Sections
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240.0-1
§ 240.0-1 Definitions. -
240.0-2
§ 240.0-2 Business hours of the Commission. -
240.0-3
§ 240.0-3 Filing of material with the Commission. -
240.0-4
§ 240.0-4 Nondisclosure of information obtained in examinations and investigations. -
240.0-5
§ 240.0-5 Reference to rule by obsolete designation. -
240.0-6
§ 240.0-6 Disclosure detrimental to the national defense or foreign policy. -
240.0-8
§ 240.0-8 Application of rules to registered broker-dealers. -
240.0-9
§ 240.0-9 Payment of filing fees. -
240.0-10
§ 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act. -
240.0-11
§ 240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions. -
240.0-12
§ 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act. -
240.0-13
§ 240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act. -
240.3a1-1
§ 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act. -
240.3a4-1
§ 240.3a4-1 Associated persons of an issuer deemed not to be brokers. -
240.3a4-2 - 240.3a4-6
§§ 240.3a4-2-240.3a4-6 [Reserved] -
240.3a5-1
§ 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions. -
240.3a5-2
§ 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S. -
240.3a5-3
§ 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions. -
240.3a5-4
§ 240.3a5-4 Further definition of “as a part of a regular business” in connection with certain liquidity providers.