Rules and Regulations Under the Securities Exchange Act of 1934 | Midpage

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Code of Federal Regulations

Subpart A

Rules and Regulations Under the Securities Exchange Act of 1934

ECFRf2ef38fa463cdfaRules of General Application ECFR442b9bbcefddce3Definition of “Equity Security” as Used in Sections 12(<span class="standard">g</span>) and 16 ECFR48fbd3224bf6573Miscellaneous Exemptions ECFR7f73a3146a9007cSecurity-Based Swap Dealer and Participant Definitions ECFR63417c7c953095eFurther Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping ECFR79287664c327341Definitions ECFR154ee9a48e0f891Clearing of Security-Based Swaps ECFR3d2df8d957efc73Registration and Exemption of Exchanges ECFRd4f129f4cddb8a4Hypothecation of Customers' Securities ECFRbda83517ce4377fManipulative and Deceptive Devices and Contrivances ECFR0a4b4c5105019b9Reports Under Section 10A ECFRe563ee7fb2be772Requirements Under Section 10C ECFR4dfb5cb589da5e9Requirements Under Section 10D ECFR314700293fe5a4dAdoption of Floor Trading Regulation (Rule 11a-1)ECFR5615974dbbd181bAdoption of Regulation on Conduct of Specialists ECFRa3b478fdd0295e8Exemption of Certain Securities From Section 11(<span class="standard">d</span>)(1)ECFR9e81bdf984ac46cSecurities Exempted From Registration ECFR3634b6865edbc2eRegulation 12B: Registration and Reporting