Title 17

PART 240

Part 240 - General Rules And Regulations, Securities Exchange Act Of 1934

PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Authority:15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201 et seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted.

Section 240.3a4-1 also issued under secs. 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121 as amended;

Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), and 23(a), 15 U.S.C. 78w(a);

Section 240.3a12-10 also issued under 15 U.S.C. 78b and c;

Section 240.3a12-9 also issued under secs. 3(a)(12), 7(c), 11(d)(1), 15 U.S.C. 78c(a)(12), 78g(c), 78k(d)(1));

Sections 240.3a43-1 and 240.3a44-1 also issued under sec. 3; 15 U.S.C. 78c;

Sections 3a67-1 through 3a67-9 and 3a71-1 and 3a71-2 are also issued under Pub. L. 111-203, §§ 712, 761(b), 124 Stat. 1841 (2010).

Sections 240.3a67-10, 240.3a71-3, 240.3a71-4, and 240.3a71-5 are also issued under Pub. L. 111-203, section 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Sections 240.3a71-3 and 240.3a71-5 are also issued under Pub. L. 111-203, sec. 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Section 240.3b-6 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.3b-9 also issued under secs. 2, 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121, as amended (15 U.S.C. 78b, 78c, 78o);

Section 240.9b-1 is also issued under sec. 2, 7, 10, 19(a), 48 Stat. 74, 78, 81, 85; secs. 201, 205, 209, 120, 48 Stat. 905, 906, 908; secs. 1-4, 8, 68 Stat. 683, 685; sec. 12(a), 73 Stat. 143; sec. 7(a), 74 Stat. 412; sec. 27(a), 84 Stat. 1433; sec. 308(a)(2), 90 Stat. 57; sec. 505, 94 Stat. 2292; secs. 9, 15, 23(a), 48 Stat. 889, 895, 901; sec. 230(a), 49 Stat. 704; secs. 3, 8, 49 Stat. 1377, 1379; sec. 2, 52 Stat. 1075; secs. 6, 10, 78 Stat. 570-574, 580; sec. 11(d), 84 Stat. 121; sec. 18, 89 Stat. 155; sec. 204, 91 Stat. 1500; 15 U.S.C. 77b, 77g, 77j, 77s(a), 78i, 78o, 78w(a);

Section 240.10b-10 is also issued under secs. 2, 3, 9, 10, 11, 11A, 15, 17, 23, 48 Stat. 891, 89 Stat. 97, 121, 137, 156, (15 U.S.C. 78b, 78c, 78i, 78j, 78k, 78k-1, 78o, 78q).

Section 240.12a-7 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), 6, 15 U.S.C. 78(f), 11A, 15 U.S.C. 78k, 12, 15 U.S.C. 78(l), and 23(a)(1), 15 U.S.C. 78(w)(a)(1).

Sections 240.12b-1 to 240.12b-36 also issued under secs. 3, 12, 13, 15, 48 Stat. 892, as amended, 894, 895, as amended; 15 U.S.C. 78c, 78l, 78m, 78o;

Section 240.12b-15 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745.

Section 240.12b-25 is also issued under 15 U.S.C. 80a-8, 80a-24(a), 80a-29, and 80a-37.

Section 240.12g-3 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.12g3-2 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.13a-10 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745.

Section 240.13a-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.13a-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13a-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13d-3 is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Sections 240.13e-4, 240.14d-7, 240.14d-10 and 240.14e-1 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(d) and 14(e), 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(d) and 78n(e) and sec. 23(c) of the Investment Company Act of 1940, 15 U.S.C 80a-23(c);

Sections 240.13e-4 to 240.13e-101 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(e), 15(c)(1), 48 Stat. 882, 889, 891, 894, 895, 901, sec. 8, 49 Stat. 1379, sec. 5, 78 Stat. 569, 570, secs. 2, 3, 82 Stat. 454, 455, secs. 1, 2, 3-5, 84 Stat. 1497, secs. 3, 18, 89 Stat. 97, 155; 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(e), 78o(c); sec. 23(c) of the Investment Company Act of 1940; 54 Stat. 825; 15 U.S.C. 80a-23(c);

Section 240.13f-2(T) also issued under sec. 13(f)(1) (15 U.S.C. 78m(f)(1));

Section 240.13p-1 is also issued under sec. 1502, Pub. L. 111-203, 124 Stat. 1376.

Section 240.13q-1 is also issued under sec. 1504, Pub. L. 111-203, 124 Stat. 2220.

Sections 240.14a-1, 240.14a-3, 240.14a-13, 240.14b-1, 240.14b-2, 240.14c-1, and 240.14c-7 also issued under secs. 12, 15 U.S.C. 781, and 14, Pub. L. 99-222, 99 Stat. 1737, 15 U.S.C. 78n;

Sections 240.14a-3, 240.14a-13, 240.14b-1 and 240.14c-7 also issued under secs. 12, 14 and 17, 15 U.S.C. 781, 78n and 78g;

Sections 240.14c-1 to 240.14c-101 also issued under sec. 14, 48 Stat. 895; 15 U.S.C. 78n;

Section 240.14d-1 is also issued under 15 U.S.C. 77g, 77j, 77s(a), 77ttt(a), 80a-37.

Section 240.14e-2 is also issued under 15 U.S.C. 77g, 77h, 77s(a), 77sss, 80a-37(a).

Section 240.14e-4 also issued under the Exchange Act, 15 U.S.C. 78a et seq., and particularly sections 3(b), 10(a), 10(b), 14(e), 15(c), and 23(a) of the Exchange Act (15 U.S.C. 78c(b), 78j(a), 78j(b), 78n(e), 78o(c), and 78w(a)).

Section 240.15a-6, also issued under secs. 3, 10, 15, and 17, 15 U.S.C. 78c, 78j, 78o, and 78q;

Section 240.15b1-3 also issued under sec. 15, 17; 15 U.S.C. 78o 78q;

Sections 240.15b1-3 and 240.15b2-1 also issued under 15 U.S.C. 78o, 78q;

Section 240.15b2-2 also issued under secs. 3, 15; 15 U.S.C. 78c, 78o;

Sections 240.15b10-1 to 240.15b10-9 also issued under secs. 15, 17, 48 Stat. 895, 897, sec. 203, 49 Stat. 704, secs. 4, 8, 49 Stat. 1379, sec. 5, 52 Stat. 1076, sec. 6, 78 Stat. 570; 15 U.S.C. 78o, 78q, 12 U.S.C. 241 nt.;

Section 240.15c2-6, also issued under secs. 3, 10, and 15, 15 U.S.C. 78c, 78j, and 78o.

Section 240.15c2-11 also issued under 15 U.S.C. 78j(b), 78o(c), 78q(a), and 78w(a).

Section 240.15c2-12 also issued under 15 U.S.C. 78b, 78c, 78j, 78o, 78o-4 and 78q.

Section 240.15c3-1 is also issued under 15 U.S.C. 78o(c)(3), 78o-10(d), and 78o-10(e).

Sections 240.15c3-1a, 240.15c3-1e, 240.15c3-1f, 240.15c3-1g are also issued under Pub. L. 111-203, secs. 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15c3-3 is also issued under 15 U.S.C. 78c-5, 78o(c)(2), 78(c)(3), 78q(a), 78w(a); sec. 6(c), 84 Stat. 1652; 15 U.S.C. 78fff.

Section 240.15c3-3(o) is also issued under Pub. L. 106-554, 114 Stat. 2763, section 203.

Section 240.15c3-3a is also issued under Pub. L. 111-203, §§ 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15d-5 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.15d-10 is also issued under 15 U.S.C. 80a-20(a) and 80a-37(a), and secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.15d-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15l-1 is also issued under Pub. L. 111-203, sec. 913, 124 Stat. 1376, 1827 (2010).

Sections 240.15Ba1-1 through 240.15Ba1-8 are also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Section 240.15Bc4-1 is also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Sections 240.15Ca1-1, 240.15Ca2-1, 240.15Ca2-2, 240.15Ca2-3, 240.15Ca2-4, 240.15Ca2-5, 240.15Cc1-1 also issued under secs. 3, 15C; 15 U.S.C. 78c, 78o-5;

Sections 240.15Fh-1 through 240.15Fh-6 and 240.15Fk-1 are also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-1 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-2 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.16a-1(a) is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Section 240.17a-3 also issued under secs. 2, 17, 23a, 48 Stat. 897, as amended; 15 U.S.C. 78d-1, 78d-2, 78q; secs. 12, 14, 17, 23(a), 48 Stat. 892, 895, 897, 901; secs. 1, 4, 8, 49 Stat. 1375, 1379; sec. 203(a), 49 Stat. 704; sec. 5, 52 Stat. 1076; sec. 202, 68 Stat. 686; secs. 3, 5, 10, 78 Stat. 565-568, 569, 570, 580; secs. 1, 3, 82 Stat. 454, 455; secs. 28(c), 3-5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 14, 18, 89 Stat. 117, 118, 137, 155; 15 U.S.C. 78l, 78n, 78q, 78w(a);

Section 240.17a-4 also issued under secs. 2, 17, 23(a), 48 Stat. 897, as amended; 15 U.S.C. 78a, 78d-1, 78d-2; sec. 14, Pub. L. 94-29, 89 Stat. 137 (15 U.S.C. 78a); sec. 18, Pub. L. 94-29, 89 Stat. 155 (15 U.S.C. 78w);

Section 240.17a-14 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010)

Section 240.17a-23 also issued under 15 U.S.C. 78b, 78c, 78o, 78q, and 78w(a).

Section 240.17f-1 is also authorized under sections 2, 17 and 17A, 48 Stat. 891, 89 Stat. 137, 141 (15 U.S.C. 78b, 78q, 78q-1);

Section 240.17g-7 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-8 is also issued under sec. 938, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-9 is also issued under sec. 936, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17h-1T also issued under 15 U.S.C. 78q.

Sections 240.17Ac2-1(c) and 240.17Ac2-2 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q-1, 78w(a));

Section 240.17Ad-1 is also issued under secs. 2, 17, 17A and 23(a); 48 Stat. 841 as amended, 48 Stat. 897, as amended, 89 Stat. 137, 141, and 48 Stat. 901 (15 U.S.C. 78b, 78q, 78q-1, 78w);

Sections 240.17Ad-5 and 240.17Ad-10 are also issued under secs. 3 and 17A; 48 Stat. 882, as amended, and 89 Stat. (15 U.S.C. 78c and 78q-1);

Section 240.17Ad-7 also issued under 15 U.S.C. 78b, 78q, and 78q-1.

Section 240.17Ad-17 is also issued under Pub. L. 111-203, section 929W, 124 Stat. 1869 (2010).

Section 240.17Ad-22 is also issued under 12 U.S.C. 5461 et seq.

Sections 240.18a-1, 240.18a-1a, 240.18a-1b, 240.18a-1c, 240.18a-1d, 240.18a-2, 240.18a-3, and 240.18a-10 are also issued under 15 U.S.C. 78o-10(d) and 78o-10(e).

Section 240.18a-4 is also issued under 15 U.S.C. 78c-5(f).

Section 240.19b-4 is also issued under 12 U.S.C. 5465(e).

Sections 240.19c-4 also issued under secs. 6, 11A, 14, 15A, 19 and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78o-3, and 78s);

Section 240.19c-5 also issued under Sections 6, 11A, and 19 of the Securities Exchange Act of 1934, 48 Stat. 885, as amended, 89 Stat. 111, as amended, and 48 Stat. 898, as amended, 15 U.S.C. 78f, 78k-1, and 78s.

Section 240.21F is also issued under Pub. L. 111-203, § 922(a), 124 Stat. 1841 (2010).

Section 240.31-1 is also issued under sec. 31, 48 Stat. 904, as amended (15 U.S.C. 78ee).

Editorial Note:Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992. Note:

In §§ 240.0-1 to 240.24b-3, the numbers to the right of the decimal point correspond with the respective rule numbers of the rules and regulations under the Securities Exchange Act of 1934.

ATTENTION ELECTRONIC FILERS

THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

• Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201 et seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted.

17:4.0.1.1.1.1	SUBPART A	Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
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
17:4.0.1.1.1.2	SUBPART B	Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
17:4.0.1.1.1.2.75	SUBJGRP 75	General
17:4.0.1.1.1.2.75.133	SECTION 240.12a-10	240.12a-10 Exemption of security-based swaps from section 12(a) of the Act.
17:4.0.1.1.1.2.75.134	SECTION 240.12a-11	240.12a-11 Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.
17:4.0.1.1.1.2.75.135	SECTION 240.12b-1	240.12b-1 Scope of regulation.
17:4.0.1.1.1.2.75.136	SECTION 240.12b-2	240.12b-2 Definitions.
17:4.0.1.1.1.2.75.137	SECTION 240.12b-3	240.12b-3 Title of securities.
17:4.0.1.1.1.2.75.138	SECTION 240.12b-4	240.12b-4 Supplemental information.
17:4.0.1.1.1.2.75.139	SECTION 240.12b-5	240.12b-5 Determination of affiliates of banks.
17:4.0.1.1.1.2.75.140	SECTION 240.12b-6	240.12b-6 When securities are deemed to be registered.
17:4.0.1.1.1.2.75.141	SECTION 240.12b-7	240.12b-7 [Reserved]
17:4.0.1.1.1.2.76	SUBJGRP 76	Formal Requirements
17:4.0.1.1.1.2.76.142	SECTION 240.12b-10	240.12b-10 Requirements as to proper form.
17:4.0.1.1.1.2.76.143	SECTION 240.12b-11	240.12b-11 Number of copies; signatures; binding.
17:4.0.1.1.1.2.76.144	SECTION 240.12b-12	240.12b-12 Requirements as to paper, printing and language.
17:4.0.1.1.1.2.76.145	SECTION 240.12b-13	240.12b-13 Preparation of statement or report.
17:4.0.1.1.1.2.76.146	SECTION 240.12b-14	240.12b-14 Riders; inserts.
17:4.0.1.1.1.2.76.147	SECTION 240.12b-15	240.12b-15 Amendments.
17:4.0.1.1.1.2.77	SUBJGRP 77	General Requirements as to Contents
17:4.0.1.1.1.2.77.148	SECTION 240.12b-20	240.12b-20 Additional information.
17:4.0.1.1.1.2.77.149	SECTION 240.12b-21	240.12b-21 Information unknown or not available.
17:4.0.1.1.1.2.77.150	SECTION 240.12b-22	240.12b-22 Disclaimer of control.
17:4.0.1.1.1.2.77.151	SECTION 240.12b-23	240.12b-23 Incorporation by reference.
17:4.0.1.1.1.2.77.152	SECTION 240.12b-24	240.12b-24 [Reserved]
17:4.0.1.1.1.2.77.153	SECTION 240.12b-25	240.12b-25 Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-CEN , N-CSR, 10-Q, or 10-D.
17:4.0.1.1.1.2.78	SUBJGRP 78	Exhibits
17:4.0.1.1.1.2.78.154	SECTION 240.12b-30	240.12b-30 Additional exhibits.
17:4.0.1.1.1.2.78.155	SECTION 240.12b-31	240.12b-31 Omission of substantially identical documents.
17:4.0.1.1.1.2.78.156	SECTION 240.12b-32	240.12b-32 [Reserved]
17:4.0.1.1.1.2.78.157	SECTION 240.12b-33	240.12b-33 Annual reports to other Federal agencies.
17:4.0.1.1.1.2.79	SUBJGRP 79	Special Provisions
17:4.0.1.1.1.2.79.158	SECTION 240.12b-35	240.12b-35 [Reserved]
17:4.0.1.1.1.2.79.159	SECTION 240.12b-36	240.12b-36 Use of financial statements filed under other acts.
17:4.0.1.1.1.2.79.160	SECTION 240.12b-37	240.12b-37 Satisfaction of filing requirements.
17:4.0.1.1.1.2.80	SUBJGRP 80	Certification by Exchanges and Effectiveness of Registration
17:4.0.1.1.1.2.80.161	SECTION 240.12d1-1	240.12d1-1 Registration effective as to class or series.
17:4.0.1.1.1.2.80.162	SECTION 240.12d1-2	240.12d1-2 Effectiveness of registration.
17:4.0.1.1.1.2.80.163	SECTION 240.12d1-3	240.12d1-3 Requirements as to certification.
17:4.0.1.1.1.2.80.164	SECTION 240.12d1-4	240.12d1-4 Date of receipt of certification by Commission.
17:4.0.1.1.1.2.80.165	SECTION 240.12d1-5	240.12d1-5 Operation of certification on subsequent amendments.
17:4.0.1.1.1.2.80.166	SECTION 240.12d1-6	240.12d1-6 Withdrawal of certification.
17:4.0.1.1.1.2.81	SUBJGRP 81	Suspension of Trading, Withdrawal, and Striking From Listing and Registration
17:4.0.1.1.1.2.81.167	SECTION 240.12d2-1	240.12d2-1 Suspension of trading.
17:4.0.1.1.1.2.81.168	SECTION 240.12d2-2	240.12d2-2 Removal from listing and registration.
17:4.0.1.1.1.2.82	SUBJGRP 82	Unlisted Trading
17:4.0.1.1.1.2.82.169	SECTION 240.12f-1	240.12f-1 Applications for permission to reinstate unlisted trading privileges.
17:4.0.1.1.1.2.82.170	SECTION 240.12f-2	240.12f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.
17:4.0.1.1.1.2.82.171	SECTION 240.12f-3	240.12f-3 Termination or suspension of unlisted trading privileges.
17:4.0.1.1.1.2.82.172	SECTION 240.12f-4	240.12f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
17:4.0.1.1.1.2.82.173	SECTION 240.12f-5	240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended.
17:4.0.1.1.1.2.82.174	SECTION 240.12f-6	240.12f-6 [Reserved]
17:4.0.1.1.1.2.83	SUBJGRP 83	Extensions and Temporary Exemptions; Definitions
17:4.0.1.1.1.2.83.175	SECTION 240.12g-1	240.12g-1 Registration of securities; exemption from section 12(g).
17:4.0.1.1.1.2.83.176	SECTION 240.12g-2	240.12g-2 Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).
17:4.0.1.1.1.2.83.177	SECTION 240.12g-3	240.12g-3 Registration of securities of successor issuers under section 12(b) or 12(g).
17:4.0.1.1.1.2.83.178	SECTION 240.12g-4	240.12g-4 Certifications of termination of registration under section 12(g).
17:4.0.1.1.1.2.83.179	SECTION 240.12g-6	240.12g-6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933.
17:4.0.1.1.1.2.83.180	SECTION 240.12g3-2	240.12g3-2 Exemptions for American depositary receipts and certain foreign securities.
17:4.0.1.1.1.2.83.181	SECTION 240.12g5-1	240.12g5-1 Definition of securities “held of record”.
17:4.0.1.1.1.2.83.182	SECTION 240.12g5-2	240.12g5-2 Definition of “total assets”.
17:4.0.1.1.1.2.83.183	SECTION 240.12h-1	240.12h-1 Exemptions from registration under section 12(g) of the Act.
17:4.0.1.1.1.2.83.184	SECTION 240.12h-2	240.12h-2 [Reserved]
17:4.0.1.1.1.2.83.185	SECTION 240.12h-3	240.12h-3 Suspension of duty to file reports under section 15(d).
17:4.0.1.1.1.2.83.186	SECTION 240.12h-4	240.12h-4 Exemption from duty to file reports under section 15(d).
17:4.0.1.1.1.2.83.187	SECTION 240.12h-5	240.12h-5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
17:4.0.1.1.1.2.83.188	SECTION 240.12h-6	240.12h-6 Certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
17:4.0.1.1.1.2.83.189	SECTION 240.12h-7	240.12h-7 Exemption for issuers of securities that are subject to insurance regulation.
17:4.0.1.1.1.2.84	SUBJGRP 84	Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
17:4.0.1.1.1.2.84.190	SECTION 240.13a-1	240.13a-1 Requirements of annual reports.
17:4.0.1.1.1.2.84.191	SECTION 240.13a-2	240.13a-2 [Reserved]
17:4.0.1.1.1.2.84.192	SECTION 240.13a-3	240.13a-3 Reporting by Form 40-F registrant.
17:4.0.1.1.1.2.85	SUBJGRP 85	Other Reports
17:4.0.1.1.1.2.85.193	SECTION 240.13a-10	240.13a-10 Transition reports.
17:4.0.1.1.1.2.85.194	SECTION 240.13a-11	240.13a-11 Current reports on Form 8-K (§ 249.308 of this chapter).
17:4.0.1.1.1.2.85.195	SECTION 240.13a-13	240.13a-13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
17:4.0.1.1.1.2.85.196	SECTION 240.13a-14	240.13a-14 Certification of disclosure in annual and quarterly reports.
17:4.0.1.1.1.2.85.197	SECTION 240.13a-15	240.13a-15 Controls and procedures.
17:4.0.1.1.1.2.85.198	SECTION 240.13a-16	240.13a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
17:4.0.1.1.1.2.85.199	SECTION 240.13a-17	240.13a-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
17:4.0.1.1.1.2.85.200	SECTION 240.13a-18	240.13a-18 Compliance with servicing criteria for asset-backed securities.
17:4.0.1.1.1.2.85.201	SECTION 240.13a-19	240.13a-19 Reports by shell companies on Form 20-F.
17:4.0.1.1.1.2.85.202	SECTION 240.13a-20	240.13a-20 Plain English presentation of specified information.
17:4.0.1.1.1.2.86	SUBJGRP 86	Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
17:4.0.1.1.1.2.86.203	SECTION 240.13b2-1	240.13b2-1 Falsification of accounting records.
17:4.0.1.1.1.2.86.204	SECTION 240.13b2-2	240.13b2-2 Representations and conduct in connection with the preparation of required reports and documents.
17:4.0.1.1.1.2.87	SUBJGRP 87	Regulation 13D-G
17:4.0.1.1.1.2.88	SUBJGRP 88	Regulation 14A: Solicitation of Proxies
17:4.0.1.1.1.2.88.205	SECTION 240.13d-1	240.13d-1 Filing of Schedules 13D and 13G.
17:4.0.1.1.1.2.88.206	SECTION 240.13d-2	240.13d-2 Filing of amendments to Schedules 13D or 13G.
17:4.0.1.1.1.2.88.207	SECTION 240.13d-3	240.13d-3 Determination of beneficial owner.
17:4.0.1.1.1.2.88.208	SECTION 240.13d-4	240.13d-4 Disclaimer of beneficial ownership.
17:4.0.1.1.1.2.88.209	SECTION 240.13d-5	240.13d-5 Acquisition of securities.
17:4.0.1.1.1.2.88.210	SECTION 240.13d-6	240.13d-6 Exemption of certain acquisitions.
17:4.0.1.1.1.2.88.211	SECTION 240.13d-7	240.13d-7 Dissemination.
17:4.0.1.1.1.2.88.212	SECTION 240.13d-101	240.13d-101 Schedule 13D - Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).
17:4.0.1.1.1.2.88.213	SECTION 240.13d-102	240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.
17:4.0.1.1.1.2.88.214	SECTION 240.13e-1	240.13e-1 Purchase of securities by the issuer during a third-party tender offer.
17:4.0.1.1.1.2.88.215	SECTION 240.13e-2	240.13e-2 [Reserved]
17:4.0.1.1.1.2.88.216	SECTION 240.13e-3	240.13e-3 Going private transactions by certain issuers or their affiliates.
17:4.0.1.1.1.2.88.217	SECTION 240.13e-4	240.13e-4 Tender offers by issuers.
17:4.0.1.1.1.2.88.218	SECTION 240.13e-100	240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.
17:4.0.1.1.1.2.88.219	SECTION 240.13e-101	240.13e-101 [Reserved]
17:4.0.1.1.1.2.88.220	SECTION 240.13e-102	240.13e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.
17:4.0.1.1.1.2.88.221	SECTION 240.13f-1	240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
17:4.0.1.1.1.2.88.222	SECTION 240.13h-l	240.13h-l Large trader reporting.
17:4.0.1.1.1.2.88.223	SECTION 240.13k-1	240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).
17:4.0.1.1.1.2.88.224	SECTION 240.13n-1	240.13n-1 Registration of security-based swap data repository.
17:4.0.1.1.1.2.88.225	SECTION 240.13n-2	240.13n-2 Withdrawal from registration; revocation and cancellation.
17:4.0.1.1.1.2.88.226	SECTION 240.13n-3	240.13n-3 Registration of successor to registered security-based swap data repository.
17:4.0.1.1.1.2.88.227	SECTION 240.13n-4	240.13n-4 Duties and core principles of security-based swap data repository.
17:4.0.1.1.1.2.88.228	SECTION 240.13n-5	240.13n-5 Data collection and maintenance.
17:4.0.1.1.1.2.88.229	SECTION 240.13n-6	240.13n-6 Automated systems.
17:4.0.1.1.1.2.88.230	SECTION 240.13n-7	240.13n-7 Recordkeeping of security-based swap data repository.
17:4.0.1.1.1.2.88.231	SECTION 240.13n-8	240.13n-8 Reports to be provided to the Commission.
17:4.0.1.1.1.2.88.232	SECTION 240.13n-9	240.13n-9 Privacy requirements of security-based swap data repository.
17:4.0.1.1.1.2.88.233	SECTION 240.13n-10	240.13n-10 Disclosure requirements of security-based swap data repository.
17:4.0.1.1.1.2.88.234	SECTION 240.13n-11	240.13n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
17:4.0.1.1.1.2.88.235	SECTION 240.13n-12	240.13n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
17:4.0.1.1.1.2.88.236	SECTION 240.13p-1	240.13p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
17:4.0.1.1.1.2.88.237	SECTION 240.13q-1	240.13q-1 Disclosure of payments made by resource extraction issuers.
17:4.0.1.1.1.2.89	SUBJGRP 89	Regulation 14C: Distribution of Information Pursuant to Section 14(c)
17:4.0.1.1.1.2.89.238	SECTION 240.14a-1	240.14a-1 Definitions.
17:4.0.1.1.1.2.89.239	SECTION 240.14a-2	240.14a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
17:4.0.1.1.1.2.89.240	SECTION 240.14a-3	240.14a-3 Information to be furnished to security holders.
17:4.0.1.1.1.2.89.241	SECTION 240.14a-4	240.14a-4 Requirements as to proxy.
17:4.0.1.1.1.2.89.242	SECTION 240.14a-5	240.14a-5 Presentation of information in proxy statement.
17:4.0.1.1.1.2.89.243	SECTION 240.14a-6	240.14a-6 Filing requirements.
17:4.0.1.1.1.2.89.244	SECTION 240.14a-7	240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
17:4.0.1.1.1.2.89.245	SECTION 240.14a-8	240.14a-8 Shareholder proposals.
17:4.0.1.1.1.2.89.246	SECTION 240.14a-9	240.14a-9 False or misleading statements.
17:4.0.1.1.1.2.89.247	SECTION 240.14a-10	240.14a-10 Prohibition of certain solicitations.
17:4.0.1.1.1.2.89.248	SECTION 240.14a-12	240.14a-12 Solicitation before furnishing a proxy statement.
17:4.0.1.1.1.2.89.249	SECTION 240.14a-13	240.14a-13 Obligation of registrants in communicating with beneficial owners.
17:4.0.1.1.1.2.89.250	SECTION 240.14a-14	240.14a-14 Modified or superseded documents.
17:4.0.1.1.1.2.89.251	SECTION 240.14a-15	240.14a-15 Differential and contingent compensation in connection with roll-up transactions.
17:4.0.1.1.1.2.89.252	SECTION 240.14a-16	240.14a-16 Internet availability of proxy materials.
17:4.0.1.1.1.2.89.253	SECTION 240.14a-17	240.14a-17 Electronic shareholder forums.
17:4.0.1.1.1.2.89.254	SECTION 240.14a-18	240.14a-18 Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.
17:4.0.1.1.1.2.89.255	SECTION 240.14a-20	240.14a-20 Shareholder approval of executive compensation of TARP recipients.
17:4.0.1.1.1.2.89.256	SECTION 240.14a-21	240.14a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
17:4.0.1.1.1.2.89.257	SECTION 240.14a-101	240.14a-101 Schedule 14A. Information required in proxy statement.
17:4.0.1.1.1.2.89.258	SECTION 240.14a-102	240.14a-102 [Reserved]
17:4.0.1.1.1.2.89.259	SECTION 240.14a-103	240.14a-103 Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).
17:4.0.1.1.1.2.89.260	SECTION 240.14a-104	240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a-6(n).
17:4.0.1.1.1.2.89.261	SECTION 240.14b-1	240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
17:4.0.1.1.1.2.89.262	SECTION 240.14b-2	240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
17:4.0.1.1.1.2.90	SUBJGRP 90	Regulation 14D
17:4.0.1.1.1.2.90.263	SECTION 240.14c-1	240.14c-1 Definitions.
17:4.0.1.1.1.2.90.264	SECTION 240.14c-2	240.14c-2 Distribution of information statement.
17:4.0.1.1.1.2.90.265	SECTION 240.14c-3	240.14c-3 Annual report to be furnished security holders.
17:4.0.1.1.1.2.90.266	SECTION 240.14c-4	240.14c-4 Presentation of information in information statement.
17:4.0.1.1.1.2.90.267	SECTION 240.14c-5	240.14c-5 Filing requirements.
17:4.0.1.1.1.2.90.268	SECTION 240.14c-6	240.14c-6 False or misleading statements.
17:4.0.1.1.1.2.90.269	SECTION 240.14c-7	240.14c-7 Providing copies of material for certain beneficial owners.
17:4.0.1.1.1.2.90.270	SECTION 240.14c-101	240.14c-101 Schedule 14C. Information required in information statement.
17:4.0.1.1.1.2.91	SUBJGRP 91	Regulation 14E
17:4.0.1.1.1.2.91.271	SECTION 240.14d-1	240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E.
17:4.0.1.1.1.2.91.272	SECTION 240.14d-2	240.14d-2 Commencement of a tender offer.
17:4.0.1.1.1.2.91.273	SECTION 240.14d-3	240.14d-3 Filing and transmission of tender offer statement.
17:4.0.1.1.1.2.91.274	SECTION 240.14d-4	240.14d-4 Dissemination of tender offers to security holders.
17:4.0.1.1.1.2.91.275	SECTION 240.14d-5	240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
17:4.0.1.1.1.2.91.276	SECTION 240.14d-6	240.14d-6 Disclosure of tender offer information to security holders.
17:4.0.1.1.1.2.91.277	SECTION 240.14d-7	240.14d-7 Additional withdrawal rights.
17:4.0.1.1.1.2.91.278	SECTION 240.14d-8	240.14d-8 Exemption from statutory pro rata requirements.
17:4.0.1.1.1.2.91.279	SECTION 240.14d-9	240.14d-9 Recommendation or solicitation by the subject company and others.
17:4.0.1.1.1.2.91.280	SECTION 240.14d-10	240.14d-10 Equal treatment of security holders.
17:4.0.1.1.1.2.91.281	SECTION 240.14d-11	240.14d-11 Subsequent offering period.
17:4.0.1.1.1.2.91.282	SECTION 240.14d-100	240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
17:4.0.1.1.1.2.91.283	SECTION 240.14d-101	240.14d-101 Schedule 14D-9.
17:4.0.1.1.1.2.91.284	SECTION 240.14d-102	240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
17:4.0.1.1.1.2.91.285	SECTION 240.14d-103	240.14d-103 Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.
17:4.0.1.1.1.2.92	SUBJGRP 92	Regulation 14N: Filings Required by Certain Nominating Shareholders
17:4.0.1.1.1.2.92.286	SECTION 240.14e-1	240.14e-1 Unlawful tender offer practices.
17:4.0.1.1.1.2.92.287	SECTION 240.14e-2	240.14e-2 Position of subject company with respect to a tender offer.
17:4.0.1.1.1.2.92.288	SECTION 240.14e-3	240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
17:4.0.1.1.1.2.92.289	SECTION 240.14e-4	240.14e-4 Prohibited transactions in connection with partial tender offers.
17:4.0.1.1.1.2.92.290	SECTION 240.14e-5	240.14e-5 Prohibiting purchases outside of a tender offer.
17:4.0.1.1.1.2.92.291	SECTION 240.14e-6	240.14e-6 Repurchase offers by certain closed-end registered investment companies.
17:4.0.1.1.1.2.92.292	SECTION 240.14e-7	240.14e-7 Unlawful tender offer practices in connection with roll-ups.
17:4.0.1.1.1.2.92.293	SECTION 240.14e-8	240.14e-8 Prohibited conduct in connection with pre-commencement communications.
17:4.0.1.1.1.2.92.294	SECTION 240.14f-1	240.14f-1 Change in majority of directors.
17:4.0.1.1.1.2.92.295	SECTION 240.14n-1	240.14n-1 Filing of Schedule 14N.
17:4.0.1.1.1.2.92.296	SECTION 240.14n-2	240.14n-2 Filing of amendments to Schedule 14N.
17:4.0.1.1.1.2.92.297	SECTION 240.14n-3	240.14n-3 Dissemination.
17:4.0.1.1.1.2.92.298	SECTION 240.14n-101	240.14n-101 Schedule 14N - Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
17:4.0.1.1.1.2.93	SUBJGRP 93	Exemption of Certain OTC Derivatives Dealers
17:4.0.1.1.1.2.93.299	SECTION 240.15a-1	240.15a-1 Securities activities of OTC derivatives dealers.
17:4.0.1.1.1.2.94	SUBJGRP 94	Exemption of Certain Securities From Section 15(a)
17:4.0.1.1.1.2.94.300	SECTION 240.15a-2	240.15a-2 Exemption of certain securities of cooperative apartment houses from section 15(a).
17:4.0.1.1.1.2.94.301	SECTION 240.15a-3	240.15a-3 [Reserved]
17:4.0.1.1.1.2.94.302	SECTION 240.15a-4	240.15a-4 Forty-five day exemption from registration for certain members of national securities exchanges.
17:4.0.1.1.1.2.94.303	SECTION 240.15a-5	240.15a-5 Exemption of certain nonbank lenders.
17:4.0.1.1.1.2.95	SUBJGRP 95	Registration of Brokers and Dealers
17:4.0.1.1.1.2.95.304	SECTION 240.15a-6	240.15a-6 Exemption of certain foreign brokers or dealers.
17:4.0.1.1.1.2.95.305	SECTION 240.15a-7 - 240.15a-9	240.15a-7--240.15a-9 [Reserved]
17:4.0.1.1.1.2.95.306	SECTION 240.15a-10	240.15a-10 Exemption of certain brokers or dealers with respect to security futures products.
17:4.0.1.1.1.2.95.307	SECTION 240.15a-11	240.15a-11 [Reserved]
17:4.0.1.1.1.2.95.308	SECTION 240.15b1-1	240.15b1-1 Application for registration of brokers or dealers.
17:4.0.1.1.1.2.95.309	SECTION 240.15b1-2	240.15b1-2 [Reserved]
17:4.0.1.1.1.2.95.310	SECTION 240.15b1-3	240.15b1-3 Registration of successor to registered broker or dealer.
17:4.0.1.1.1.2.95.311	SECTION 240.15b1-4	240.15b1-4 Registration of fiduciaries.
17:4.0.1.1.1.2.95.312	SECTION 240.15b1-5	240.15b1-5 Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
17:4.0.1.1.1.2.95.313	SECTION 240.15b1-6	240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
17:4.0.1.1.1.2.95.314	SECTION 240.15b2-2	240.15b2-2 Inspection of newly registered brokers and dealers.
17:4.0.1.1.1.2.95.315	SECTION 240.15b3-1	240.15b3-1 Amendments to application.
17:4.0.1.1.1.2.95.316	SECTION 240.15b5-1	240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
17:4.0.1.1.1.2.95.317	SECTION 240.15b6-1	240.15b6-1 Withdrawal from registration.
17:4.0.1.1.1.2.95.318	SECTION 240.15b7-1	240.15b7-1 Compliance with qualification requirements of self-regulatory organizations.
17:4.0.1.1.1.2.95.319	SECTION 240.15b7-3T	240.15b7-3T Operational capability in a Year 2000 environment.
17:4.0.1.1.1.2.95.320	SECTION 240.15b9-1	240.15b9-1 Exemption for certain exchange members.
17:4.0.1.1.1.2.95.321	SECTION 240.15b9-2	240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.
17:4.0.1.1.1.2.95.322	SECTION 240.15b11-1	240.15b11-1 Registration by notice of security futures product broker-dealers.
17:4.0.1.1.1.2.96	SUBJGRP 96	Rules Relating to Over-the-Counter Markets
17:4.0.1.1.1.2.96.323	SECTION 240.15c1-1	240.15c1-1 Definitions.
17:4.0.1.1.1.2.96.324	SECTION 240.15c1-2	240.15c1-2 Fraud and misrepresentation.
17:4.0.1.1.1.2.96.325	SECTION 240.15c1-3	240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
17:4.0.1.1.1.2.96.326	SECTION 240.15c1-4	240.15c1-4 [Reserved]
17:4.0.1.1.1.2.96.327	SECTION 240.15c1-5	240.15c1-5 Disclosure of control.
17:4.0.1.1.1.2.96.328	SECTION 240.15c1-6	240.15c1-6 Disclosure of interest in distribution.
17:4.0.1.1.1.2.96.329	SECTION 240.15c1-7	240.15c1-7 Discretionary accounts.
17:4.0.1.1.1.2.96.330	SECTION 240.15c1-8	240.15c1-8 Sales at the market.
17:4.0.1.1.1.2.96.331	SECTION 240.15c1-9	240.15c1-9 Use of pro forma balance sheets.
17:4.0.1.1.1.2.96.332	SECTION 240.15c2-1	240.15c2-1 Hypothecation of customers' securities.
17:4.0.1.1.1.2.96.333	SECTION 240.15c2-3	240.15c2-3 [Reserved]
17:4.0.1.1.1.2.96.334	SECTION 240.15c2-4	240.15c2-4 Transmission or maintenance of payments received in connection with underwritings.
17:4.0.1.1.1.2.96.335	SECTION 240.15c2-5	240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
17:4.0.1.1.1.2.96.336	SECTION 240.15c2-6	240.15c2-6 [Reserved]
17:4.0.1.1.1.2.96.337	SECTION 240.15c2-7	240.15c2-7 Identification of quotations.
17:4.0.1.1.1.2.96.338	SECTION 240.15c2-8	240.15c2-8 Delivery of prospectus.
17:4.0.1.1.1.2.96.339	SECTION 240.15c2-11	240.15c2-11 Publication or submission of quotations without specified information.
17:4.0.1.1.1.2.96.340	SECTION 240.15c2-12	240.15c2-12 Municipal securities disclosure.
17:4.0.1.1.1.2.96.341	SECTION 240.15c3-1	240.15c3-1 Net capital requirements for brokers or dealers.
17:4.0.1.1.1.2.96.342	SECTION 240.15c3-1a	240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.343	SECTION 240.15c3-1b	240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.344	SECTION 240.15c3-1c	240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.345	SECTION 240.15c3-1d	240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.346	SECTION 240.15c3-1e	240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.347	SECTION 240.15c3-1f	240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.348	SECTION 240.15c3-1g	240.15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.349	SECTION 240.15c3-2	240.15c3-2 [Reserved]
17:4.0.1.1.1.2.96.350	SECTION 240.15c3-3	240.15c3-3 Customer protection - reserves and custody of securities.
17:4.0.1.1.1.2.96.351	SECTION 240.15c3-3a	240.15c3-3a Exhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
17:4.0.1.1.1.2.96.352	SECTION 240.15c3-3b	240.15c3-3b Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
17:4.0.1.1.1.2.96.353	SECTION 240.15c3-4	240.15c3-4 Internal risk management control systems for OTC derivatives dealers.
17:4.0.1.1.1.2.96.354	SECTION 240.15c3-5	240.15c3-5 Risk management controls for brokers or dealers with market access.
17:4.0.1.1.1.2.96.355	SECTION 240.15c6-1	240.15c6-1 Settlement cycle.
17:4.0.1.1.1.2.97	SUBJGRP 97	Regulation 15D: Reports of Registrants Under the Securities Act of 1933
17:4.0.1.1.1.2.98	SUBJGRP 98	Annual Reports
17:4.0.1.1.1.2.98.356	SECTION 240.15d-1	240.15d-1 Requirement of annual reports.
17:4.0.1.1.1.2.98.357	SECTION 240.15d-2	240.15d-2 Special financial report.
17:4.0.1.1.1.2.98.358	SECTION 240.15d-3	240.15d-3 Reports for depositary shares registered on Form F-6.
17:4.0.1.1.1.2.98.359	SECTION 240.15d-4	240.15d-4 Reporting by Form 40-F registrants.
17:4.0.1.1.1.2.98.360	SECTION 240.15d-5	240.15d-5 Reporting by successor issuers.
17:4.0.1.1.1.2.98.361	SECTION 240.15d-6	240.15d-6 Suspension of duty to file reports.
17:4.0.1.1.1.2.99	SUBJGRP 99	Other Reports
17:4.0.1.1.1.2.99.362	SECTION 240.15d-10	240.15d-10 Transition reports.
17:4.0.1.1.1.2.99.363	SECTION 240.15d-11	240.15d-11 Current reports on Form 8-K (§ 249.308 of this chapter).
17:4.0.1.1.1.2.99.364	SECTION 240.15d-13	240.15d-13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
17:4.0.1.1.1.2.99.365	SECTION 240.15d-14	240.15d-14 Certification of disclosure in annual and quarterly reports.
17:4.0.1.1.1.2.99.366	SECTION 240.15d-15	240.15d-15 Controls and procedures.
17:4.0.1.1.1.2.99.367	SECTION 240.15d-16	240.15d-16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
17:4.0.1.1.1.2.99.368	SECTION 240.15d-17	240.15d-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
17:4.0.1.1.1.2.99.369	SECTION 240.15d-18	240.15d-18 Compliance with servicing criteria for asset-backed securities.
17:4.0.1.1.1.2.99.370	SECTION 240.15d-19	240.15d-19 Reports by shell companies on Form 20-F.
17:4.0.1.1.1.2.99.371	SECTION 240.15d-20	240.15d-20 Plain English presentation of specified information.
17:4.0.1.1.1.2.100	SUBJGRP 100	Exemption of Certain Issuers From Section 15(d) of the Act
17:4.0.1.1.1.2.100.372	SECTION 240.15d-21	240.15d-21 Reports for employee stock purchase, savings and similar plans.
17:4.0.1.1.1.2.100.373	SECTION 240.15d-22	240.15d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.
17:4.0.1.1.1.2.100.374	SECTION 240.15d-23	240.15d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
17:4.0.1.1.1.2.100.375	SECTION 240.15g-1	240.15g-1 Exemptions for certain transactions.
17:4.0.1.1.1.2.100.376	SECTION 240.15g-2	240.15g-2 Penny stock disclosure document relating to the penny stock market.
17:4.0.1.1.1.2.100.377	SECTION 240.15g-3	240.15g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
17:4.0.1.1.1.2.100.378	SECTION 240.15g-4	240.15g-4 Disclosure of compensation to brokers or dealers.
17:4.0.1.1.1.2.100.379	SECTION 240.15g-5	240.15g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.
17:4.0.1.1.1.2.100.380	SECTION 240.15g-6	240.15g-6 Account statements for penny stock customers.
17:4.0.1.1.1.2.100.381	SECTION 240.15g-8	240.15g-8 Sales of escrowed securities of blank check companies.
17:4.0.1.1.1.2.100.382	SECTION 240.15g-9	240.15g-9 Sales practice requirements for certain low-priced securities.
17:4.0.1.1.1.2.100.383	SECTION 240.15g-100	240.15g-100 Schedule 15G - Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
17:4.0.1.1.1.2.100.384	SECTION 240.15l-1	240.15l-1 Regulation best interest.
17:4.0.1.1.1.2.101	SUBJGRP 101	National and Affiliated Securities Associations
17:4.0.1.1.1.2.101.385	SECTION 240.15Aa-1	240.15Aa-1 Registration of a national or an affiliated securities association.
17:4.0.1.1.1.2.101.386	SECTION 240.15Aj-1	240.15Aj-1 Amendments and supplements to registration statements of securities associations.
17:4.0.1.1.1.2.101.387	SECTION 240.15Al2-1	240.15Al2-1 [Reserved]
17:4.0.1.1.1.2.101.388	SECTION 240.15Ba1-1	240.15Ba1-1 Definitions.
17:4.0.1.1.1.2.101.389	SECTION 240.15Ba1-2	240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons.
17:4.0.1.1.1.2.101.390	SECTION 240.15Ba1-3	240.15Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
17:4.0.1.1.1.2.101.391	SECTION 240.15Ba1-4	240.15Ba1-4 Withdrawal from municipal advisor registration.
17:4.0.1.1.1.2.101.392	SECTION 240.15Ba1-5	240.15Ba1-5 Amendments to Form MA and Form MA-I.
17:4.0.1.1.1.2.101.393	SECTION 240.15Ba1-6	240.15Ba1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
17:4.0.1.1.1.2.101.394	SECTION 240.15Ba1-7	240.15Ba1-7 Registration of successor to municipal advisor.
17:4.0.1.1.1.2.101.395	SECTION 240.15Ba1-8	240.15Ba1-8 Books and records to be made and maintained by municipal advisors.
17:4.0.1.1.1.2.101.396	SECTION 240.15Ba2-1	240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
17:4.0.1.1.1.2.101.397	SECTION 240.15Ba2-2	240.15Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
17:4.0.1.1.1.2.101.398	SECTION 240.15Ba2-4	240.15Ba2-4 Registration of successor to registered municipal securities dealer.
17:4.0.1.1.1.2.101.399	SECTION 240.15Ba2-5	240.15Ba2-5 Registration of fiduciaries.
17:4.0.1.1.1.2.101.400	SECTION 240.15Ba2-6	240.15Ba2-6 [Reserved]
17:4.0.1.1.1.2.101.401	SECTION 240.15Bc3-1	240.15Bc3-1 Withdrawal from registration of municipal securities dealers.
17:4.0.1.1.1.2.101.402	SECTION 240.15Bc4-1	240.15Bc4-1 Persons associated with municipal advisors.
17:4.0.1.1.1.2.101.403	SECTION 240.15Bc7-1	240.15Bc7-1 Availability of examination reports.
17:4.0.1.1.1.2.102	SUBJGRP 102	Registration of Government Securities Brokers and Government Securities Dealers
17:4.0.1.1.1.2.102.404	SECTION 240.15Ca1-1	240.15Ca1-1 Notice of government securities broker-dealer activities.
17:4.0.1.1.1.2.102.405	SECTION 240.15Ca2-1	240.15Ca2-1 Application for registration as a government securities broker or government securities dealer.
17:4.0.1.1.1.2.102.406	SECTION 240.15Ca2-2	240.15Ca2-2 [Reserved]
17:4.0.1.1.1.2.102.407	SECTION 240.15Ca2-3	240.15Ca2-3 Registration of successor to registered government securities broker or government securities dealer.
17:4.0.1.1.1.2.102.408	SECTION 240.15Ca2-4	240.15Ca2-4 Registration of fiduciaries.
17:4.0.1.1.1.2.102.409	SECTION 240.15Ca2-5	240.15Ca2-5 Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
17:4.0.1.1.1.2.102.410	SECTION 240.15Cc1-1	240.15Cc1-1 Withdrawal from registration of government securities brokers or government securities dealers.
17:4.0.1.1.1.2.103	SUBJGRP 103	Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
17:4.0.1.1.1.2.103.411	SECTION 240.15Fb1-1.	240.15Fb1-1. Signatures.
17:4.0.1.1.1.2.103.412	SECTION 240.15Fb2-1	240.15Fb2-1 Registration of security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.413	SECTION 240.15Fb2-3	240.15Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
17:4.0.1.1.1.2.103.414	SECTION 240.15Fb2-4	240.15Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.415	SECTION 240.15Fb2-5	240.15Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
17:4.0.1.1.1.2.103.416	SECTION 240.15Fb2-6	240.15Fb2-6 Registration of fiduciaries.
17:4.0.1.1.1.2.103.417	SECTION 240.15Fb3-1	240.15Fb3-1 Duration of registration.
17:4.0.1.1.1.2.103.418	SECTION 240.15Fb3-2	240.15Fb3-2 Withdrawal from registration.
17:4.0.1.1.1.2.103.419	SECTION 240.15Fb3-3	240.15Fb3-3 Cancellation and revocation of registration.
17:4.0.1.1.1.2.103.420	SECTION 240.15Fb6-1	240.15Fb6-1 [Reserved]
17:4.0.1.1.1.2.103.421	SECTION 240.15Fb6-2	240.15Fb6-2 Associated person certification.
17:4.0.1.1.1.2.103.422	SECTION 240.15Fh-1	240.15Fh-1 Scope and reliance on representations.
17:4.0.1.1.1.2.103.423	SECTION 240.15Fh-2	240.15Fh-2 Definitions.
17:4.0.1.1.1.2.103.424	SECTION 240.15Fh-3	240.15Fh-3 Business conduct requirements.
17:4.0.1.1.1.2.103.425	SECTION 240.15Fh-4	240.15Fh-4 Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
17:4.0.1.1.1.2.103.426	SECTION 240.15Fh-5	240.15Fh-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
17:4.0.1.1.1.2.103.427	SECTION 240.15Fh-6	240.15Fh-6 Political contributions by certain security-based swap dealers.
17:4.0.1.1.1.2.103.428	SECTION 240.15Fi-1	240.15Fi-1 Definitions.
17:4.0.1.1.1.2.103.429	SECTION 240.15Fi-2	240.15Fi-2 Acknowledgment and verification of security-based swap transactions.
17:4.0.1.1.1.2.103.430	SECTION 240.15Fi-3	240.15Fi-3 Security-based swap portfolio reconciliation.
17:4.0.1.1.1.2.103.431	SECTION 240.15Fi-4	240.15Fi-4 Security-based swap portfolio compression.
17:4.0.1.1.1.2.103.432	SECTION 240.15Fi-5	240.15Fi-5 Security-based swap trading relationship documentation.
17:4.0.1.1.1.2.103.433	SECTION 240.15Fk-1	240.15Fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.434	SECTION 240.15Ga-1	240.15Ga-1 Repurchases and replacements relating to asset-backed securities.
17:4.0.1.1.1.2.103.435	SECTION 240.15Ga-2	240.15Ga-2 Findings and conclusions of third-party due diligence reports.
17:4.0.1.1.1.2.103.436	SECTION 240.16a-1	240.16a-1 Definition of terms.
17:4.0.1.1.1.2.103.437	SECTION 240.16a-2	240.16a-2 Persons and transactions subject to section 16.
17:4.0.1.1.1.2.103.438	SECTION 240.16a-3	240.16a-3 Reporting transactions and holdings.
17:4.0.1.1.1.2.103.439	SECTION 240.16a-4	240.16a-4 Derivative securities.
17:4.0.1.1.1.2.103.440	SECTION 240.16a-5	240.16a-5 Odd-lot dealers.
17:4.0.1.1.1.2.103.441	SECTION 240.16a-6	240.16a-6 Small acquisitions.
17:4.0.1.1.1.2.103.442	SECTION 240.16a-7	240.16a-7 Transactions effected in connection with a distribution.
17:4.0.1.1.1.2.103.443	SECTION 240.16a-8	240.16a-8 Trusts.
17:4.0.1.1.1.2.103.444	SECTION 240.16a-9	240.16a-9 Stock splits, stock dividends, and pro rata rights.
17:4.0.1.1.1.2.103.445	SECTION 240.16a-10	240.16a-10 Exemptions under section 16(a).
17:4.0.1.1.1.2.103.446	SECTION 240.16a-11	240.16a-11 Dividend or interest reinvestment plans.
17:4.0.1.1.1.2.103.447	SECTION 240.16a-12	240.16a-12 Domestic relations orders.
17:4.0.1.1.1.2.103.448	SECTION 240.16a-13	240.16a-13 Change in form of beneficial ownership.
17:4.0.1.1.1.2.104	SUBJGRP 104	Exemption of Certain Transactions From Section 16(b)
17:4.0.1.1.1.2.104.449	SECTION 240.16b-1	240.16b-1 Transactions approved by a regulatory authority.
17:4.0.1.1.1.2.104.450	SECTION 240.16b-2	240.16b-2 [Reserved]
17:4.0.1.1.1.2.104.451	SECTION 240.16b-3	240.16b-3 Transactions between an issuer and its officers or directors.
17:4.0.1.1.1.2.104.452	SECTION 240.16b-4	240.16b-4 [Reserved]
17:4.0.1.1.1.2.104.453	SECTION 240.16b-5	240.16b-5 Bona fide gifts and inheritance.
17:4.0.1.1.1.2.104.454	SECTION 240.16b-6	240.16b-6 Derivative securities.
17:4.0.1.1.1.2.104.455	SECTION 240.16b-7	240.16b-7 Mergers, reclassifications, and consolidations.
17:4.0.1.1.1.2.104.456	SECTION 240.16b-8	240.16b-8 Voting trusts.
17:4.0.1.1.1.2.105	SUBJGRP 105	Exemption of Certain Transactions From Section 16(c)
17:4.0.1.1.1.2.105.457	SECTION 240.16c-1	240.16c-1 Brokers.
17:4.0.1.1.1.2.105.458	SECTION 240.16c-2	240.16c-2 Transactions effected in connection with a distribution.
17:4.0.1.1.1.2.105.459	SECTION 240.16c-3	240.16c-3 Exemption of sales of securities to be acquired.
17:4.0.1.1.1.2.105.460	SECTION 240.16c-4	240.16c-4 Derivative securities.
17:4.0.1.1.1.2.106	SUBJGRP 106	Arbitrage Transactions
17:4.0.1.1.1.2.106.461	SECTION 240.16e-1	240.16e-1 Arbitrage transactions under section 16.
17:4.0.1.1.1.2.107	SUBJGRP 107	Preservation of Records and Reports of Certain Stabilizing Activities
17:4.0.1.1.1.2.107.462	SECTION 240.17a-1	240.17a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
17:4.0.1.1.1.2.107.463	SECTION 240.17a-2	240.17a-2 Recordkeeping requirements relating to stabilizing activities.
17:4.0.1.1.1.2.107.464	SECTION 240.17a-3	240.17a-3 Records to be made by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.465	SECTION 240.17a-4	240.17a-4 Records to be preserved by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.466	SECTION 240.17a-5	240.17a-5 Reports to be made by certain brokers and dealers.
17:4.0.1.1.1.2.107.467	SECTION 240.17a-6	240.17a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
17:4.0.1.1.1.2.107.468	SECTION 240.17a-7	240.17a-7 Records of non-resident brokers and dealers.
17:4.0.1.1.1.2.107.469	SECTION 240.17a-8	240.17a-8 Financial recordkeeping and reporting of currency and foreign transactions.
17:4.0.1.1.1.2.107.470	SECTION 240.17a-9T	240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.471	SECTION 240.17a-10	240.17a-10 Report on revenue and expenses.
17:4.0.1.1.1.2.107.472	SECTION 240.17a-11	240.17a-11 Notification provisions for brokers and dealers.
17:4.0.1.1.1.2.107.473	SECTION 240.17a-12	240.17a-12 Reports to be made by certain OTC derivatives dealers.
17:4.0.1.1.1.2.107.474	SECTION 240.17a-13	240.17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17:4.0.1.1.1.2.107.475	SECTION 240.17a-14	240.17a-14 Form CRS, for preparation, filing and delivery of Form CRS.
17:4.0.1.1.1.2.107.476	SECTION 240.17a-18	240.17a-18 [Reserved]
17:4.0.1.1.1.2.107.477	SECTION 240.17a-19	240.17a-19 Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
17:4.0.1.1.1.2.107.478	SECTION 240.17a-21	240.17a-21 Reports of the Municipal Securities Rulemaking Board.
17:4.0.1.1.1.2.107.479	SECTION 240.17a-22	240.17a-22 Supplemental material of registered clearing agencies.
17:4.0.1.1.1.2.107.480	SECTION 240.17a-25	240.17a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
17:4.0.1.1.1.2.107.481	SECTION 240.17d-1	240.17d-1 Examination for compliance with applicable financial responsibility rules.
17:4.0.1.1.1.2.107.482	SECTION 240.17d-2	240.17d-2 Program for allocation of regulatory responsibility.
17:4.0.1.1.1.2.107.483	SECTION 240.17f-1	240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
17:4.0.1.1.1.2.107.484	SECTION 240.17f-2	240.17f-2 Fingerprinting of securities industry personnel.
17:4.0.1.1.1.2.108	SUBJGRP 108	Nationally Recognized Statistical Rating Organizations
17:4.0.1.1.1.2.108.485	SECTION 240.17g-1	240.17g-1 Application for registration as a nationally recognized statistical rating organization.
17:4.0.1.1.1.2.108.486	SECTION 240.17g-2	240.17g-2 Records to be made and retained by nationally recognized statistical rating organizations.
17:4.0.1.1.1.2.108.487	SECTION 240.17g-3	240.17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
17:4.0.1.1.1.2.108.488	SECTION 240.17g-4	240.17g-4 Prevention of misuse of material nonpublic information.
17:4.0.1.1.1.2.108.489	SECTION 240.17g-5	240.17g-5 Conflicts of interest.
17:4.0.1.1.1.2.108.490	SECTION 240.17g-6	240.17g-6 Prohibited acts and practices.
17:4.0.1.1.1.2.108.491	SECTION 240.17g-7	240.17g-7 Disclosure requirements.
17:4.0.1.1.1.2.108.492	SECTION 240.17g-8	240.17g-8 Policies, procedures, and internal controls.
17:4.0.1.1.1.2.108.493	SECTION 240.17g-9	240.17g-9 Standards of training, experience, and competence for credit analysts.
17:4.0.1.1.1.2.108.494	SECTION 240.17g-10	240.17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
17:4.0.1.1.1.2.108.495	SECTION 240.17h-1T	240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
17:4.0.1.1.1.2.108.496	SECTION 240.17h-2T	240.17h-2T Risk assessment reporting requirements for brokers and dealers.
17:4.0.1.1.1.2.108.497	SECTION 240.17Ab2-1	240.17Ab2-1 Registration of clearing agencies.
17:4.0.1.1.1.2.108.498	SECTION 240.17Ab2-2	240.17Ab2-2 Determinations affecting covered clearing agencies.
17:4.0.1.1.1.2.108.499	SECTION 240.17Ac2-1	240.17Ac2-1 Application for registration of transfer agents.
17:4.0.1.1.1.2.108.500	SECTION 240.17Ac2-2	240.17Ac2-2 Annual reporting requirement for registered transfer agents.
17:4.0.1.1.1.2.108.501	SECTION 240.17Ac3-1	240.17Ac3-1 Withdrawal from registration with the Commission.
17:4.0.1.1.1.2.108.502	SECTION 240.17Ad-1	240.17Ad-1 Definitions.
17:4.0.1.1.1.2.108.503	SECTION 240.17Ad-2	240.17Ad-2 Turnaround, processing, and forwarding of items.
17:4.0.1.1.1.2.108.504	SECTION 240.17Ad-3	240.17Ad-3 Limitations on expansion.
17:4.0.1.1.1.2.108.505	SECTION 240.17Ad-4	240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
17:4.0.1.1.1.2.108.506	SECTION 240.17Ad-5	240.17Ad-5 Written inquiries and requests.
17:4.0.1.1.1.2.108.507	SECTION 240.17Ad-6	240.17Ad-6 Recordkeeping.
17:4.0.1.1.1.2.108.508	SECTION 240.17Ad-7	240.17Ad-7 Record retention.
17:4.0.1.1.1.2.108.509	SECTION 240.17Ad-8	240.17Ad-8 Securities position listings.
17:4.0.1.1.1.2.108.510	SECTION 240.17Ad-9	240.17Ad-9 Definitions.
17:4.0.1.1.1.2.108.511	SECTION 240.17Ad-10	240.17Ad-10 Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.
17:4.0.1.1.1.2.108.512	SECTION 240.17Ad-11	240.17Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
17:4.0.1.1.1.2.108.513	SECTION 240.17Ad-12	240.17Ad-12 Safeguarding of funds and securities.
17:4.0.1.1.1.2.108.514	SECTION 240.17Ad-13	240.17Ad-13 Annual study and evaluation of internal accounting control.
17:4.0.1.1.1.2.108.515	SECTION 240.17Ad-14	240.17Ad-14 Tender agents.
17:4.0.1.1.1.2.108.516	SECTION 240.17Ad-15	240.17Ad-15 Signature guarantees.
17:4.0.1.1.1.2.108.517	SECTION 240.17Ad-16	240.17Ad-16 Notice of assumption or termination of transfer agent services.
17:4.0.1.1.1.2.108.518	SECTION 240.17Ad-17	240.17Ad-17 Lost securityholders and unresponsive payees.
17:4.0.1.1.1.2.108.519	SECTION 240.17Ad-18	240.17Ad-18 Year 2000 Reports to be made by certain transfer agents.
17:4.0.1.1.1.2.108.520	SECTION 240.17Ad-19	240.17Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
17:4.0.1.1.1.2.108.521	SECTION 240.17Ad-20	240.17Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
17:4.0.1.1.1.2.108.522	SECTION 240.17Ad-21T	240.17Ad-21T Operational capability in a Year 2000 environment.
17:4.0.1.1.1.2.108.523	SECTION 240.17Ad-22	240.17Ad-22 Standards for clearing agencies.
17:4.0.1.1.1.2.108.524	SECTION 240.17Ad-24	240.17Ad-24 xxx
17:4.0.1.1.1.2.109	SUBJGRP 109	Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
17:4.0.1.1.1.2.109.525	SECTION 240.18a-1	240.18a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.526	SECTION 240.18a-1a	240.18a-1a Options.
17:4.0.1.1.1.2.109.527	SECTION 240.18a-1b	240.18a-1b Adjustments to net worth for certain commodities transactions.
17:4.0.1.1.1.2.109.528	SECTION 240.18a-1c	240.18a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
17:4.0.1.1.1.2.109.529	SECTION 240.18a-1d	240.18a-1d Satisfactory Subordinated Loan Agreements.
17:4.0.1.1.1.2.109.530	SECTION 240.18a-2	240.18a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.531	SECTION 240.18a-3	240.18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.532	SECTION 240.18a-4	240.18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.533	SECTION 240.18a-4a	240.18a-4a Exhibit A - Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
17:4.0.1.1.1.2.109.534	SECTION 240.18a-5	240.18a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.535	SECTION 240.18a-6	240.18a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.536	SECTION 240.18a-7	240.18a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.537	SECTION 240.18a-8	240.18a-8 Notification provisions for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.538	SECTION 240.18a-9	240.18a-9 Quarterly security counts to be made by certain security-based swap dealers.
17:4.0.1.1.1.2.109.539	SECTION 240.18a-10	240.18a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
17:4.0.1.1.1.2.110	SUBJGRP 110	Suspension and Expulsion of Exchange Members
17:4.0.1.1.1.2.110.540	SECTION 240.19a3-1	240.19a3-1 [Reserved]
17:4.0.1.1.1.2.110.541	SECTION 240.19b-3	240.19b-3 [Reserved]
17:4.0.1.1.1.2.110.542	SECTION 240.19b-4	240.19b-4 Filings with respect to proposed rule changes by self-regulatory organizations.
17:4.0.1.1.1.2.110.543	SECTION 240.19b-5	240.19b-5 Temporary exemption from the filing requirements of Section 19(b) of the Act.
17:4.0.1.1.1.2.110.544	SECTION 240.19b-7	240.19b-7 Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
17:4.0.1.1.1.2.110.545	SECTION 240.19c-1	240.19c-1 Governing certain off-board agency transactions by members of national securities exchanges.
17:4.0.1.1.1.2.110.546	SECTION 240.19c-3	240.19c-3 Governing off-board trading by members of national securities exchanges.
17:4.0.1.1.1.2.110.547	SECTION 240.19c-4	240.19c-4 Governing certain listing or authorization determinations by national securities exchanges and associations.
17:4.0.1.1.1.2.110.548	SECTION 240.19c-5	240.19c-5 Governing the multiple listing of options on national securities exchanges.
17:4.0.1.1.1.2.110.549	SECTION 240.19d-1	240.19d-1 Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
17:4.0.1.1.1.2.110.550	SECTION 240.19d-2	240.19d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
17:4.0.1.1.1.2.110.551	SECTION 240.19d-3	240.19d-3 Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
17:4.0.1.1.1.2.110.552	SECTION 240.19d-4	240.19d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
17:4.0.1.1.1.2.110.553	SECTION 240.19g2-1	240.19g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
17:4.0.1.1.1.2.110.554	SECTION 240.19h-1	240.19h-1 Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.
17:4.0.1.1.1.2.111	SUBJGRP 111	Securities Whistleblower Incentives and Protections
17:4.0.1.1.1.2.111.555	SECTION 240.21F-1	240.21F-1 General.
17:4.0.1.1.1.2.111.556	SECTION 240.21F-2	240.21F-2 Whistleblower status, award eligibility, confidentiality, and retaliation protections.
17:4.0.1.1.1.2.111.557	SECTION 240.21F-3	240.21F-3 Payment of awards.
17:4.0.1.1.1.2.111.558	SECTION 240.21F-4	240.21F-4 Other definitions.
17:4.0.1.1.1.2.111.559	SECTION 240.21F-5	240.21F-5 Amount of award.
17:4.0.1.1.1.2.111.560	SECTION 240.21F-6	240.21F-6 Criteria for determining amount of award.
17:4.0.1.1.1.2.111.561	SECTION 240.21F-7	240.21F-7 Confidentiality of submissions.
17:4.0.1.1.1.2.111.562	SECTION 240.21F-8	240.21F-8 Eligibility and forms.
17:4.0.1.1.1.2.111.563	SECTION 240.21F-9	240.21F-9 Procedures for submitting original information.
17:4.0.1.1.1.2.111.564	SECTION 240.21F-10	240.21F-10 Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
17:4.0.1.1.1.2.111.565	SECTION 240.21F-11	240.21F-11 Procedures for determining awards based upon a related action.
17:4.0.1.1.1.2.111.566	SECTION 240.21F-12	240.21F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.
17:4.0.1.1.1.2.111.567	SECTION 240.21F-13	240.21F-13 Appeals.
17:4.0.1.1.1.2.111.568	SECTION 240.21F-14	240.21F-14 Procedures applicable to the payment of awards.
17:4.0.1.1.1.2.111.569	SECTION 240.21F-15	240.21F-15 No amnesty.
17:4.0.1.1.1.2.111.570	SECTION 240.21F-16	240.21F-16 Awards to whistleblowers who engage in culpable conduct.
17:4.0.1.1.1.2.111.571	SECTION 240.21F-17	240.21F-17 Staff communications with individuals reporting possible securities law violations.
17:4.0.1.1.1.2.111.572	SECTION 240.21F-18	240.21F-18 Summary disposition.
17:4.0.1.1.1.2.112	SUBJGRP 112	Inspection and Publication of Information Filed Under the Act
17:4.0.1.1.1.2.112.573	SECTION 240.24b-1	240.24b-1 Documents to be kept public by exchanges.
17:4.0.1.1.1.2.112.574	SECTION 240.24b-2	240.24b-2 Nondisclosure of information filed with the Commission and with any exchange.
17:4.0.1.1.1.2.112.575	SECTION 240.24b-3	240.24b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.
17:4.0.1.1.1.2.112.576	SECTION 240.24c-1	240.24c-1 Access to nonpublic information.
17:4.0.1.1.1.2.112.577	SECTION 240.31	240.31 Section 31 transaction fees.
17:4.0.1.1.1.2.112.578	SECTION 240.31T	240.31T Temporary rule regarding fiscal year 2004.
17:4.0.1.1.1.2.112.579	SECTION 240.36a1-1	240.36a1-1 Exemption from Section 7 for OTC derivatives dealers.
17:4.0.1.1.1.2.112.580	SECTION 240.36a1-2	240.36a1-2 Exemption from SIPA for OTC derivatives dealers.

---