Title 17

PART 242

Part 242 - Regulations M, Sho, Ats, Ac, Nms, And Sbsr And Customer Margin Requirements For Security Futures

PART 242 - REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Authority:15 U.S.C. 77g, 77q(a), 77s(a), 78b, 78c, 78g(c)(2), 78i(a), 78j, 78k-1(c), 78l, 78m, 78n, 78o(b), 78o(c), 78o(g), 78q(a), 78q(b), 78q(h), 78w(a), 78dd-1, 78mm, 80a-23, 80a-29, and 80a-37. Source:62 FR 544, Jan. 3, 1997, unless otherwise noted.

17:4.0.1.1.3.0.113SUBJGRP 113
   Regulation M
17:4.0.1.1.3.0.113.1SECTION 242.100
   242.100 Preliminary note; definitions.
17:4.0.1.1.3.0.113.2SECTION 242.101
   242.101 Activities by distribution participants.
17:4.0.1.1.3.0.113.3SECTION 242.102
   242.102 Activities by issuers and selling security holders during a distribution.
17:4.0.1.1.3.0.113.4SECTION 242.103
   242.103 Nasdaq passive market making.
17:4.0.1.1.3.0.113.5SECTION 242.104
   242.104 Stabilizing and other activities in connection with an offering.
17:4.0.1.1.3.0.113.6SECTION 242.105
   242.105 Short selling in connection with a public offering.
17:4.0.1.1.3.0.114SUBJGRP 114
   Regulation SHO - Regulation of Short Sales
17:4.0.1.1.3.0.114.7SECTION 242.200
   242.200 Definition of “short sale” and marking requirements.
17:4.0.1.1.3.0.114.8SECTION 242.201
   242.201 Circuit breaker.
17:4.0.1.1.3.0.114.9SECTION 242.203
   242.203 Borrowing and delivery requirements.
17:4.0.1.1.3.0.114.10SECTION 242.204
   242.204 Close-out requirement.
17:4.0.1.1.3.0.115SUBJGRP 115
   Regulation ATS - Alternative Trading Systems
17:4.0.1.1.3.0.116SUBJGRP 116
   Customer Margin Requirements for Security Futures
17:4.0.1.1.3.0.116.11SECTION 242.300
   242.300 Definitions.
17:4.0.1.1.3.0.116.12SECTION 242.301
   242.301 Requirements for alternative trading systems.
17:4.0.1.1.3.0.116.13SECTION 242.302
   242.302 Recordkeeping requirements for alternative trading systems.
17:4.0.1.1.3.0.116.14SECTION 242.303
   242.303 Record preservation requirements for alternative trading systems.
17:4.0.1.1.3.0.116.15SECTION 242.304
   242.304 NMS Stock ATSs.
17:4.0.1.1.3.0.116.16SECTION 242.400
   242.400 Customer margin requirements for security futures - authority, purpose, interpretation, and scope.
17:4.0.1.1.3.0.116.17SECTION 242.401
   242.401 Definitions.
17:4.0.1.1.3.0.116.18SECTION 242.402
   242.402 General provisions.
17:4.0.1.1.3.0.116.19SECTION 242.403
   242.403 Required margin.
17:4.0.1.1.3.0.116.20SECTION 242.404
   242.404 Type, form and use of margin.
17:4.0.1.1.3.0.116.21SECTION 242.405
   242.405 Withdrawal of margin.
17:4.0.1.1.3.0.116.22SECTION 242.406
   242.406 Undermargined accounts.
17:4.0.1.1.3.0.117SUBJGRP 117
   Regulation AC - Analyst Certification
17:4.0.1.1.3.0.117.23SECTION 242.500
   242.500 Definitions.
17:4.0.1.1.3.0.117.24SECTION 242.501
   242.501 Certifications in connection with research reports.
17:4.0.1.1.3.0.117.25SECTION 242.502
   242.502 Certifications in connection with public appearances.
17:4.0.1.1.3.0.117.26SECTION 242.503
   242.503 Certain foreign research reports.
17:4.0.1.1.3.0.117.27SECTION 242.504
   242.504 Notification to associated persons.
17:4.0.1.1.3.0.117.28SECTION 242.505
   242.505 Exclusion for news media.
17:4.0.1.1.3.0.118SUBJGRP 118
   Regulation NMS - Regulation of the National Market System
17:4.0.1.1.3.0.118.29SECTION 242.600
   242.600 NMS security designation and definitions.
17:4.0.1.1.3.0.118.30SECTION 242.601
   242.601 Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
17:4.0.1.1.3.0.118.31SECTION 242.602
   242.602 Dissemination of quotations in NMS securities.
17:4.0.1.1.3.0.118.32SECTION 242.603
   242.603 Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.
17:4.0.1.1.3.0.118.33SECTION 242.604
   242.604 Display of customer limit orders.
17:4.0.1.1.3.0.118.34SECTION 242.605
   242.605 Disclosure of order execution information.
17:4.0.1.1.3.0.118.35SECTION 242.606
   242.606 Disclosure of order routing information.
17:4.0.1.1.3.0.118.36SECTION 242.607
   242.607 Customer account statements.
17:4.0.1.1.3.0.118.37SECTION 242.608
   242.608 Filing and amendment of national market system plans.
17:4.0.1.1.3.0.118.38SECTION 242.609
   242.609 Registration of securities information processors: form of application and amendments.
17:4.0.1.1.3.0.118.39SECTION 242.610
   242.610 Access to quotations.
17:4.0.1.1.3.0.118.40SECTION 242.610T
   242.610T Equity transaction fee pilot.
17:4.0.1.1.3.0.118.41SECTION 242.611
   242.611 Order protection rule.
17:4.0.1.1.3.0.118.42SECTION 242.612
   242.612 Minimum pricing increment.
17:4.0.1.1.3.0.118.43SECTION 242.613
   242.613 Consolidated audit trail.
17:4.0.1.1.3.0.119SUBJGRP 119
   Regulation SBSR - Regulatory Reporting and Public Dissemination of Security-Based Swap Information
17:4.0.1.1.3.0.119.44SECTION 242.900
   242.900 Definitions.
17:4.0.1.1.3.0.119.45SECTION 242.901
   242.901 Reporting obligations.
17:4.0.1.1.3.0.119.46SECTION 242.902
   242.902 Public dissemination of transaction reports.
17:4.0.1.1.3.0.119.47SECTION 242.903
   242.903 Coded information.
17:4.0.1.1.3.0.119.48SECTION 242.904
   242.904 Operating hours of registered security-based swap data repositories.
17:4.0.1.1.3.0.119.49SECTION 242.905
   242.905 Correction of errors in security-based swap information.
17:4.0.1.1.3.0.119.50SECTION 242.906
   242.906 Other duties of participants.
17:4.0.1.1.3.0.119.51SECTION 242.907
   242.907 Policies and procedures of registered security-based swap data repositories.
17:4.0.1.1.3.0.119.52SECTION 242.908
   242.908 Cross-border matters.
17:4.0.1.1.3.0.119.53SECTION 242.909
   242.909 Registration of security-based swap data repository as a securities information processor.
17:4.0.1.1.3.1SUBPART 0
Regulation SCI - Systems Compliance and Integrity
17:4.0.1.1.3.1.120.1SECTION 242.1000
   242.1000 Definitions.
17:4.0.1.1.3.1.120.2SECTION 242.1001
   242.1001 Obligations related to policies and procedures of SCI entities.
17:4.0.1.1.3.1.120.3SECTION 242.1002
   242.1002 Obligations related to SCI events.
17:4.0.1.1.3.1.120.4SECTION 242.1003
   242.1003 Obligations related to systems changes; SCI review.
17:4.0.1.1.3.1.120.5SECTION 242.1004
   242.1004 SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
17:4.0.1.1.3.1.120.6SECTION 242.1005
   242.1005 Recordkeeping requirements related to compliance with Regulation SCI.
17:4.0.1.1.3.1.120.7SECTION 242.1006
   242.1006 Electronic filing and submission.
17:4.0.1.1.3.1.120.8SECTION 242.1007
   242.1007 Requirements for service bureaus.