Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934

1. CFR
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3. Title 17
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5. Chapter II
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7. Part 240
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9. Subpart A

Subject Groups

• Adoption of Floor Trading Regulation (Rule 11a-1)
  Adoption of Floor Trading Regulation (Rule 11a-1) Sections 240.11a-1–240.11a2-2(T)
• Adoption of Regulation on Conduct of Specialists
  Adoption of Regulation on Conduct of Specialists Section 240.11b-1
• Clearing of Security-Based Swaps
  Clearing of Security-Based Swaps Sections 240.3Ca-1–240.3Ca-2
• Definition of “Equity Security” as Used in Sections 12(<span class="standard">g</span>) and 16
  Definition of “Equity Security” as Used in Sections 12(<span class="standard">g</span>) and 16 Section 240.3a11-1
• Definitions
  Definitions Sections 240.3b-1–240.3b-19
• Exemption of Certain Securities From Section 11(<span class="standard">d</span>)(1)
  Exemption of Certain Securities From Section 11(<span class="standard">d</span>)(1) Sections 240.11d1-1–240.11d2-1
• Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
  Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Sections 240.3a68-1a–240.3a71-6
• Hypothecation of Customers' Securities
  Hypothecation of Customers' Securities Sections 240.8c-1–240.9b-1
• Manipulative and Deceptive Devices and Contrivances
  Manipulative and Deceptive Devices and Contrivances Sections 240.9j-1–240.10c-1a
• Miscellaneous Exemptions
  Miscellaneous Exemptions Sections 240.3a12-1–240.3a55-4
• Registration and Exemption of Exchanges
  Registration and Exemption of Exchanges Sections 240.6a-1–240.7c2-1
• Reports Under Section 10A
  Reports Under Section 10A Sections 240.10A-1–240.10A-3
• Requirements Under Section 10C
  Requirements Under Section 10C Section 240.10C-1
• Requirements Under Section 10D
  Requirements Under Section 10D Section 240.10D-1
• Rules of General Application
  Rules of General Application Sections 240.0-1–240.3a5-4
• Securities Exempted From Registration
  Securities Exempted From Registration Sections 240.12a-4–240.12a-11
• Security-Based Swap Dealer and Participant Definitions
  Security-Based Swap Dealer and Participant Definitions Sections 240.3a67-1–240.3a67-10