Title 17

Volume 4 CHAPTER Ii

Chapter Ii - Securities And Exchange Commission (continued)

CHAPTER II - SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

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