of material nonpublic information.
§ 240.17g-5Conflicts of interest.
§ 240.17g-6Prohibited acts and practices.
§ 240.17g-7Disclosure requirements.
§ 240.17g-8Policies, procedures, and internal controls.
§ 240.17g-9Standards of training, experience, and competence for credit analysts.
§ 240.17g-10Certification of providers of third-party due diligence services in connection with asset-backed securities.
§ 240.17h-1TRisk assessment recordkeeping requirements for associated persons of brokers and dealers.
§ 240.17h-2TRisk assessment reporting requirements for brokers and dealers.
§ 240.17Ab2-1Registration of clearing agencies.
§ 240.17Ab2-2Determinations affecting covered clearing agencies.
§ 240.17Ac2-1Application for registration of transfer agents.
§ 240.17Ac2-2Annual reporting requirement for registered transfer agents.
§ 240.17Ac3-1Withdrawal from registration with the Commission.
§ 240.17Ad-1Definitions.
§ 240.17Ad-2Turnaround, processing, and forwarding of items.
§ 240.17Ad-3Limitations on expansion.
§ 240.17Ad-4Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
§ 240.17Ad-5Written inquiries and requests.
§ 240.17Ad-6Recordkeeping.
§ 240.17Ad-7Record retention.
§ 240.17Ad-8Securities position listings.
§ 240.17Ad-9Definitions.
§ 240.17Ad-10Prompt 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-11Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
§ 240.17Ad-12Safeguarding of funds and securities.
§ 240.17Ad-13Annual study and evaluation of internal accounting control.
§ 240.17Ad-14Tender agents.
§ 240.17Ad-15Signature guarantees.
§ 240.17Ad-16Notice of assumption or termination of transfer agent services.
§ 240.17Ad-17Lost securityholders and unresponsive payees.
§ 240.17Ad-18Year 2000 Reports to be made by certain transfer agents.
§ 240.17Ad-19Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
§ 240.17Ad-20Issuer restrictions or prohibitions on ownership by securities intermediaries.
§ 240.17Ad-21TOperational capability in a Year 2000 environment.
§ 240.17ad-22Standards for clearing agencies.
§ 240.17Ad-24Exemption 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)).
§ 240.17ad-25Clearing agency boards of directors and conflicts of interest.
§ 240.17Ad-27Straight-through processing by clearing agencies that provide a central matching service.
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants240.18a-1 – 240.18a-10
§ 240.18a-1Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
§ 240.18a-1aOptions.
§ 240.18a-1bAdjustments to net worth for certain commodities transactions.
§ 240.18a-1cConsolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
§ 240.18a-1dSatisfactory Subordinated Loan Agreements.
§ 240.18a-2Capital requirements for major security-based swap participants for which there is not a prudential regulator.
§ 240.18a-3Non-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.
§ 240.18a-4Segregation requirements for security-based swap dealers and major security-based swap participants.
§ 240.18a-4aExhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
§ 240.18a-5Records to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-6Records to be preserved by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-7Reports to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-8Notification provisions for security-based swap dealers and major security-based swap participants.
§ 240.18a-9Quarterly security counts to be made by certain security-based swap dealers.
§ 240.18a-10Alternative 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 Members240.19a3-1 – 240.19h-1
§ 240.19a3-1 [Reserved]
§ 240.19b-3 [Reserved]
§ 240.19b-4Filings with respect to proposed rule changes by self-regulatory organizations.
§ 240.19b-5Temporary exemption from the filing requirements of Section 19(b) of the Act.
§ 240.19b-7Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
§ 240.19c-1Governing certain off-board agency transactions by members of national securities exchanges.
§ 240.19c-3Governing off-board trading by members of national securities exchanges.
§ 240.19c-4Governing certain listing or authorization determinations by national securities exchanges and associations.
§ 240.19c-5Governing the multiple listing of options on national securities exchanges.
§ 240.19d-1Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
§ 240.19d-2Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
§ 240.19d-3Applications 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.
§ 240.19d-4Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
§ 240.19g2-1Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
§ 240.19h-1Notice 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 Protections240.21F-1 – 240.21F-18
§ 240.21F-1General.
§ 240.21F-2Whistleblower status, award eligibility, confidentiality, and retaliation protections.
§ 240.21F-3Payment of awards.
§ 240.21F-4Other definitions.
§ 240.21F-5Amount of award.
§ 240.21F-6Criteria for determining amount of award.
§ 240.21F-7Confidentiality of submissions.
§ 240.21F-8Eligibility and forms.
§ 240.21F-9Procedures for submitting original information.
§ 240.21F-10Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
§ 240.21F-11Procedures for determining awards based upon a related action.
§ 240.21F-12Materials that may form the basis of an award determination and that may comprise the record on appeal.
§ 240.21F-13Appeals.
§ 240.21F-14Procedures applicable to the payment of awards.
§ 240.21F-15No amnesty.
§ 240.21F-16Awards to whistleblowers who engage in culpable conduct.
§ 240.21F-17Staff communications with individuals reporting possible securities law violations.
§ 240.21F-18Summary disposition.
Inspection and Publication of Information Filed Under the Act240.24b-1 – 240.36a1-2
§ 240.24b-1Documents to be kept public by exchanges.
§ 240.24b-2Nondisclosure of information filed with the Commission and with any exchange.
§ 240.24b-3Information filed by issuers and others under sections 12, 13, 14, and 16.
§ 240.24c-1Access to nonpublic information.
§ 240.31Section 31 transaction fees.
§ 240.31TTemporary rule regarding fiscal year 2004.
§ 240.36a1-1Exemption from Section 7 for OTC derivatives dealers.
§ 240.36a1-2Exemption from SIPA for OTC derivatives dealers.
Subpart B—Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
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