78aShort title78bNecessity for regulation78cDefinitions and application78c–1Swap agreements78c–2Securities-related derivatives78c–3Clearing for security-based swaps78c–4Security-based swap execution facilities78c–5Segregation of assets held as collateral in security-based swap transactions78dSecurities and Exchange Commission78d–1Delegation of functions by Commission78d–2Transfer of functions with respect to assignment of personnel to chairman78d–3Appearance and practice before the Commission78d–4Additional duties of Inspector General78d–5Deadline for completing enforcement investigations and compliance examinations and inspections78d–6Report and certification of internal supervisory controls78d–7Triennial report on personnel management78d–8Annual financial controls audit78d–9Report on oversight of national securities associations78eTransactions on unregistered exchanges78fNational securities exchanges78gMargin requirements78hRestrictions on borrowing and lending by members, brokers, and dealers78iManipulation of security prices78jManipulative and deceptive devices78j–1Audit requirements78j–2Position limits and position accountability for security-based swaps and large trader reporting78j–3Compensation committees78j–4Recovery of erroneously awarded compensation policy78kTrading by members of exchanges, brokers, and dealers78k–1National market system for securities; securities information processors78lRegistration requirements for securities78l–1Applications for unlisted trading privileges deemed filed under section 78l of this title78mPeriodical and other reports78m–1Reporting and recordkeeping for certain security-based swaps78m–2Reporting requirements regarding coal or other mine safety78nProxies78n–1Shareholder approval of executive compensation78n–2Corporate governance78oRegistration and regulation of brokers and dealers78o–1Brokers deemed to be registered78o–2Liabilities arising prior to amendment unaffected78o–3Registered securities associations78o–4Municipal securities78o–4aCommission Office of Municipal Securities78o–5Government securities brokers and dealers78o–6Securities analysts and research reports78o–7Registration of nationally recognized statistical rating organizations78o–8Universal ratings symbols78o–9Study and rulemaking on assigned credit ratings78o–10Registration and regulation of security-based swap dealers and major security-based swap participants78o–11Credit risk retention78pDirectors, officers, and principal stockholders78qRecords and reports78q–1National system for clearance and settlement of securities transactions78q–2Automated quotation systems for penny stocks78rLiability for misleading statements78sRegistration, responsibilities, and oversight of self-regulatory organizations78tLiability of controlling persons and persons who aid and abet violations78t–1Liability to contemporaneous traders for insider trading78uInvestigations and actions78u–1Civil penalties for insider trading78u–2Civil remedies in administrative proceedings78u–3Cease-and-desist proceedings78u–4Private securities litigation78u–5Application of safe harbor for forward-looking statements78u–6Securities whistleblower incentives and protection78u–7Implementation and transition provisions for whistleblower protection78vHearings by Commission78wRules, regulations, and orders; annual reports78xPublic availability of information78yCourt review of orders and rules78zUnlawful representations78aaJurisdiction of offenses and suits78aa–1Special provision relating to statute of limitations on private causes of action78bbEffect on existing law78ccValidity of contracts78ddForeign securities exchanges78dd–1Prohibited foreign trade practices by issuers78dd–2Prohibited foreign trade practices by domestic concerns78dd–3Prohibited foreign trade practices by persons other than issuers or domestic concerns78eeTransaction fees78ffPenalties78ggSeparability78hhEffective date78hh–1Effective date of certain sections78iiOmitted78jjRepealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259Repealed78kkAuthorization of appropriations78llRequirements for the EDGAR system78mmGeneral exemptive authority78nnTennessee Valley Authority78ooFederal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks78ppInvestor Advisory Committee78qqSmall Business Capital Formation Advisory Committee78rrData standards for security-based swap reporting