Title 17

PART 240 SUBPART B

Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]

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