| 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. | |