| | |
|---|
| 17:4.0.1.1.1 | PART 240
| PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 | |
| 17:4.0.1.1.1.1.58 | SUBJGRP 58
| Rules of General Application | |
| 17:4.0.1.1.1.1.59 | SUBJGRP 59
| Definition of “Equity Security” as Used in Sections 12(g) and 16 | |
| 17:4.0.1.1.1.1.60 | SUBJGRP 60
| Miscellaneous Exemptions | |
| 17:4.0.1.1.1.1.61 | SUBJGRP 61
| Security-Based Swap Dealer and Participant Definitions | |
| 17:4.0.1.1.1.1.62 | SUBJGRP 62
| Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping | |
| 17:4.0.1.1.1.1.63 | SUBJGRP 63
| Definitions | |
| 17:4.0.1.1.1.1.64 | SUBJGRP 64
| Clearing of Security-Based Swaps | |
| 17:4.0.1.1.1.1.65 | SUBJGRP 65
| Registration and Exemption of Exchanges | |
| 17:4.0.1.1.1.1.66 | SUBJGRP 66
| Hypothecation of Customers' Securities | |
| 17:4.0.1.1.1.1.67 | SUBJGRP 67
| Manipulative and Deceptive Devices and Contrivances | |
| 17:4.0.1.1.1.1.68 | SUBJGRP 68
| Reports Under Section 10A | |
| 17:4.0.1.1.1.1.69 | SUBJGRP 69
| Requirements Under Section 10C | |
| 17:4.0.1.1.1.1.70 | SUBJGRP 70
| Adoption of Floor Trading Regulation (Rule 11a-1) | |
| 17:4.0.1.1.1.1.71 | SUBJGRP 71
| Adoption of Regulation on Conduct of Specialists | |
| 17:4.0.1.1.1.1.72 | SUBJGRP 72
| Exemption of Certain Securities From Section 11(d)(1) | |
| 17:4.0.1.1.1.1.73 | SUBJGRP 73
| Securities Exempted From Registration | |
| 17:4.0.1.1.1.1.74 | SUBJGRP 74
| Regulation 12B: Registration and Reporting | |
| 17:4.0.1.1.1.2.75 | SUBJGRP 75
| General | |
| 17:4.0.1.1.1.2.76 | SUBJGRP 76
| Formal Requirements | |
| 17:4.0.1.1.1.2.77 | SUBJGRP 77
| General Requirements as to Contents | |
| 17:4.0.1.1.1.2.78 | SUBJGRP 78
| Exhibits | |
| 17:4.0.1.1.1.2.79 | SUBJGRP 79
| Special Provisions | |
| 17:4.0.1.1.1.2.80 | SUBJGRP 80
| Certification by Exchanges and Effectiveness of Registration | |
| 17:4.0.1.1.1.2.81 | SUBJGRP 81
| Suspension of Trading, Withdrawal, and Striking From Listing and Registration | |
| 17:4.0.1.1.1.2.82 | SUBJGRP 82
| Unlisted Trading | |
| 17:4.0.1.1.1.2.83 | SUBJGRP 83
| Extensions and Temporary Exemptions; Definitions | |
| 17:4.0.1.1.1.2.84 | SUBJGRP 84
| Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12 | |
| 17:4.0.1.1.1.2.85 | SUBJGRP 85
| Other Reports | |
| 17:4.0.1.1.1.2.86 | SUBJGRP 86
| Regulation 13b-2: Maintenance of Records and Preparation of Required Reports | |
| 17:4.0.1.1.1.2.87 | SUBJGRP 87
| Regulation 13D-G | |
| 17:4.0.1.1.1.2.88 | SUBJGRP 88
| Regulation 14A: Solicitation of Proxies | |
| 17:4.0.1.1.1.2.89 | SUBJGRP 89
| Regulation 14C: Distribution of Information Pursuant to Section 14(c) | |
| 17:4.0.1.1.1.2.90 | SUBJGRP 90
| Regulation 14D | |
| 17:4.0.1.1.1.2.91 | SUBJGRP 91
| Regulation 14E | |
| 17:4.0.1.1.1.2.92 | SUBJGRP 92
| Regulation 14N: Filings Required by Certain Nominating Shareholders | |
| 17:4.0.1.1.1.2.93 | SUBJGRP 93
| Exemption of Certain OTC Derivatives Dealers | |
| 17:4.0.1.1.1.2.94 | SUBJGRP 94
| Exemption of Certain Securities From Section 15(a) | |
| 17:4.0.1.1.1.2.95 | SUBJGRP 95
| Registration of Brokers and Dealers | |
| 17:4.0.1.1.1.2.96 | SUBJGRP 96
| Rules Relating to Over-the-Counter Markets | |
| 17:4.0.1.1.1.2.97 | 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 | |
| 17:4.0.1.1.1.2.99 | SUBJGRP 99
| Other Reports | |
| 17:4.0.1.1.1.2.100 | SUBJGRP 100
| Exemption of Certain Issuers From Section 15(d) of the Act | |
| 17:4.0.1.1.1.2.101 | SUBJGRP 101
| National and Affiliated Securities Associations | |
| 17:4.0.1.1.1.2.102 | SUBJGRP 102
| Registration of Government Securities Brokers and Government Securities Dealers | |
| 17:4.0.1.1.1.2.103 | SUBJGRP 103
| Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants | |
| 17:4.0.1.1.1.2.104 | SUBJGRP 104
| Exemption of Certain Transactions From Section 16(b) | |
| 17:4.0.1.1.1.2.105 | SUBJGRP 105
| Exemption of Certain Transactions From Section 16(c) | |
| 17:4.0.1.1.1.2.106 | SUBJGRP 106
| Arbitrage Transactions | |
| 17:4.0.1.1.1.2.107 | SUBJGRP 107
| Preservation of Records and Reports of Certain Stabilizing Activities | |
| 17:4.0.1.1.1.2.108 | SUBJGRP 108
| Nationally Recognized Statistical Rating Organizations | |
| 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 | |
| 17:4.0.1.1.1.2.110 | SUBJGRP 110
| Suspension and Expulsion of Exchange Members | |
| 17:4.0.1.1.1.2.111 | SUBJGRP 111
| Securities Whistleblower Incentives and Protections | |
| 17:4.0.1.1.1.2.112 | SUBJGRP 112
| Inspection and Publication of Information Filed Under the Act | |
| 17:4.0.1.1.2 | PART 241
| PART 241 - INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER | |
| 17:4.0.1.1.3 | PART 242
| PART 242 - REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES | |
| 17:4.0.1.1.3.0.113 | SUBJGRP 113
| Regulation M | |
| 17:4.0.1.1.3.0.114 | SUBJGRP 114
| Regulation SHO - Regulation of Short Sales | |
| 17:4.0.1.1.3.0.115 | SUBJGRP 115
| Regulation ATS - Alternative Trading Systems | |
| 17:4.0.1.1.3.0.116 | SUBJGRP 116
| Customer Margin Requirements for Security Futures | |
| 17:4.0.1.1.3.0.117 | SUBJGRP 117
| Regulation AC - Analyst Certification | |
| 17:4.0.1.1.3.0.118 | SUBJGRP 118
| Regulation NMS - Regulation of the National Market System | |
| 17:4.0.1.1.3.0.119 | SUBJGRP 119
| Regulation SBSR - Regulatory Reporting and Public Dissemination of Security-Based Swap Information | |
| 17:4.0.1.1.4 | PART 243
| PART 243 - REGULATION FD | |
| 17:4.0.1.1.5 | PART 244
| PART 244 - REGULATION G | |
| 17:4.0.1.1.6 | PART 245
| PART 245 - REGULATION BLACKOUT TRADING RESTRICTION | |
| 17:4.0.1.1.7 | PART 246
| PART 246 - CREDIT RISK RETENTION | |
| 17:4.0.1.1.8 | PART 247
| PART 247 - REGULATION R - EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER | |
| 17:4.0.1.1.9 | PART 248
| PART 248 - REGULATIONS S-P, S-AM, AND S-ID | |
| 17:4.0.1.1.9.1.124 | SUBJGRP 124
| Privacy and Opt Out Notices | |
| 17:4.0.1.1.9.1.125 | SUBJGRP 125
| Limits on Disclosures | |
| 17:4.0.1.1.9.1.126 | SUBJGRP 126
| Exceptions | |
| 17:4.0.1.1.9.1.127 | SUBJGRP 127
| Relation to Other Laws; Effective Date | |
| 17:4.0.1.1.10 | PART 249
| PART 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934 | |
| 17:4.0.1.1.11 | PART 249a
| PART 249a - FORMS, SECURITIES INVESTOR PROTECTION ACT OF 1970 [RESERVED] | |
| 17:4.0.1.1.12 | PART 249b
| PART 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934 | |
| 17:4.0.1.1.13 | PART 250
| PART 250 - CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY | |
| 17:4.0.1.1.14 | PART 251-254
| PARTS 251-254 [RESERVED] | |
| 17:4.0.1.1.15 | PART 255
| PART 255 - PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS | |
| 17:4.0.1.1.16 | PART 256-259
| PARTS 256-259 [RESERVED] | |
| 17:4.0.1.1.17 | PART 260
| PART 260 - GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 | |
| 17:4.0.1.1.17.0.128 | SUBJGRP 128
| Terms Used in the Rules and Regulations | |
| 17:4.0.1.1.17.0.129 | SUBJGRP 129
| Office of the Commission | |
| 17:4.0.1.1.17.0.130 | SUBJGRP 130
| Rules Under Section 303 | |
| 17:4.0.1.1.17.0.131 | SUBJGRP 131
| Rules Under Section 304 | |
| 17:4.0.1.1.17.0.132 | SUBJGRP 132
| Rules Under Section 305 | |
| 17:4.0.1.1.17.0.133 | SUBJGRP 133
| Rules Under Section 307 | |
| 17:4.0.1.1.17.0.134 | SUBJGRP 134
| Applications for Qualification of Indentures | |
| 17:4.0.1.1.17.0.135 | SUBJGRP 135
| General Requirements as to Form and Content of Applications, Statements and Reports | |
| 17:4.0.1.1.17.0.136 | SUBJGRP 136
| General | |
| 17:4.0.1.1.17.0.137 | SUBJGRP 137
| Formal Requirements | |
| 17:4.0.1.1.17.0.138 | SUBJGRP 138
| General Requirements as to Contents | |
| 17:4.0.1.1.17.0.139 | SUBJGRP 139
| Incorporation by Reference | |
| 17:4.0.1.1.17.0.140 | SUBJGRP 140
| Exhibits | |
| 17:4.0.1.1.17.0.141 | SUBJGRP 141
| Amendments | |
| 17:4.0.1.1.17.0.142 | SUBJGRP 142
| Inspection and Publication of Applications, Statements and Reports | |
| 17:4.0.1.1.17.0.143 | SUBJGRP 143
| Rule Under Section 310 | |
| 17:4.0.1.1.17.0.144 | SUBJGRP 144
| Rules Under Section 311 | |
| 17:4.0.1.1.17.0.145 | SUBJGRP 145
| Rules Under Section 314 | |
| 17:4.0.1.1.17.0.146 | SUBJGRP 146
| Periodic Reports | |
| 17:4.0.1.1.18 | PART 261
| PART 261 - INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER | |
| 17:4.0.1.1.19 | PART 269
| PART 269 - FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 | |
| 17:4.0.1.1.20 | PART 270
| PART 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 | |
| 17:4.0.1.1.21 | PART 271
| PART 271 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT COMPANY ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER | |
| 17:4.0.1.1.22 | PART 274
| PART 274 - FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | |
| 17:4.0.1.1.23 | PART 275
| PART 275 - RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 | |
| 17:4.0.1.1.24 | PART 276
| PART 276 - INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER | |
| 17:4.0.1.1.25 | PART 279
| PART 279 - FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940 | |
| 17:4.0.1.1.26 | PART 281
| PART 281 - INTERPRETATIVE RELEASES RELATING TO CORPORATE REORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY ACT | |
| 17:4.0.1.1.27 | PART 285
| PART 285 - RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT | |
| 17:4.0.1.1.27.0.147 | SUBJGRP 147
| Schedule A to Part 285 | |
| 17:4.0.1.1.28 | PART 286
| PART 286 - GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE INTER-AMERICAN DEVELOPMENT BANK ACT | |
| 17:4.0.1.1.29 | PART 287
| PART 287 - GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT | |
| 17:4.0.1.1.30 | PART 288
| PART 288 - GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE AFRICAN DEVELOPMENT BANK ACT | |
| 17:4.0.1.1.31 | PART 289
| PART 289 - GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 13(a) OF THE INTERNATIONAL FINANCE CORPORATION ACT | |
| 17:4.0.1.1.32 | PART 290
| PART 290 - GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ACT | |
| 17:4.0.1.1.33 | PART 300
| PART 300 - RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | |
| 17:4.0.1.1.33.0.148 | SUBJGRP 148
| Accounts of “Separate” Customers of SIPC Members | |
| 17:4.0.1.1.33.0.149 | SUBJGRP 149
| Accounts Introduced by Other Brokers or Dealers | |
| 17:4.0.1.1.33.0.150 | SUBJGRP 150
| Closeout or Completion of Open Contractual Commitments | |
| 17:4.0.1.1.33.0.151 | SUBJGRP 151
| Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities” | |
| 17:4.0.1.1.33.0.152 | SUBJGRP 152
| Rules Relating to Supplemental Report on SIPC Membership | |
| 17:4.0.1.1.34 | PART 301
| PART 301 - FORMS, SECURITIES INVESTOR PROTECTION CORPORATION | |
| 17:4.0.1.1.34.0.153 | SUBJGRP 153
| Forms for Closeout or Completion of Open Contractual Commitments | |
| 17:4.0.1.1.35 | PART 302
| PART 302 - ORDERLY LIQUIDATION OF COVERED BROKERS OR DEALERS | |
| 17:4.0.1.1.36 | PART 301-399
| PARTS 301-399 [RESERVED] | |