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Code of Federal Regulations

Part 240

17 C.F.R. Part 240

General Rules and Regulations, Securities Exchange Act of 1934

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