Title 17


Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934

17: 58
Rules of General Application
17: 240.0-1
   240.0-1 Definitions.
17: 240.0-2
   240.0-2 Business hours of the Commission.
17: 240.0-3
   240.0-3 Filing of material with the Commission.
17: 240.0-4
   240.0-4 Nondisclosure of information obtained in examinations and investigations.
17: 240.0-5
   240.0-5 Reference to rule by obsolete designation.
17: 240.0-6
   240.0-6 Disclosure detrimental to the national defense or foreign policy.
17: 240.0-8
   240.0-8 Application of rules to registered broker-dealers.
17: 240.0-9
   240.0-9 Payment of fees.
17: 240.0-10
   240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
17: 240.0-11
   240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions.
17: 240.0-12
   240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
17: 240.0-13
   240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
17: 240.3a1-1
   240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
17: 240.3a4-1
   240.3a4-1 Associated persons of an issuer deemed not to be brokers.
17: 240.3a4-2 - 240.3a4-6
   240.3a4-2--240.3a4-6 [Reserved]
17: 240.3a5-1
   240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
17: 240.3a5-2
   240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
17: 240.3a5-3
   240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
17: 59
Definition of “Equity Security” as Used in Sections 12(g) and 16
17: 240.3a11-1
   240.3a11-1 Definition of the term “equity security.”
17: 60
Miscellaneous Exemptions
17: 240.3a12-1
   240.3a12-1 Exemption of certain mortgages and interests in mortgages.
17: 240.3a12-2
   240.3a12-2 [Reserved]
17: 240.3a12-3
   240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
17: 240.3a12-4
   240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
17: 240.3a12-5
   240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
17: 240.3a12-6
   240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
17: 240.3a12-7
   240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
17: 240.3a12-8
   240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
17: 240.3a12-9
   240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
17: 240.3a12-10
   240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
17: 240.3a12-11
   240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
17: 240.3a12-12
   240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
17: 240.3a40-1
   240.3a40-1 Designation of financial responsibility rules.
17: 240.3a43-1
   240.3a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
17: 240.3a44-1
   240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
17: 240.3a51-1
   240.3a51-1 Definition of “penny stock”.
17: 240.3a55-1
   240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
17: 240.3a55-2
   240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
17: 240.3a55-3
   240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17: 240.3a55-4
   240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17: 61
Security-Based Swap Dealer and Participant Definitions
17: 240.3a67-1
   240.3a67-1 Definition of “major security-based swap participant.”
17: 240.3a67-2
   240.3a67-2 Categories of security-based swaps.
17: 240.3a67-3
   240.3a67-3 Definition of “substantial position.”
17: 240.3a67-4
   240.3a67-4 Definition of “hedging or mitigating commercial risk.”
17: 240.3a67-5
   240.3a67-5 Definition of “substantial counterparty exposure.”
17: 240.3a67-6
   240.3a67-6 Definition of “financial entity.”
17: 240.3a67-7
   240.3a67-7 Definition of “highly leveraged.”
17: 240.3a67-8
   240.3a67-8 Timing requirements, reevaluation period, and termination of status.
17: 240.3a67-9
   240.3a67-9 Calculation of major participant status by certain persons.
17: 240.3a67-10
   240.3a67-10 Foreign major security-based swap participants.
17: 62
Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
17: 240.3a68-1a
   240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
17: 240.3a68-1b
   240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
17: 240.3a68-2
   240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
17: 240.3a68-3
   240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
17: 240.3a68-4
   240.3a68-4 Regulation of mixed swaps.
17: 240.3a68-5
   240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt.
17: 240.3a69-1
   240.3a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act - insurance.
17: 240.3a69-2
   240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act - additional products.
17: 240.3a69-3
   240.3a69-3 Books and records requirements for security-based swap agreements.
17: 240.3a71-1
   240.3a71-1 Definition of “security-based swap dealer.”
17: 240.3a71-2
   240.3a71-2 De minimis exception.
17: 240.3a71-2A
   240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
17: 240.3a71-3
   240.3a71-3 Cross-border security-based swap dealing activity.
17: 240.3a71-4
   240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
17: 240.3a71-5
   240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
17: 240.3a71-6
   240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
17: 63
17: 240.3b-1
   240.3b-1 Definition of “listed”.
17: 240.3b-2
   240.3b-2 Definition of “officer”.
17: 240.3b-3
   240.3b-3 [Reserved]
17: 240.3b-4
   240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
17: 240.3b-5
   240.3b-5 Non-exempt securities issued under governmental obligations.
17: 240.3b-6
   240.3b-6 Liability for certain statements by issuers.
17: 240.3b-7
   240.3b-7 Definition of “executive officer”.
17: 240.3b-8
   240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
17: 240.3b-9 - 240.3b-10
   240.3b-9--240.3b-10 [Reserved]
17: 240.3b-11
   240.3b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
17: 240.3b-12
   240.3b-12 Definition of OTC derivatives dealer.
17: 240.3b-13
   240.3b-13 Definition of eligible OTC derivative instrument.
17: 240.3b-14
   240.3b-14 Definition of cash management securities activities.
17: 240.3b-15
   240.3b-15 Definition of ancillary portfolio management securities activities.
17: 240.3b-16
   240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act.
17: 240.3b-17
   240.3b-17 [Reserved]
17: 240.3b-18
   240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act.
17: 240.3b-19
   240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
17: 64
Clearing of Security-Based Swaps
17: 240.3Ca-1
   240.3Ca-1 Stay of clearing requirement and review by the Commission.
17: 240.3Ca-2
   240.3Ca-2 Submission of security-based swaps for clearing.
17: 65
Registration and Exemption of Exchanges
17: 240.6a-1
   240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.
17: 240.6a-2
   240.6a-2 Amendments to application.
17: 240.6a-3
   240.6a-3 Supplemental material to be filed by exchanges.
17: 240.6a-4
   240.6a-4 Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act.
17: 240.6h-1
   240.6h-1 Settlement and regulatory halt requirements for security futures products.
17: 240.6h-2
   240.6h-2 Security future based on note, bond, debenture, or evidence of indebtedness.
17: 240.7c2-1
   240.7c2-1 [Reserved]
17: 66
Hypothecation of Customers' Securities
17: 240.8c-1
   240.8c-1 Hypothecation of customers' securities.
17: 240.9b-1
   240.9b-1 Options disclosure document.
17: 240.10a-1 - 240.10a-2
   240.10a-1--240.10a-2 [Reserved]
17: 67
Manipulative and Deceptive Devices and Contrivances
17: 240.10b-1
   240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
17: 240.10b-2
   240.10b-2 [Reserved]
17: 240.10b-3
   240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers.
17: 240.10b-4
   240.10b-4 [Reserved]
17: 240.10b-5
   240.10b-5 Employment of manipulative and deceptive devices.
17: 240.10b5-1
   240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
17: 240.10b5-2
   240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.
17: 240.10b-6 - 240.10b-8
   240.10b-6--240.10b-8 [Reserved]
17: 240.10b-9
   240.10b-9 Prohibited representations in connection with certain offerings.
17: 240.10b-10
   240.10b-10 Confirmation of transactions.
17: 240.10b-13
   240.10b-13 [Reserved]
17: 240.10b-16
   240.10b-16 Disclosure of credit terms in margin transactions.
17: 240.10b-17
   240.10b-17 Untimely announcements of record dates.
17: 240.10b-18
   240.10b-18 Purchases of certain equity securities by the issuer and others.
17: 240.10b-21
   240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
17: 68
Reports Under Section 10A
17: 240.10A-1
   240.10A-1 Notice to the Commission Pursuant to Section 10A of the Act.
17: 240.10A-2
   240.10A-2 Auditor independence.
17: 240.10A-3
   240.10A-3 Listing standards relating to audit committees.
17: 69
Requirements Under Section 10C
17: 240.10C-1
   240.10C-1 Listing standards relating to compensation committees.
17: 70
Adoption of Floor Trading Regulation (Rule 11a-1)
17: 240.11a-1
   240.11a-1 Regulation of floor trading.
17: 240.11a1-1(T)
   240.11a1-1(T) Transactions yielding priority, parity, and precedence.
17: 240.11a1-2
   240.11a1-2 Transactions for certain accounts of associated persons of members.
17: 240.11a1-3(T)
   240.11a1-3(T) Bona fide hedge transactions in certain securities.
17: 240.11a1-4(T)
   240.11a1-4(T) Bond transactions on national securities exchanges.
17: 240.11a1-5
   240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
17: 240.11a1-6
   240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
17: 240.11a2-2(T)
   240.11a2-2(T) Transactions effected by exchange members through other members.
17: 71
Adoption of Regulation on Conduct of Specialists
17: 240.11b-1
   240.11b-1 Regulation of specialists.
17: 72
Exemption of Certain Securities From Section 11(d)(1)
17: 240.11d1-1
   240.11d1-1 Exemption of certain securities from section 11(d)(1).
17: 240.11d1-2
   240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
17: 240.11d2-1
   240.11d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
17: 73
Securities Exempted From Registration
17: 240.12a-4
   240.12a-4 Exemption of certain warrants from section 12(a).
17: 240.12a-5
   240.12a-5 Temporary exemption of substituted or additional securities.
17: 240.12a-6
   240.12a-6 Exemption of securities underlying certain options from section 12(a).
17: 240.12a-7
   240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
17: 240.12a-8
   240.12a-8 Exemption of depositary shares.
17: 240.12a-9
   240.12a-9 Exemption of standardized options from section 12(a) of the Act.
17: 74
Regulation 12B: Registration and Reporting