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17 C.F.R. Part 240 – General Rules and Regulations, Securities Exchange Act of 1934 | Midpage
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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
A
Rules and Regulations Under the Securities Exchange Act of 1934
ECFRc900e8b22a8d228
General
ECFRf42591ddf042045
Formal Requirements
ECFR01f77097bde8f13
General Requirements as to Contents
ECFRf0fcb3655fad368
Exhibits
ECFR732e638eca6763f
Special Provisions
ECFR4b80ea1d7269018
Certification by Exchanges and Effectiveness of Registration
ECFRc21c83b5a1cac03
Suspension of Trading, Withdrawal, and Striking From Listing and Registration
ECFRf7c60c977877540
Unlisted Trading
ECFR181272acb481cc1
Extensions and Temporary Exemptions; Definitions
ECFRdddb497e986c071
Annual Reports
ECFR03b318d46549873
Other Reports
ECFR12b0b0f6f69f33e
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
ECFRb8a264d3a4d1c48
Regulation 13D-G
ECFR41ddfe8f5e86a17
Regulation 14A: Solicitation of Proxies
ECFR4407afc0809ee9a
Regulation 14C: Distribution of Information Pursuant to Section 14(<span class="standard">c</span>)
ECFRc168c0b14348b36
Regulation 14D
ECFR63d585ce761a88f
Regulation 14E
240.14f-1
Change in majority of directors.
ECFR538b140ded64643
Regulation 14N: Filings Required by Certain Nominating Shareholders
ECFR714c3e00954c987
Exemption of Certain OTC Derivatives Dealers
ECFRee9eb64e1231173
Exemption of Certain Securities From Section 15(<span class="standard">a</span>)
ECFR125cf6bb0f3ad20
Registration of Brokers and Dealers
ECFRc8401dcba174f73
Rules Relating to Over-the-Counter Markets
ECFRaadc91828f48746
Annual Reports
ECFR4d9bc7b8399a111
Other Reports
ECFR64f52d737aea1ed
Exemption of Certain Issuers From Section 15(<span class="standard">d</span>) of the Act
ECFR94fd93cfd565192
National and Affiliated Securities Associations
ECFR60d009de2d829d9
Registration of Government Securities Brokers and Government Securities Dealers
ECFR4594b28bbb3a5d5
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
ECFR451036c2752e741
Reports of Directors, Officers, and Principal Shareholders
ECFRc96807fa2565b1d
Exemption of Certain Transactions From Section 16(<span class="standard">b</span>)
ECFR720cbe3a8d22335
Exemption of Certain Transactions From Section 16(<span class="standard">c</span>)
ECFR78cb9d812551cca
Arbitrage Transactions
ECFR17722751b422db3
Preservation of Records and Reports of Certain Stabilizing Activities
ECFR97c9b2f89790a51
Nationally Recognized Statistical Rating Organizations
ECFR044fd0444cab997
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
ECFRb252d14335b2315
Suspension and Expulsion of Exchange Members
ECFR821bdfb7bc8017f
Securities Whistleblower Incentives and Protections
ECFR88ac63dc03926d2
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.