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

1. CFR
2. ›
3. Title 17
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5. Chapter II
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7. Part 240
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9. Subpart A

Contents

• 240.14f-1
  § 240.14f-1 Change in majority of directors.
• 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
• Annual Reports
  Annual Reports Sections 240.13a-1–240.15d-6
• Arbitrage Transactions
  Arbitrage Transactions Section 240.16e-1
• Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
  Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Sections 240.18a-1–240.18a-10
• Certification by Exchanges and Effectiveness of Registration
  Certification by Exchanges and Effectiveness of Registration Sections 240.12d1-1–240.12d1-6
• 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 Issuers From Section 15(<span class="standard">d</span>) of the Act
  Exemption of Certain Issuers From Section 15(<span class="standard">d</span>) of the Act Sections 240.15d-21–240.15l-1
• Exemption of Certain OTC Derivatives Dealers
  Exemption of Certain OTC Derivatives Dealers Section 240.15a-1
• 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
• Exemption of Certain Securities From Section 15(<span class="standard">a</span>)
  Exemption of Certain Securities From Section 15(<span class="standard">a</span>) Sections 240.15a-2–240.15a-5
• Exemption of Certain Transactions From Section 16(<span class="standard">b</span>)
  Exemption of Certain Transactions From Section 16(<span class="standard">b</span>) Sections 240.16b-1–240.16b-8
• Exemption of Certain Transactions From Section 16(<span class="standard">c</span>)
  Exemption of Certain Transactions From Section 16(<span class="standard">c</span>) Sections 240.16c-1–240.16c-4
• Exhibits
  Exhibits Sections 240.12b-30–240.12b-33
• Extensions and Temporary Exemptions; Definitions
  Extensions and Temporary Exemptions; Definitions Sections 240.12g-1–240.12h-7
• Formal Requirements
  Formal Requirements Sections 240.12b-10–240.12b-15
• 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
• General
  General Sections 240.12b-1–240.12b-7
• General Requirements as to Contents
  General Requirements as to Contents Sections 240.12b-20–240.12b-25
• Hypothecation of Customers' Securities
  Hypothecation of Customers' Securities Sections 240.8c-1–240.9b-1
• Inspection and Publication of Information Filed Under the Act
  Inspection and Publication of Information Filed Under the Act Sections 240.24b-1–240.36a1-2
• 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
• National and Affiliated Securities Associations
  National and Affiliated Securities Associations Sections 240.15aa-1–240.15Bc7-1
• Nationally Recognized Statistical Rating Organizations
  Nationally Recognized Statistical Rating Organizations Sections 240.17ab2-1–240.17h-2T
• Other Reports
  Other Reports Sections 240.13a-10–240.15d-20
• Preservation of Records and Reports of Certain Stabilizing Activities
  Preservation of Records and Reports of Certain Stabilizing Activities Sections 240.17a-1–240.17f-2
• Registration and Exemption of Exchanges
  Registration and Exemption of Exchanges Sections 240.6a-1–240.7c2-1
• Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
  Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants Sections 240.15Fb1-1–240.15Ga-2
• Registration of Brokers and Dealers
  Registration of Brokers and Dealers Sections 240.15a-6–240.15b11-1
• Registration of Government Securities Brokers and Government Securities Dealers
  Registration of Government Securities Brokers and Government Securities Dealers Sections 240.15Ca1-1–240.15Cc1-1
• Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
  Regulation 13b-2: Maintenance of Records and Preparation of Required Reports Sections 240.13b2-1–240.13b2-2
• Regulation 13D-G
  Regulation 13D-G Sections 240.13d-1–240.13q-1
• Regulation 14A: Solicitation of Proxies
  Regulation 14A: Solicitation of Proxies Sections 240.14a-1–240.14b-2
• Regulation 14C: Distribution of Information Pursuant to Section 14(<span class="standard">c</span>)
  Regulation 14C: Distribution of Information Pursuant to Section 14(<span class="standard">c</span>) Sections 240.14c-1–240.14c-101
• Regulation 14D
  Regulation 14D Sections 240.14d-1–240.14d-103
• Regulation 14E
  Regulation 14E Sections 240.14e-1–240.14e-8
• Regulation 14N: Filings Required by Certain Nominating Shareholders
  Regulation 14N: Filings Required by Certain Nominating Shareholders Sections 240.14n-1–240.14n-101
• Reports of Directors, Officers, and Principal Shareholders
  Reports of Directors, Officers, and Principal Shareholders Sections 240.16a-1–240.16a-13
• 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
• Rules Relating to Over-the-Counter Markets
  Rules Relating to Over-the-Counter Markets Sections 240.15c1-1–240.15c6-2
• Securities Exempted From Registration
  Securities Exempted From Registration Sections 240.12a-4–240.12a-11
• Securities Whistleblower Incentives and Protections
  Securities Whistleblower Incentives and Protections Sections 240.21F-1–240.21F-18
• Security-Based Swap Dealer and Participant Definitions
  Security-Based Swap Dealer and Participant Definitions Sections 240.3a67-1–240.3a67-10
• Special Provisions
  Special Provisions Sections 240.12b-35–240.12b-37
• Suspension and Expulsion of Exchange Members
  Suspension and Expulsion of Exchange Members Sections 240.19a3-1–240.19h-1
• Suspension of Trading, Withdrawal, and Striking From Listing and Registration
  Suspension of Trading, Withdrawal, and Striking From Listing and Registration Sections 240.12d2-1–240.12d2-2
• Unlisted Trading
  Unlisted Trading Sections 240.12f-1–240.12f-6