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Title 17 Chapter II

Title 17 → Chapter II

Electronic Code of Federal Regulations e-CFR

Title 17 Chapter II

Title 17Chapter II


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

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PartTable of
Contents
Headings
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240
240.0-1 to 240.36a1-2
GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
241
INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER
242
242.100 to 242.1007
REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
243
243.100 to 243.103
REGULATION FD
244
244.100 to 244.102
REGULATION G
245
245.100 to 245.104
REGULATION BLACKOUT TRADING RESTRICTION
246
246.1 to 246.22
CREDIT RISK RETENTION
247
247.100 to 247.781
REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
248
248.1 to 248.202
REGULATIONS S-P, S-AM, AND S-ID
249
249.0-1 to 249.2000
FORMS, SECURITIES EXCHANGE ACT OF 1934
249a
[RESERVED]
249b
249b.1-249b.99 to 249b.400
FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
250
250.1
CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY
251-254
[RESERVED]
255
255.1 to 255.21
PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
256-259
[RESERVED]
260
260.0-1 to 260.19a-1
GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
261
INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER
269
269.0-1 to 269.10
FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
270
270.0-1 to 270.60a-1
RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
271
INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT COMPANY ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
274
274.0-1 to 274.404
FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
275
275.0-2 to 275.222-2
RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
276
INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
279
279.0-1 to 279.9
FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
281
INTERPRETATIVE RELEASES RELATING TO CORPORATE REORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY ACT
285
285.1 to 285.4
RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT
286
286.1 to 286.4
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE INTER-AMERICAN DEVELOPMENT BANK ACT
287
287.1 to 287.101
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT
288
288.1 to 288.101
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE AFRICAN DEVELOPMENT BANK ACT
289
289.1 to 289.101
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 13(a) OF THE INTERNATIONAL FINANCE CORPORATION ACT
290
290.1 to 290.101
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ACT
300
300.100 to 300.600
RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
301
301.0-1 to 301.300c
FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
302-399
[RESERVED]
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CHAPTER IV—DEPARTMENT OF THE TREASURY

SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

400
400.1 to 400.6
RULES OF GENERAL APPLICATION
401
401.1 to 401.7
EXEMPTIONS
402
402.1 to 402.2d
FINANCIAL RESPONSIBILITY
403
403.1 to 403.7
PROTECTION OF CUSTOMER SECURITIES AND BALANCES
404
404.1 to 404.5
RECORDKEEPING AND PRESERVATION OF RECORDS
405
405.1 to 405.5
REPORTS AND AUDIT
420
420.1 to 420.5
LARGE POSITION REPORTING
449
449.1 to 449.5
FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
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SUBCHAPTER B—REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986

450
450.1 to 450.5
CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS
451-499
[RESERVED]