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Code of Federal Regulations

ECFRf2ef38fa463cdfa

Rules of General Application

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§§ 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.240.3a5-4Further definition of “as a part of a regular business” in connection with certain liquidity providers.