Title 17

VOLUME 4

Title 17 - Commodity and Securities Exchanges--Volume 4

17:4  Commodity and Securities Exchanges--Volume 4
17:4.0.1CHAPTER II - SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
      PARTS 240 - 399
17:4.0.1.1.1.1.58      Rules of General Application [SUBJGRP]
17:4.0.1.1.1.1.59      Definition of “Equity Security” as Used in Sections 12(g) and 16 [SUBJGRP]
17:4.0.1.1.1.1.60      Miscellaneous Exemptions [SUBJGRP]
17:4.0.1.1.1.1.61      Security-Based Swap Dealer and Participant Definitions [SUBJGRP]
17:4.0.1.1.1.1.62      Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping [SUBJGRP]
17:4.0.1.1.1.1.63      Definitions [SUBJGRP]
17:4.0.1.1.1.1.64      Clearing of Security-Based Swaps [SUBJGRP]
17:4.0.1.1.1.1.65      Registration and Exemption of Exchanges [SUBJGRP]
17:4.0.1.1.1.1.66      Hypothecation of Customers' Securities [SUBJGRP]
17:4.0.1.1.1.1.67      Manipulative and Deceptive Devices and Contrivances [SUBJGRP]
17:4.0.1.1.1.1.68      Reports Under Section 10A [SUBJGRP]
17:4.0.1.1.1.1.69      Requirements Under Section 10C [SUBJGRP]
17:4.0.1.1.1.1.70      Adoption of Floor Trading Regulation (Rule 11a-1) [SUBJGRP]
17:4.0.1.1.1.1.71      Adoption of Regulation on Conduct of Specialists [SUBJGRP]
17:4.0.1.1.1.1.72      Exemption of Certain Securities From Section 11(d)(1) [SUBJGRP]
17:4.0.1.1.1.1.73      Securities Exempted From Registration [SUBJGRP]
17:4.0.1.1.1.1.74      Regulation 12B: Registration and Reporting [SUBJGRP]
17:4.0.1.1.1.2.75      General [SUBJGRP]
17:4.0.1.1.1.2.76      Formal Requirements [SUBJGRP]
17:4.0.1.1.1.2.77      General Requirements as to Contents [SUBJGRP]
17:4.0.1.1.1.2.78      Exhibits [SUBJGRP]
17:4.0.1.1.1.2.79      Special Provisions [SUBJGRP]
17:4.0.1.1.1.2.80      Certification by Exchanges and Effectiveness of Registration [SUBJGRP]
17:4.0.1.1.1.2.81      Suspension of Trading, Withdrawal, and Striking From Listing and Registration [SUBJGRP]
17:4.0.1.1.1.2.82      Unlisted Trading [SUBJGRP]
17:4.0.1.1.1.2.83      Extensions and Temporary Exemptions; Definitions [SUBJGRP]
17:4.0.1.1.1.2.84      Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12 [SUBJGRP]
17:4.0.1.1.1.2.85      Other Reports [SUBJGRP]
17:4.0.1.1.1.2.86      Regulation 13b-2: Maintenance of Records and Preparation of Required Reports [SUBJGRP]
17:4.0.1.1.1.2.87      Regulation 13D-G [SUBJGRP]
17:4.0.1.1.1.2.88      Regulation 14A: Solicitation of Proxies [SUBJGRP]
17:4.0.1.1.1.2.89      Regulation 14C: Distribution of Information Pursuant to Section 14(c) [SUBJGRP]
17:4.0.1.1.1.2.90      Regulation 14D [SUBJGRP]
17:4.0.1.1.1.2.91      Regulation 14E [SUBJGRP]
17:4.0.1.1.1.2.92      Regulation 14N: Filings Required by Certain Nominating Shareholders [SUBJGRP]
17:4.0.1.1.1.2.93      Exemption of Certain OTC Derivatives Dealers [SUBJGRP]
17:4.0.1.1.1.2.94      Exemption of Certain Securities From Section 15(a) [SUBJGRP]
17:4.0.1.1.1.2.95      Registration of Brokers and Dealers [SUBJGRP]
17:4.0.1.1.1.2.96      Rules Relating to Over-the-Counter Markets [SUBJGRP]
17:4.0.1.1.1.2.97      Regulation 15D: Reports of Registrants Under the Securities Act of 1933 [SUBJGRP]
17:4.0.1.1.1.2.98      Annual Reports [SUBJGRP]
17:4.0.1.1.1.2.99      Other Reports [SUBJGRP]
17:4.0.1.1.1.2.100      Exemption of Certain Issuers From Section 15(d) of the Act [SUBJGRP]
17:4.0.1.1.1.2.101      National and Affiliated Securities Associations [SUBJGRP]
17:4.0.1.1.1.2.102      Registration of Government Securities Brokers and Government Securities Dealers [SUBJGRP]
17:4.0.1.1.1.2.103      Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants [SUBJGRP]
17:4.0.1.1.1.2.104      Exemption of Certain Transactions From Section 16(b) [SUBJGRP]
17:4.0.1.1.1.2.105      Exemption of Certain Transactions From Section 16(c) [SUBJGRP]
17:4.0.1.1.1.2.106      Arbitrage Transactions [SUBJGRP]
17:4.0.1.1.1.2.107      Preservation of Records and Reports of Certain Stabilizing Activities [SUBJGRP]
17:4.0.1.1.1.2.108      Nationally Recognized Statistical Rating Organizations [SUBJGRP]
17:4.0.1.1.1.2.109      Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants [SUBJGRP]
17:4.0.1.1.1.2.110      Suspension and Expulsion of Exchange Members [SUBJGRP]
17:4.0.1.1.1.2.111      Securities Whistleblower Incentives and Protections [SUBJGRP]
17:4.0.1.1.1.2.112      Inspection and Publication of Information Filed Under the Act [SUBJGRP]
17:4.0.1.1.3.0.113      Regulation M [SUBJGRP]
17:4.0.1.1.3.0.114      Regulation SHO - Regulation of Short Sales [SUBJGRP]
17:4.0.1.1.3.0.115      Regulation ATS - Alternative Trading Systems [SUBJGRP]
17:4.0.1.1.3.0.116      Customer Margin Requirements for Security Futures [SUBJGRP]
17:4.0.1.1.3.0.117      Regulation AC - Analyst Certification [SUBJGRP]
17:4.0.1.1.3.0.118      Regulation NMS - Regulation of the National Market System [SUBJGRP]
17:4.0.1.1.3.0.119      Regulation SBSR - Regulatory Reporting and Public Dissemination of Security-Based Swap Information [SUBJGRP]
17:4.0.1.1.9.1.124      Privacy and Opt Out Notices [SUBJGRP]
17:4.0.1.1.9.1.125      Limits on Disclosures [SUBJGRP]
17:4.0.1.1.9.1.126      Exceptions [SUBJGRP]
17:4.0.1.1.9.1.127      Relation to Other Laws; Effective Date [SUBJGRP]
17:4.0.1.1.17.0.128      Terms Used in the Rules and Regulations [SUBJGRP]
17:4.0.1.1.17.0.129      Office of the Commission [SUBJGRP]
17:4.0.1.1.17.0.130      Rules Under Section 303 [SUBJGRP]
17:4.0.1.1.17.0.131      Rules Under Section 304 [SUBJGRP]
17:4.0.1.1.17.0.132      Rules Under Section 305 [SUBJGRP]
17:4.0.1.1.17.0.133      Rules Under Section 307 [SUBJGRP]
17:4.0.1.1.17.0.134      Applications for Qualification of Indentures [SUBJGRP]
17:4.0.1.1.17.0.135      General Requirements as to Form and Content of Applications, Statements and Reports [SUBJGRP]
17:4.0.1.1.17.0.136      General [SUBJGRP]
17:4.0.1.1.17.0.137      Formal Requirements [SUBJGRP]
17:4.0.1.1.17.0.138      General Requirements as to Contents [SUBJGRP]
17:4.0.1.1.17.0.139      Incorporation by Reference [SUBJGRP]
17:4.0.1.1.17.0.140      Exhibits [SUBJGRP]
17:4.0.1.1.17.0.141      Amendments [SUBJGRP]
17:4.0.1.1.17.0.142      Inspection and Publication of Applications, Statements and Reports [SUBJGRP]
17:4.0.1.1.17.0.143      Rule Under Section 310 [SUBJGRP]
17:4.0.1.1.17.0.144      Rules Under Section 311 [SUBJGRP]
17:4.0.1.1.17.0.145      Rules Under Section 314 [SUBJGRP]
17:4.0.1.1.17.0.146      Periodic Reports [SUBJGRP]
17:4.0.1.1.27.0.147      Schedule A to Part 285 [SUBJGRP]
17:4.0.1.1.33.0.148      Accounts of “Separate” Customers of SIPC Members [SUBJGRP]
17:4.0.1.1.33.0.149      Accounts Introduced by Other Brokers or Dealers [SUBJGRP]
17:4.0.1.1.33.0.150      Closeout or Completion of Open Contractual Commitments [SUBJGRP]
17:4.0.1.1.33.0.151      Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities” [SUBJGRP]
17:4.0.1.1.33.0.152      Rules Relating to Supplemental Report on SIPC Membership [SUBJGRP]
17:4.0.1.1.34.0.153      Forms for Closeout or Completion of Open Contractual Commitments [SUBJGRP]
17:4.0.2CHAPTER IV - DEPARTMENT OF THE TREASURY
      PARTS 400 - 499
17:4.0.2.1  SUBCHAPTER A - REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
      PARTS 400 - 449
17:4.0.2.2  SUBCHAPTER B - REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986
      PARTS 450 - 499