Collections
Code of Federal Regulations
Title 17
Chapter II
Part 240
17 C.F.R. Part 240
General Rules and Regulations, Securities Exchange Act of 1934
Learn More
Log In
Sign Up
A
Rules and Regulations Under the Securities Exchange Act of 1934
240.12b-1 – 240.12b-7
General
240.12b-10 – 240.12b-15
Formal Requirements
240.12b-20 – 240.12b-25
General Requirements as to Contents
240.12b-30 – 240.12b-33
Exhibits
240.12b-35 – 240.12b-37
Special Provisions
240.12d1-1 – 240.12d1-6
Certification by Exchanges and Effectiveness of Registration
240.12d2-1 – 240.12d2-2
Suspension of Trading, Withdrawal, and Striking From Listing and Registration
240.12f-1 – 240.12f-6
Unlisted Trading
240.12g-1 – 240.12h-7
Extensions and Temporary Exemptions; Definitions
240.13a-1 – 240.13a-3
Annual Reports
240.13a-10 – 240.13a-21
Other Reports
240.13b2-1 – 240.13b2-2
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
240.13d-1 – 240.13q-1
Regulation 13D-G
240.14a-1 – 240.14b-2
Regulation 14A: Solicitation of Proxies
240.14c-1 – 240.14c-101
Regulation 14C: Distribution of Information Pursuant to Section 14(<span class="standard">c</span>)
240.14d-1 – 240.14d-103
Regulation 14D
240.14e-1 – 240.14e-8
Regulation 14E
240.14f-1
Change in majority of directors.
240.14n-1 – 240.14n-101
Regulation 14N: Filings Required by Certain Nominating Shareholders
240.15a-1
Exemption of Certain OTC Derivatives Dealers
240.15a-2 – 240.15a-5
Exemption of Certain Securities From Section 15(<span class="standard">a</span>)
240.15a-6 – 240.15b11-1
Registration of Brokers and Dealers
240.15c1-1 – 240.15c6-2
Rules Relating to Over-the-Counter Markets
240.15d-1 – 240.15d-6
Annual Reports
240.15d-10 – 240.15d-20
Other Reports
240.15d-21 – 240.15l-1
Exemption of Certain Issuers From Section 15(<span class="standard">d</span>) of the Act
240.15aa-1 – 240.15Bc7-1
National and Affiliated Securities Associations
240.15Ca1-1 – 240.15Cc1-1
Registration of Government Securities Brokers and Government Securities Dealers
240.15Fb1-1 – 240.15Ga-2
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
240.16a-1 – 240.16a-13
Reports of Directors, Officers, and Principal Shareholders
240.16b-1 – 240.16b-8
Exemption of Certain Transactions From Section 16(<span class="standard">b</span>)
240.16c-1 – 240.16c-4
Exemption of Certain Transactions From Section 16(<span class="standard">c</span>)
240.16e-1
Arbitrage Transactions
240.17a-1 – 240.17f-2
Preservation of Records and Reports of Certain Stabilizing Activities
240.17g-1 – 240.17Ad-27
Nationally Recognized Statistical Rating Organizations
240.18a-1 – 240.18a-10
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
240.19a3-1 – 240.19h-1
Suspension and Expulsion of Exchange Members
240.21F-1 – 240.21F-18
Securities Whistleblower Incentives and Protections
240.24b-1 – 240.36a1-2
Inspection and Publication of Information Filed Under the Act
B
Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
240.15Aa-1
Registration of a national or an affiliated securities association.
240.15Fh-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.
240.15Fi-3
Security-based swap portfolio reconciliation.
240.15Fk-1
Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
240.17Ab2-1
Registration of clearing agencies.
240.17Ad-22
Standards for clearing agencies.
240.17Ad-7
Record retention.
240.15Aj-1
Amendments and supplements to registration statements of securities associations.
Repealed
240a44-2
xxx
Repealed
240.13b-2
xxx
Repealed
240.13h-l
Large trader reporting.
Repealed
240.14a - 101
Schedule 14A. Information required in proxy statement.
Repealed