| 17:4.0.1.1.1.1.58 | SUBJGRP 58
| Rules of General Application | |
| 17:4.0.1.1.1.1.58.1 | SECTION 240.0-1
| 240.0-1 Definitions. | |
| 17:4.0.1.1.1.1.58.2 | SECTION 240.0-2
| 240.0-2 Business hours of the Commission. | |
| 17:4.0.1.1.1.1.58.3 | SECTION 240.0-3
| 240.0-3 Filing of material with the Commission. | |
| 17:4.0.1.1.1.1.58.4 | SECTION 240.0-4
| 240.0-4 Nondisclosure of information obtained in examinations and investigations. | |
| 17:4.0.1.1.1.1.58.5 | SECTION 240.0-5
| 240.0-5 Reference to rule by obsolete designation. | |
| 17:4.0.1.1.1.1.58.6 | SECTION 240.0-6
| 240.0-6 Disclosure detrimental to the national defense or foreign policy. | |
| 17:4.0.1.1.1.1.58.7 | SECTION 240.0-8
| 240.0-8 Application of rules to registered broker-dealers. | |
| 17:4.0.1.1.1.1.58.8 | SECTION 240.0-9
| 240.0-9 Payment of fees. | |
| 17:4.0.1.1.1.1.58.9 | SECTION 240.0-10
| 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act. | |
| 17:4.0.1.1.1.1.58.10 | SECTION 240.0-11
| 240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions. | |
| 17:4.0.1.1.1.1.58.11 | SECTION 240.0-12
| 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act. | |
| 17:4.0.1.1.1.1.58.12 | SECTION 240.0-13
| 240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act. | |
| 17:4.0.1.1.1.1.58.13 | SECTION 240.3a1-1
| 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act. | |
| 17:4.0.1.1.1.1.58.14 | SECTION 240.3a4-1
| 240.3a4-1 Associated persons of an issuer deemed not to be brokers. | |
| 17:4.0.1.1.1.1.58.15 | SECTION 240.3a4-2 - 240.3a4-6
| 240.3a4-2--240.3a4-6 [Reserved] | |
| 17:4.0.1.1.1.1.58.16 | SECTION 240.3a5-1
| 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions. | |
| 17:4.0.1.1.1.1.58.17 | SECTION 240.3a5-2
| 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S. | |
| 17:4.0.1.1.1.1.58.18 | SECTION 240.3a5-3
| 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions. | |
| 17:4.0.1.1.1.1.59 | SUBJGRP 59
| Definition of “Equity Security” as Used in Sections 12(g) and 16 | |
| 17:4.0.1.1.1.1.59.19 | SECTION 240.3a11-1
| 240.3a11-1 Definition of the term “equity security.” | |
| 17:4.0.1.1.1.1.60 | SUBJGRP 60
| Miscellaneous Exemptions | |
| 17:4.0.1.1.1.1.60.20 | SECTION 240.3a12-1
| 240.3a12-1 Exemption of certain mortgages and interests in mortgages. | |
| 17:4.0.1.1.1.1.60.21 | SECTION 240.3a12-2
| 240.3a12-2 [Reserved] | |
| 17:4.0.1.1.1.1.60.22 | SECTION 240.3a12-3
| 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers. | |
| 17:4.0.1.1.1.1.60.23 | SECTION 240.3a12-4
| 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities. | |
| 17:4.0.1.1.1.1.60.24 | SECTION 240.3a12-5
| 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1). | |
| 17:4.0.1.1.1.1.60.25 | SECTION 240.3a12-6
| 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act. | |
| 17:4.0.1.1.1.1.60.26 | SECTION 240.3a12-7
| 240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange. | |
| 17:4.0.1.1.1.1.60.27 | SECTION 240.3a12-8
| 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading. | |
| 17:4.0.1.1.1.1.60.28 | SECTION 240.3a12-9
| 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1). | |
| 17:4.0.1.1.1.1.60.29 | SECTION 240.3a12-10
| 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation. | |
| 17:4.0.1.1.1.1.60.30 | SECTION 240.3a12-11
| 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange. | |
| 17:4.0.1.1.1.1.60.31 | SECTION 240.3a12-12
| 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities. | |
| 17:4.0.1.1.1.1.60.32 | SECTION 240.3a40-1
| 240.3a40-1 Designation of financial responsibility rules. | |
| 17:4.0.1.1.1.1.60.33 | SECTION 240.3a43-1
| 240.3a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission. | |
| 17:4.0.1.1.1.1.60.34 | SECTION 240.3a44-1
| 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. | |
| 17:4.0.1.1.1.1.60.35 | SECTION 240.3a51-1
| 240.3a51-1 Definition of “penny stock”. | |
| 17:4.0.1.1.1.1.60.36 | SECTION 240.3a55-1
| 240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index. | |
| 17:4.0.1.1.1.1.60.37 | SECTION 240.3a55-2
| 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days. | |
| 17:4.0.1.1.1.1.60.38 | SECTION 240.3a55-3
| 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. | |
| 17:4.0.1.1.1.1.60.39 | SECTION 240.3a55-4
| 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities. | |
| 17:4.0.1.1.1.1.61 | SUBJGRP 61
| Security-Based Swap Dealer and Participant Definitions | |
| 17:4.0.1.1.1.1.61.40 | SECTION 240.3a67-1
| 240.3a67-1 Definition of “major security-based swap participant.” | |
| 17:4.0.1.1.1.1.61.41 | SECTION 240.3a67-2
| 240.3a67-2 Categories of security-based swaps. | |
| 17:4.0.1.1.1.1.61.42 | SECTION 240.3a67-3
| 240.3a67-3 Definition of “substantial position.” | |
| 17:4.0.1.1.1.1.61.43 | SECTION 240.3a67-4
| 240.3a67-4 Definition of “hedging or mitigating commercial risk.” | |
| 17:4.0.1.1.1.1.61.44 | SECTION 240.3a67-5
| 240.3a67-5 Definition of “substantial counterparty exposure.” | |
| 17:4.0.1.1.1.1.61.45 | SECTION 240.3a67-6
| 240.3a67-6 Definition of “financial entity.” | |
| 17:4.0.1.1.1.1.61.46 | SECTION 240.3a67-7
| 240.3a67-7 Definition of “highly leveraged.” | |
| 17:4.0.1.1.1.1.61.47 | SECTION 240.3a67-8
| 240.3a67-8 Timing requirements, reevaluation period, and termination of status. | |
| 17:4.0.1.1.1.1.61.48 | SECTION 240.3a67-9
| 240.3a67-9 Calculation of major participant status by certain persons. | |
| 17:4.0.1.1.1.1.61.49 | SECTION 240.3a67-10
| 240.3a67-10 Foreign major security-based swap participants. | |
| 17:4.0.1.1.1.1.62 | SUBJGRP 62
| Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping | |
| 17:4.0.1.1.1.1.62.50 | SECTION 240.3a68-1a
| 240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act. | |
| 17:4.0.1.1.1.1.62.51 | SECTION 240.3a68-1b
| 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act. | |
| 17:4.0.1.1.1.1.62.52 | SECTION 240.3a68-2
| 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps. | |
| 17:4.0.1.1.1.1.62.53 | SECTION 240.3a68-3
| 240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.” | |
| 17:4.0.1.1.1.1.62.54 | SECTION 240.3a68-4
| 240.3a68-4 Regulation of mixed swaps. | |
| 17:4.0.1.1.1.1.62.55 | SECTION 240.3a68-5
| 240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt. | |
| 17:4.0.1.1.1.1.62.56 | SECTION 240.3a69-1
| 240.3a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act - insurance. | |
| 17:4.0.1.1.1.1.62.57 | SECTION 240.3a69-2
| 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act - additional products. | |
| 17:4.0.1.1.1.1.62.58 | SECTION 240.3a69-3
| 240.3a69-3 Books and records requirements for security-based swap agreements. | |
| 17:4.0.1.1.1.1.62.59 | SECTION 240.3a71-1
| 240.3a71-1 Definition of “security-based swap dealer.” | |
| 17:4.0.1.1.1.1.62.60 | SECTION 240.3a71-2
| 240.3a71-2 De minimis exception. | |
| 17:4.0.1.1.1.1.62.61 | SECTION 240.3a71-2A
| 240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2). | |
| 17:4.0.1.1.1.1.62.62 | SECTION 240.3a71-3
| 240.3a71-3 Cross-border security-based swap dealing activity. | |
| 17:4.0.1.1.1.1.62.63 | SECTION 240.3a71-4
| 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers. | |
| 17:4.0.1.1.1.1.62.64 | SECTION 240.3a71-5
| 240.3a71-5 Exception for cleared transactions executed on a swap execution facility. | |
| 17:4.0.1.1.1.1.62.65 | SECTION 240.3a71-6
| 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants. | |
| 17:4.0.1.1.1.1.63 | SUBJGRP 63
| Definitions | |
| 17:4.0.1.1.1.1.63.66 | SECTION 240.3b-1
| 240.3b-1 Definition of “listed”. | |
| 17:4.0.1.1.1.1.63.67 | SECTION 240.3b-2
| 240.3b-2 Definition of “officer”. | |
| 17:4.0.1.1.1.1.63.68 | SECTION 240.3b-3
| 240.3b-3 [Reserved] | |
| 17:4.0.1.1.1.1.63.69 | SECTION 240.3b-4
| 240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”. | |
| 17:4.0.1.1.1.1.63.70 | SECTION 240.3b-5
| 240.3b-5 Non-exempt securities issued under governmental obligations. | |
| 17:4.0.1.1.1.1.63.71 | SECTION 240.3b-6
| 240.3b-6 Liability for certain statements by issuers. | |
| 17:4.0.1.1.1.1.63.72 | SECTION 240.3b-7
| 240.3b-7 Definition of “executive officer”. | |
| 17:4.0.1.1.1.1.63.73 | SECTION 240.3b-8
| 240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”. | |
| 17:4.0.1.1.1.1.63.74 | SECTION 240.3b-9 - 240.3b-10
| 240.3b-9--240.3b-10 [Reserved] | |
| 17:4.0.1.1.1.1.63.75 | SECTION 240.3b-11
| 240.3b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13). | |
| 17:4.0.1.1.1.1.63.76 | SECTION 240.3b-12
| 240.3b-12 Definition of OTC derivatives dealer. | |
| 17:4.0.1.1.1.1.63.77 | SECTION 240.3b-13
| 240.3b-13 Definition of eligible OTC derivative instrument. | |
| 17:4.0.1.1.1.1.63.78 | SECTION 240.3b-14
| 240.3b-14 Definition of cash management securities activities. | |
| 17:4.0.1.1.1.1.63.79 | SECTION 240.3b-15
| 240.3b-15 Definition of ancillary portfolio management securities activities. | |
| 17:4.0.1.1.1.1.63.80 | SECTION 240.3b-16
| 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act. | |
| 17:4.0.1.1.1.1.63.81 | SECTION 240.3b-17
| 240.3b-17 [Reserved] | |
| 17:4.0.1.1.1.1.63.82 | SECTION 240.3b-18
| 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act. | |
| 17:4.0.1.1.1.1.63.83 | SECTION 240.3b-19
| 240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities. | |
| 17:4.0.1.1.1.1.64 | SUBJGRP 64
| Clearing of Security-Based Swaps | |
| 17:4.0.1.1.1.1.64.84 | SECTION 240.3Ca-1
| 240.3Ca-1 Stay of clearing requirement and review by the Commission. | |
| 17:4.0.1.1.1.1.64.85 | SECTION 240.3Ca-2
| 240.3Ca-2 Submission of security-based swaps for clearing. | |
| 17:4.0.1.1.1.1.65 | SUBJGRP 65
| Registration and Exemption of Exchanges | |
| 17:4.0.1.1.1.1.65.86 | SECTION 240.6a-1
| 240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume. | |
| 17:4.0.1.1.1.1.65.87 | SECTION 240.6a-2
| 240.6a-2 Amendments to application. | |
| 17:4.0.1.1.1.1.65.88 | SECTION 240.6a-3
| 240.6a-3 Supplemental material to be filed by exchanges. | |
| 17:4.0.1.1.1.1.65.89 | SECTION 240.6a-4
| 240.6a-4 Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act. | |
| 17:4.0.1.1.1.1.65.90 | SECTION 240.6h-1
| 240.6h-1 Settlement and regulatory halt requirements for security futures products. | |
| 17:4.0.1.1.1.1.65.91 | SECTION 240.6h-2
| 240.6h-2 Security future based on note, bond, debenture, or evidence of indebtedness. | |
| 17:4.0.1.1.1.1.65.92 | SECTION 240.7c2-1
| 240.7c2-1 [Reserved] | |
| 17:4.0.1.1.1.1.66 | SUBJGRP 66
| Hypothecation of Customers' Securities | |
| 17:4.0.1.1.1.1.66.93 | SECTION 240.8c-1
| 240.8c-1 Hypothecation of customers' securities. | |
| 17:4.0.1.1.1.1.66.94 | SECTION 240.9b-1
| 240.9b-1 Options disclosure document. | |
| 17:4.0.1.1.1.1.66.95 | SECTION 240.10a-1 - 240.10a-2
| 240.10a-1--240.10a-2 [Reserved] | |
| 17:4.0.1.1.1.1.67 | SUBJGRP 67
| Manipulative and Deceptive Devices and Contrivances | |
| 17:4.0.1.1.1.1.67.96 | SECTION 240.10b-1
| 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration. | |
| 17:4.0.1.1.1.1.67.97 | SECTION 240.10b-2
| 240.10b-2 [Reserved] | |
| 17:4.0.1.1.1.1.67.98 | SECTION 240.10b-3
| 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers. | |
| 17:4.0.1.1.1.1.67.99 | SECTION 240.10b-4
| 240.10b-4 [Reserved] | |
| 17:4.0.1.1.1.1.67.100 | SECTION 240.10b-5
| 240.10b-5 Employment of manipulative and deceptive devices. | |
| 17:4.0.1.1.1.1.67.101 | SECTION 240.10b5-1
| 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. | |
| 17:4.0.1.1.1.1.67.102 | SECTION 240.10b5-2
| 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases. | |
| 17:4.0.1.1.1.1.67.103 | SECTION 240.10b-6 - 240.10b-8
| 240.10b-6--240.10b-8 [Reserved] | |
| 17:4.0.1.1.1.1.67.104 | SECTION 240.10b-9
| 240.10b-9 Prohibited representations in connection with certain offerings. | |
| 17:4.0.1.1.1.1.67.105 | SECTION 240.10b-10
| 240.10b-10 Confirmation of transactions. | |
| 17:4.0.1.1.1.1.67.106 | SECTION 240.10b-13
| 240.10b-13 [Reserved] | |
| 17:4.0.1.1.1.1.67.107 | SECTION 240.10b-16
| 240.10b-16 Disclosure of credit terms in margin transactions. | |
| 17:4.0.1.1.1.1.67.108 | SECTION 240.10b-17
| 240.10b-17 Untimely announcements of record dates. | |
| 17:4.0.1.1.1.1.67.109 | SECTION 240.10b-18
| 240.10b-18 Purchases of certain equity securities by the issuer and others. | |
| 17:4.0.1.1.1.1.67.110 | SECTION 240.10b-21
| 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due. | |
| 17:4.0.1.1.1.1.68 | SUBJGRP 68
| Reports Under Section 10A | |
| 17:4.0.1.1.1.1.68.111 | SECTION 240.10A-1
| 240.10A-1 Notice to the Commission Pursuant to Section 10A of the Act. | |
| 17:4.0.1.1.1.1.68.112 | SECTION 240.10A-2
| 240.10A-2 Auditor independence. | |
| 17:4.0.1.1.1.1.68.113 | SECTION 240.10A-3
| 240.10A-3 Listing standards relating to audit committees. | |
| 17:4.0.1.1.1.1.69 | SUBJGRP 69
| Requirements Under Section 10C | |
| 17:4.0.1.1.1.1.69.114 | SECTION 240.10C-1
| 240.10C-1 Listing standards relating to compensation committees. | |
| 17:4.0.1.1.1.1.70 | SUBJGRP 70
| Adoption of Floor Trading Regulation (Rule 11a-1) | |
| 17:4.0.1.1.1.1.70.115 | SECTION 240.11a-1
| 240.11a-1 Regulation of floor trading. | |
| 17:4.0.1.1.1.1.70.116 | SECTION 240.11a1-1(T)
| 240.11a1-1(T) Transactions yielding priority, parity, and precedence. | |
| 17:4.0.1.1.1.1.70.117 | SECTION 240.11a1-2
| 240.11a1-2 Transactions for certain accounts of associated persons of members. | |
| 17:4.0.1.1.1.1.70.118 | SECTION 240.11a1-3(T)
| 240.11a1-3(T) Bona fide hedge transactions in certain securities. | |
| 17:4.0.1.1.1.1.70.119 | SECTION 240.11a1-4(T)
| 240.11a1-4(T) Bond transactions on national securities exchanges. | |
| 17:4.0.1.1.1.1.70.120 | SECTION 240.11a1-5
| 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers. | |
| 17:4.0.1.1.1.1.70.121 | SECTION 240.11a1-6
| 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers. | |
| 17:4.0.1.1.1.1.70.122 | SECTION 240.11a2-2(T)
| 240.11a2-2(T) Transactions effected by exchange members through other members. | |
| 17:4.0.1.1.1.1.71 | SUBJGRP 71
| Adoption of Regulation on Conduct of Specialists | |
| 17:4.0.1.1.1.1.71.123 | SECTION 240.11b-1
| 240.11b-1 Regulation of specialists. | |
| 17:4.0.1.1.1.1.72 | SUBJGRP 72
| Exemption of Certain Securities From Section 11(d)(1) | |
| 17:4.0.1.1.1.1.72.124 | SECTION 240.11d1-1
| 240.11d1-1 Exemption of certain securities from section 11(d)(1). | |
| 17:4.0.1.1.1.1.72.125 | SECTION 240.11d1-2
| 240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts. | |
| 17:4.0.1.1.1.1.72.126 | SECTION 240.11d2-1
| 240.11d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts. | |
| 17:4.0.1.1.1.1.73 | SUBJGRP 73
| Securities Exempted From Registration | |
| 17:4.0.1.1.1.1.73.127 | SECTION 240.12a-4
| 240.12a-4 Exemption of certain warrants from section 12(a). | |
| 17:4.0.1.1.1.1.73.128 | SECTION 240.12a-5
| 240.12a-5 Temporary exemption of substituted or additional securities. | |
| 17:4.0.1.1.1.1.73.129 | SECTION 240.12a-6
| 240.12a-6 Exemption of securities underlying certain options from section 12(a). | |
| 17:4.0.1.1.1.1.73.130 | SECTION 240.12a-7
| 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act. | |
| 17:4.0.1.1.1.1.73.131 | SECTION 240.12a-8
| 240.12a-8 Exemption of depositary shares. | |
| 17:4.0.1.1.1.1.73.132 | SECTION 240.12a-9
| 240.12a-9 Exemption of standardized options from section 12(a) of the Act. | |
| 17:4.0.1.1.1.1.74 | SUBJGRP 74
| Regulation 12B: Registration and Reporting | |