Title 17

PART 240

Part 240 - General Rules And Regulations, Securities Exchange Act Of 1934

PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Authority:15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201 et seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted.

Section 240.3a4-1 also issued under secs. 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121 as amended;

Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), and 23(a), 15 U.S.C. 78w(a);

Section 240.3a12-10 also issued under 15 U.S.C. 78b and c;

Section 240.3a12-9 also issued under secs. 3(a)(12), 7(c), 11(d)(1), 15 U.S.C. 78c(a)(12), 78g(c), 78k(d)(1));

Sections 240.3a43-1 and 240.3a44-1 also issued under sec. 3; 15 U.S.C. 78c;

Sections 3a67-1 through 3a67-9 and 3a71-1 and 3a71-2 are also issued under Pub. L. 111-203, §§ 712, 761(b), 124 Stat. 1841 (2010).

Sections 240.3a67-10, 240.3a71-3, 240.3a71-4, and 240.3a71-5 are also issued under Pub. L. 111-203, section 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Sections 240.3a71-3 and 240.3a71-5 are also issued under Pub. L. 111-203, sec. 761(b), 124 Stat. 1754 (2010), and 15 U.S.C. 78dd(c).

Section 240.3b-6 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.3b-9 also issued under secs. 2, 3 and 15, 89 Stat. 97, as amended, 89 Stat. 121, as amended (15 U.S.C. 78b, 78c, 78o);

Section 240.9b-1 is also issued under sec. 2, 7, 10, 19(a), 48 Stat. 74, 78, 81, 85; secs. 201, 205, 209, 120, 48 Stat. 905, 906, 908; secs. 1-4, 8, 68 Stat. 683, 685; sec. 12(a), 73 Stat. 143; sec. 7(a), 74 Stat. 412; sec. 27(a), 84 Stat. 1433; sec. 308(a)(2), 90 Stat. 57; sec. 505, 94 Stat. 2292; secs. 9, 15, 23(a), 48 Stat. 889, 895, 901; sec. 230(a), 49 Stat. 704; secs. 3, 8, 49 Stat. 1377, 1379; sec. 2, 52 Stat. 1075; secs. 6, 10, 78 Stat. 570-574, 580; sec. 11(d), 84 Stat. 121; sec. 18, 89 Stat. 155; sec. 204, 91 Stat. 1500; 15 U.S.C. 77b, 77g, 77j, 77s(a), 78i, 78o, 78w(a);

Section 240.10b-10 is also issued under secs. 2, 3, 9, 10, 11, 11A, 15, 17, 23, 48 Stat. 891, 89 Stat. 97, 121, 137, 156, (15 U.S.C. 78b, 78c, 78i, 78j, 78k, 78k-1, 78o, 78q).

Section 240.12a-7 also issued under 15 U.S.C. 78a et seq., particularly secs. 3(a)(12), 15 U.S.C. 78c(a)(12), 6, 15 U.S.C. 78(f), 11A, 15 U.S.C. 78k, 12, 15 U.S.C. 78(l), and 23(a)(1), 15 U.S.C. 78(w)(a)(1).

Sections 240.12b-1 to 240.12b-36 also issued under secs. 3, 12, 13, 15, 48 Stat. 892, as amended, 894, 895, as amended; 15 U.S.C. 78c, 78l, 78m, 78o;

Section 240.12b-15 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745.

Section 240.12b-25 is also issued under 15 U.S.C. 80a-8, 80a-24(a), 80a-29, and 80a-37.

Section 240.12g-3 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.12g3-2 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.13a-10 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745.

Section 240.13a-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.13a-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13a-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.13d-3 is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Sections 240.13e-4, 240.14d-7, 240.14d-10 and 240.14e-1 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(d) and 14(e), 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(d) and 78n(e) and sec. 23(c) of the Investment Company Act of 1940, 15 U.S.C 80a-23(c);

Sections 240.13e-4 to 240.13e-101 also issued under secs. 3(b), 9(a)(6), 10(b), 13(e), 14(e), 15(c)(1), 48 Stat. 882, 889, 891, 894, 895, 901, sec. 8, 49 Stat. 1379, sec. 5, 78 Stat. 569, 570, secs. 2, 3, 82 Stat. 454, 455, secs. 1, 2, 3-5, 84 Stat. 1497, secs. 3, 18, 89 Stat. 97, 155; 15 U.S.C. 78c(b), 78i(a)(6), 78j(b), 78m(e), 78n(e), 78o(c); sec. 23(c) of the Investment Company Act of 1940; 54 Stat. 825; 15 U.S.C. 80a-23(c);

Section 240.13f-2(T) also issued under sec. 13(f)(1) (15 U.S.C. 78m(f)(1));

Section 240.13p-1 is also issued under sec. 1502, Pub. L. 111-203, 124 Stat. 1376.

Section 240.13q-1 is also issued under sec. 1504, Pub. L. 111-203, 124 Stat. 2220.

Sections 240.14a-1, 240.14a-3, 240.14a-13, 240.14b-1, 240.14b-2, 240.14c-1, and 240.14c-7 also issued under secs. 12, 15 U.S.C. 781, and 14, Pub. L. 99-222, 99 Stat. 1737, 15 U.S.C. 78n;

Sections 240.14a-3, 240.14a-13, 240.14b-1 and 240.14c-7 also issued under secs. 12, 14 and 17, 15 U.S.C. 781, 78n and 78g;

Sections 240.14c-1 to 240.14c-101 also issued under sec. 14, 48 Stat. 895; 15 U.S.C. 78n;

Section 240.14d-1 is also issued under 15 U.S.C. 77g, 77j, 77s(a), 77ttt(a), 80a-37.

Section 240.14e-2 is also issued under 15 U.S.C. 77g, 77h, 77s(a), 77sss, 80a-37(a).

Section 240.14e-4 also issued under the Exchange Act, 15 U.S.C. 78a et seq., and particularly sections 3(b), 10(a), 10(b), 14(e), 15(c), and 23(a) of the Exchange Act (15 U.S.C. 78c(b), 78j(a), 78j(b), 78n(e), 78o(c), and 78w(a)).

Section 240.15a-6, also issued under secs. 3, 10, 15, and 17, 15 U.S.C. 78c, 78j, 78o, and 78q;

Section 240.15b1-3 also issued under sec. 15, 17; 15 U.S.C. 78o 78q;

Sections 240.15b1-3 and 240.15b2-1 also issued under 15 U.S.C. 78o, 78q;

Section 240.15b2-2 also issued under secs. 3, 15; 15 U.S.C. 78c, 78o;

Sections 240.15b10-1 to 240.15b10-9 also issued under secs. 15, 17, 48 Stat. 895, 897, sec. 203, 49 Stat. 704, secs. 4, 8, 49 Stat. 1379, sec. 5, 52 Stat. 1076, sec. 6, 78 Stat. 570; 15 U.S.C. 78o, 78q, 12 U.S.C. 241 nt.;

Section 240.15c2-6, also issued under secs. 3, 10, and 15, 15 U.S.C. 78c, 78j, and 78o.

Section 240.15c2-11 also issued under 15 U.S.C. 78j(b), 78o(c), 78q(a), and 78w(a).

Section 240.15c2-12 also issued under 15 U.S.C. 78b, 78c, 78j, 78o, 78o-4 and 78q.

Section 240.15c3-1 is also issued under 15 U.S.C. 78o(c)(3), 78o-10(d), and 78o-10(e).

Sections 240.15c3-1a, 240.15c3-1e, 240.15c3-1f, 240.15c3-1g are also issued under Pub. L. 111-203, secs. 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15c3-3 is also issued under 15 U.S.C. 78c-5, 78o(c)(2), 78(c)(3), 78q(a), 78w(a); sec. 6(c), 84 Stat. 1652; 15 U.S.C. 78fff.

Section 240.15c3-3(o) is also issued under Pub. L. 106-554, 114 Stat. 2763, section 203.

Section 240.15c3-3a is also issued under Pub. L. 111-203, §§ 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 240.15d-5 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a).

Section 240.15d-10 is also issued under 15 U.S.C. 80a-20(a) and 80a-37(a), and secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-11 is also issued under secs. 3(a) and 306(a), Pub. L. 107-204, 116 Stat. 745.

Section 240.15d-14 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15d-15 is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 240.15l-1 is also issued under Pub. L. 111-203, sec. 913, 124 Stat. 1376, 1827 (2010).

Sections 240.15Ba1-1 through 240.15Ba1-8 are also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Section 240.15Bc4-1 is also issued under sec. 975, Public Law 111-203, 124 Stat. 1376 (2010).

Sections 240.15Ca1-1, 240.15Ca2-1, 240.15Ca2-2, 240.15Ca2-3, 240.15Ca2-4, 240.15Ca2-5, 240.15Cc1-1 also issued under secs. 3, 15C; 15 U.S.C. 78c, 78o-5;

Sections 240.15Fh-1 through 240.15Fh-6 and 240.15Fk-1 are also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-1 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.15Ga-2 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.16a-1(a) is also issued under Public Law 111-203 § 766, 124 Stat. 1799 (2010).

Section 240.17a-3 also issued under secs. 2, 17, 23a, 48 Stat. 897, as amended; 15 U.S.C. 78d-1, 78d-2, 78q; secs. 12, 14, 17, 23(a), 48 Stat. 892, 895, 897, 901; secs. 1, 4, 8, 49 Stat. 1375, 1379; sec. 203(a), 49 Stat. 704; sec. 5, 52 Stat. 1076; sec. 202, 68 Stat. 686; secs. 3, 5, 10, 78 Stat. 565-568, 569, 570, 580; secs. 1, 3, 82 Stat. 454, 455; secs. 28(c), 3-5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 14, 18, 89 Stat. 117, 118, 137, 155; 15 U.S.C. 78l, 78n, 78q, 78w(a);

Section 240.17a-4 also issued under secs. 2, 17, 23(a), 48 Stat. 897, as amended; 15 U.S.C. 78a, 78d-1, 78d-2; sec. 14, Pub. L. 94-29, 89 Stat. 137 (15 U.S.C. 78a); sec. 18, Pub. L. 94-29, 89 Stat. 155 (15 U.S.C. 78w);

Section 240.17a-14 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010)

Section 240.17a-23 also issued under 15 U.S.C. 78b, 78c, 78o, 78q, and 78w(a).

Section 240.17f-1 is also authorized under sections 2, 17 and 17A, 48 Stat. 891, 89 Stat. 137, 141 (15 U.S.C. 78b, 78q, 78q-1);

Section 240.17g-7 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-8 is also issued under sec. 938, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17g-9 is also issued under sec. 936, Pub. L. 111-203, 124 Stat. 1376.

Section 240.17h-1T also issued under 15 U.S.C. 78q.

Sections 240.17Ac2-1(c) and 240.17Ac2-2 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q-1, 78w(a));

Section 240.17Ad-1 is also issued under secs. 2, 17, 17A and 23(a); 48 Stat. 841 as amended, 48 Stat. 897, as amended, 89 Stat. 137, 141, and 48 Stat. 901 (15 U.S.C. 78b, 78q, 78q-1, 78w);

Sections 240.17Ad-5 and 240.17Ad-10 are also issued under secs. 3 and 17A; 48 Stat. 882, as amended, and 89 Stat. (15 U.S.C. 78c and 78q-1);

Section 240.17Ad-7 also issued under 15 U.S.C. 78b, 78q, and 78q-1.

Section 240.17Ad-17 is also issued under Pub. L. 111-203, section 929W, 124 Stat. 1869 (2010).

Section 240.17Ad-22 is also issued under 12 U.S.C. 5461 et seq.

Sections 240.18a-1, 240.18a-1a, 240.18a-1b, 240.18a-1c, 240.18a-1d, 240.18a-2, 240.18a-3, and 240.18a-10 are also issued under 15 U.S.C. 78o-10(d) and 78o-10(e).

Section 240.18a-4 is also issued under 15 U.S.C. 78c-5(f).

Section 240.19b-4 is also issued under 12 U.S.C. 5465(e).

Sections 240.19c-4 also issued under secs. 6, 11A, 14, 15A, 19 and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78o-3, and 78s);

Section 240.19c-5 also issued under Sections 6, 11A, and 19 of the Securities Exchange Act of 1934, 48 Stat. 885, as amended, 89 Stat. 111, as amended, and 48 Stat. 898, as amended, 15 U.S.C. 78f, 78k-1, and 78s.

Section 240.21F is also issued under Pub. L. 111-203, § 922(a), 124 Stat. 1841 (2010).

Section 240.31-1 is also issued under sec. 31, 48 Stat. 904, as amended (15 U.S.C. 78ee).

Editorial Note:Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992. Note:

In §§ 240.0-1 to 240.24b-3, the numbers to the right of the decimal point correspond with the respective rule numbers of the rules and regulations under the Securities Exchange Act of 1934.

ATTENTION ELECTRONIC FILERS

THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

17:4.0.1.1.1.1SUBPART A
Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
17:4.0.1.1.1.1.58SUBJGRP 58
   Rules of General Application
17:4.0.1.1.1.1.58.1SECTION 240.0-1
   240.0-1 Definitions.
17:4.0.1.1.1.1.58.2SECTION 240.0-2
   240.0-2 Business hours of the Commission.
17:4.0.1.1.1.1.58.3SECTION 240.0-3
   240.0-3 Filing of material with the Commission.
17:4.0.1.1.1.1.58.4SECTION 240.0-4
   240.0-4 Nondisclosure of information obtained in examinations and investigations.
17:4.0.1.1.1.1.58.5SECTION 240.0-5
   240.0-5 Reference to rule by obsolete designation.
17:4.0.1.1.1.1.58.6SECTION 240.0-6
   240.0-6 Disclosure detrimental to the national defense or foreign policy.
17:4.0.1.1.1.1.58.7SECTION 240.0-8
   240.0-8 Application of rules to registered broker-dealers.
17:4.0.1.1.1.1.58.8SECTION 240.0-9
   240.0-9 Payment of fees.
17:4.0.1.1.1.1.58.9SECTION 240.0-10
   240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
17:4.0.1.1.1.1.58.10SECTION 240.0-11
   240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions.
17:4.0.1.1.1.1.58.11SECTION 240.0-12
   240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
17:4.0.1.1.1.1.58.12SECTION 240.0-13
   240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
17:4.0.1.1.1.1.58.13SECTION 240.3a1-1
   240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
17:4.0.1.1.1.1.58.14SECTION 240.3a4-1
   240.3a4-1 Associated persons of an issuer deemed not to be brokers.
17:4.0.1.1.1.1.58.15SECTION 240.3a4-2 - 240.3a4-6
   240.3a4-2--240.3a4-6 [Reserved]
17:4.0.1.1.1.1.58.16SECTION 240.3a5-1
   240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
17:4.0.1.1.1.1.58.17SECTION 240.3a5-2
   240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
17:4.0.1.1.1.1.58.18SECTION 240.3a5-3
   240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
17:4.0.1.1.1.1.59SUBJGRP 59
   Definition of “Equity Security” as Used in Sections 12(g) and 16
17:4.0.1.1.1.1.59.19SECTION 240.3a11-1
   240.3a11-1 Definition of the term “equity security.”
17:4.0.1.1.1.1.60SUBJGRP 60
   Miscellaneous Exemptions
17:4.0.1.1.1.1.60.20SECTION 240.3a12-1
   240.3a12-1 Exemption of certain mortgages and interests in mortgages.
17:4.0.1.1.1.1.60.21SECTION 240.3a12-2
   240.3a12-2 [Reserved]
17:4.0.1.1.1.1.60.22SECTION 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.
17:4.0.1.1.1.1.60.23SECTION 240.3a12-4
   240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
17:4.0.1.1.1.1.60.24SECTION 240.3a12-5
   240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
17:4.0.1.1.1.1.60.25SECTION 240.3a12-6
   240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
17:4.0.1.1.1.1.60.26SECTION 240.3a12-7
   240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
17:4.0.1.1.1.1.60.27SECTION 240.3a12-8
   240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
17:4.0.1.1.1.1.60.28SECTION 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).
17:4.0.1.1.1.1.60.29SECTION 240.3a12-10
   240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
17:4.0.1.1.1.1.60.30SECTION 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.
17:4.0.1.1.1.1.60.31SECTION 240.3a12-12
   240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
17:4.0.1.1.1.1.60.32SECTION 240.3a40-1
   240.3a40-1 Designation of financial responsibility rules.
17:4.0.1.1.1.1.60.33SECTION 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.
17:4.0.1.1.1.1.60.34SECTION 240.3a44-1
   240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
17:4.0.1.1.1.1.60.35SECTION 240.3a51-1
   240.3a51-1 Definition of “penny stock”.
17:4.0.1.1.1.1.60.36SECTION 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.
17:4.0.1.1.1.1.60.37SECTION 240.3a55-2
   240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
17:4.0.1.1.1.1.60.38SECTION 240.3a55-3
   240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17:4.0.1.1.1.1.60.39SECTION 240.3a55-4
   240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17:4.0.1.1.1.1.61SUBJGRP 61
   Security-Based Swap Dealer and Participant Definitions
17:4.0.1.1.1.1.61.40SECTION 240.3a67-1
   240.3a67-1 Definition of “major security-based swap participant.”
17:4.0.1.1.1.1.61.41SECTION 240.3a67-2
   240.3a67-2 Categories of security-based swaps.
17:4.0.1.1.1.1.61.42SECTION 240.3a67-3
   240.3a67-3 Definition of “substantial position.”
17:4.0.1.1.1.1.61.43SECTION 240.3a67-4
   240.3a67-4 Definition of “hedging or mitigating commercial risk.”
17:4.0.1.1.1.1.61.44SECTION 240.3a67-5
   240.3a67-5 Definition of “substantial counterparty exposure.”
17:4.0.1.1.1.1.61.45SECTION 240.3a67-6
   240.3a67-6 Definition of “financial entity.”
17:4.0.1.1.1.1.61.46SECTION 240.3a67-7
   240.3a67-7 Definition of “highly leveraged.”
17:4.0.1.1.1.1.61.47SECTION 240.3a67-8
   240.3a67-8 Timing requirements, reevaluation period, and termination of status.
17:4.0.1.1.1.1.61.48SECTION 240.3a67-9
   240.3a67-9 Calculation of major participant status by certain persons.
17:4.0.1.1.1.1.61.49SECTION 240.3a67-10
   240.3a67-10 Foreign major security-based swap participants.
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
17:4.0.1.1.1.1.62.50SECTION 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.
17:4.0.1.1.1.1.62.51SECTION 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.
17:4.0.1.1.1.1.62.52SECTION 240.3a68-2
   240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
17:4.0.1.1.1.1.62.53SECTION 240.3a68-3
   240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
17:4.0.1.1.1.1.62.54SECTION 240.3a68-4
   240.3a68-4 Regulation of mixed swaps.
17:4.0.1.1.1.1.62.55SECTION 240.3a68-5
   240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt.
17:4.0.1.1.1.1.62.56SECTION 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.
17:4.0.1.1.1.1.62.57SECTION 240.3a69-2
   240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act - additional products.
17:4.0.1.1.1.1.62.58SECTION 240.3a69-3
   240.3a69-3 Books and records requirements for security-based swap agreements.
17:4.0.1.1.1.1.62.59SECTION 240.3a71-1
   240.3a71-1 Definition of “security-based swap dealer.”
17:4.0.1.1.1.1.62.60SECTION 240.3a71-2
   240.3a71-2 De minimis exception.
17:4.0.1.1.1.1.62.61SECTION 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).
17:4.0.1.1.1.1.62.62SECTION 240.3a71-3
   240.3a71-3 Cross-border security-based swap dealing activity.
17:4.0.1.1.1.1.62.63SECTION 240.3a71-4
   240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
17:4.0.1.1.1.1.62.64SECTION 240.3a71-5
   240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
17:4.0.1.1.1.1.62.65SECTION 240.3a71-6
   240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.1.63SUBJGRP 63
   Definitions
17:4.0.1.1.1.1.63.66SECTION 240.3b-1
   240.3b-1 Definition of “listed”.
17:4.0.1.1.1.1.63.67SECTION 240.3b-2
   240.3b-2 Definition of “officer”.
17:4.0.1.1.1.1.63.68SECTION 240.3b-3
   240.3b-3 [Reserved]
17:4.0.1.1.1.1.63.69SECTION 240.3b-4
   240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
17:4.0.1.1.1.1.63.70SECTION 240.3b-5
   240.3b-5 Non-exempt securities issued under governmental obligations.
17:4.0.1.1.1.1.63.71SECTION 240.3b-6
   240.3b-6 Liability for certain statements by issuers.
17:4.0.1.1.1.1.63.72SECTION 240.3b-7
   240.3b-7 Definition of “executive officer”.
17:4.0.1.1.1.1.63.73SECTION 240.3b-8
   240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
17:4.0.1.1.1.1.63.74SECTION 240.3b-9 - 240.3b-10
   240.3b-9--240.3b-10 [Reserved]
17:4.0.1.1.1.1.63.75SECTION 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).
17:4.0.1.1.1.1.63.76SECTION 240.3b-12
   240.3b-12 Definition of OTC derivatives dealer.
17:4.0.1.1.1.1.63.77SECTION 240.3b-13
   240.3b-13 Definition of eligible OTC derivative instrument.
17:4.0.1.1.1.1.63.78SECTION 240.3b-14
   240.3b-14 Definition of cash management securities activities.
17:4.0.1.1.1.1.63.79SECTION 240.3b-15
   240.3b-15 Definition of ancillary portfolio management securities activities.
17:4.0.1.1.1.1.63.80SECTION 240.3b-16
   240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act.
17:4.0.1.1.1.1.63.81SECTION 240.3b-17
   240.3b-17 [Reserved]
17:4.0.1.1.1.1.63.82SECTION 240.3b-18
   240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act.
17:4.0.1.1.1.1.63.83SECTION 240.3b-19
   240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
17:4.0.1.1.1.1.64SUBJGRP 64
   Clearing of Security-Based Swaps
17:4.0.1.1.1.1.64.84SECTION 240.3Ca-1
   240.3Ca-1 Stay of clearing requirement and review by the Commission.
17:4.0.1.1.1.1.64.85SECTION 240.3Ca-2
   240.3Ca-2 Submission of security-based swaps for clearing.
17:4.0.1.1.1.1.65SUBJGRP 65
   Registration and Exemption of Exchanges
17:4.0.1.1.1.1.65.86SECTION 240.6a-1
   240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.
17:4.0.1.1.1.1.65.87SECTION 240.6a-2
   240.6a-2 Amendments to application.
17:4.0.1.1.1.1.65.88SECTION 240.6a-3
   240.6a-3 Supplemental material to be filed by exchanges.
17:4.0.1.1.1.1.65.89SECTION 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.
17:4.0.1.1.1.1.65.90SECTION 240.6h-1
   240.6h-1 Settlement and regulatory halt requirements for security futures products.
17:4.0.1.1.1.1.65.91SECTION 240.6h-2
   240.6h-2 Security future based on note, bond, debenture, or evidence of indebtedness.
17:4.0.1.1.1.1.65.92SECTION 240.7c2-1
   240.7c2-1 [Reserved]
17:4.0.1.1.1.1.66SUBJGRP 66
   Hypothecation of Customers' Securities
17:4.0.1.1.1.1.66.93SECTION 240.8c-1
   240.8c-1 Hypothecation of customers' securities.
17:4.0.1.1.1.1.66.94SECTION 240.9b-1
   240.9b-1 Options disclosure document.
17:4.0.1.1.1.1.66.95SECTION 240.10a-1 - 240.10a-2
   240.10a-1--240.10a-2 [Reserved]
17:4.0.1.1.1.1.67SUBJGRP 67
   Manipulative and Deceptive Devices and Contrivances
17:4.0.1.1.1.1.67.96SECTION 240.10b-1
   240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
17:4.0.1.1.1.1.67.97SECTION 240.10b-2
   240.10b-2 [Reserved]
17:4.0.1.1.1.1.67.98SECTION 240.10b-3
   240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers.
17:4.0.1.1.1.1.67.99SECTION 240.10b-4
   240.10b-4 [Reserved]
17:4.0.1.1.1.1.67.100SECTION 240.10b-5
   240.10b-5 Employment of manipulative and deceptive devices.
17:4.0.1.1.1.1.67.101SECTION 240.10b5-1
   240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
17:4.0.1.1.1.1.67.102SECTION 240.10b5-2
   240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.
17:4.0.1.1.1.1.67.103SECTION 240.10b-6 - 240.10b-8
   240.10b-6--240.10b-8 [Reserved]
17:4.0.1.1.1.1.67.104SECTION 240.10b-9
   240.10b-9 Prohibited representations in connection with certain offerings.
17:4.0.1.1.1.1.67.105SECTION 240.10b-10
   240.10b-10 Confirmation of transactions.
17:4.0.1.1.1.1.67.106SECTION 240.10b-13
   240.10b-13 [Reserved]
17:4.0.1.1.1.1.67.107SECTION 240.10b-16
   240.10b-16 Disclosure of credit terms in margin transactions.
17:4.0.1.1.1.1.67.108SECTION 240.10b-17
   240.10b-17 Untimely announcements of record dates.
17:4.0.1.1.1.1.67.109SECTION 240.10b-18
   240.10b-18 Purchases of certain equity securities by the issuer and others.
17:4.0.1.1.1.1.67.110SECTION 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.
17:4.0.1.1.1.1.68SUBJGRP 68
   Reports Under Section 10A
17:4.0.1.1.1.1.68.111SECTION 240.10A-1
   240.10A-1 Notice to the Commission Pursuant to Section 10A of the Act.
17:4.0.1.1.1.1.68.112SECTION 240.10A-2
   240.10A-2 Auditor independence.
17:4.0.1.1.1.1.68.113SECTION 240.10A-3
   240.10A-3 Listing standards relating to audit committees.
17:4.0.1.1.1.1.69SUBJGRP 69
   Requirements Under Section 10C
17:4.0.1.1.1.1.69.114SECTION 240.10C-1
   240.10C-1 Listing standards relating to compensation committees.
17:4.0.1.1.1.1.70SUBJGRP 70
   Adoption of Floor Trading Regulation (Rule 11a-1)
17:4.0.1.1.1.1.70.115SECTION 240.11a-1
   240.11a-1 Regulation of floor trading.
17:4.0.1.1.1.1.70.116SECTION 240.11a1-1(T)
   240.11a1-1(T) Transactions yielding priority, parity, and precedence.
17:4.0.1.1.1.1.70.117SECTION 240.11a1-2
   240.11a1-2 Transactions for certain accounts of associated persons of members.
17:4.0.1.1.1.1.70.118SECTION 240.11a1-3(T)
   240.11a1-3(T) Bona fide hedge transactions in certain securities.
17:4.0.1.1.1.1.70.119SECTION 240.11a1-4(T)
   240.11a1-4(T) Bond transactions on national securities exchanges.
17:4.0.1.1.1.1.70.120SECTION 240.11a1-5
   240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
17:4.0.1.1.1.1.70.121SECTION 240.11a1-6
   240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
17:4.0.1.1.1.1.70.122SECTION 240.11a2-2(T)
   240.11a2-2(T) Transactions effected by exchange members through other members.
17:4.0.1.1.1.1.71SUBJGRP 71
   Adoption of Regulation on Conduct of Specialists
17:4.0.1.1.1.1.71.123SECTION 240.11b-1
   240.11b-1 Regulation of specialists.
17:4.0.1.1.1.1.72SUBJGRP 72
   Exemption of Certain Securities From Section 11(d)(1)
17:4.0.1.1.1.1.72.124SECTION 240.11d1-1
   240.11d1-1 Exemption of certain securities from section 11(d)(1).
17:4.0.1.1.1.1.72.125SECTION 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.
17:4.0.1.1.1.1.72.126SECTION 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.
17:4.0.1.1.1.1.73SUBJGRP 73
   Securities Exempted From Registration
17:4.0.1.1.1.1.73.127SECTION 240.12a-4
   240.12a-4 Exemption of certain warrants from section 12(a).
17:4.0.1.1.1.1.73.128SECTION 240.12a-5
   240.12a-5 Temporary exemption of substituted or additional securities.
17:4.0.1.1.1.1.73.129SECTION 240.12a-6
   240.12a-6 Exemption of securities underlying certain options from section 12(a).
17:4.0.1.1.1.1.73.130SECTION 240.12a-7
   240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
17:4.0.1.1.1.1.73.131SECTION 240.12a-8
   240.12a-8 Exemption of depositary shares.
17:4.0.1.1.1.1.73.132SECTION 240.12a-9
   240.12a-9 Exemption of standardized options from section 12(a) of the Act.
17:4.0.1.1.1.1.74SUBJGRP 74
   Regulation 12B: Registration and Reporting
17:4.0.1.1.1.2SUBPART B
Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
17:4.0.1.1.1.2.75SUBJGRP 75
   General
17:4.0.1.1.1.2.75.133SECTION 240.12a-10
   240.12a-10 Exemption of security-based swaps from section 12(a) of the Act.
17:4.0.1.1.1.2.75.134SECTION 240.12a-11
   240.12a-11 Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.
17:4.0.1.1.1.2.75.135SECTION 240.12b-1
   240.12b-1 Scope of regulation.
17:4.0.1.1.1.2.75.136SECTION 240.12b-2
   240.12b-2 Definitions.
17:4.0.1.1.1.2.75.137SECTION 240.12b-3
   240.12b-3 Title of securities.
17:4.0.1.1.1.2.75.138SECTION 240.12b-4
   240.12b-4 Supplemental information.
17:4.0.1.1.1.2.75.139SECTION 240.12b-5
   240.12b-5 Determination of affiliates of banks.
17:4.0.1.1.1.2.75.140SECTION 240.12b-6
   240.12b-6 When securities are deemed to be registered.
17:4.0.1.1.1.2.75.141SECTION 240.12b-7
   240.12b-7 [Reserved]
17:4.0.1.1.1.2.76SUBJGRP 76
   Formal Requirements
17:4.0.1.1.1.2.76.142SECTION 240.12b-10
   240.12b-10 Requirements as to proper form.
17:4.0.1.1.1.2.76.143SECTION 240.12b-11
   240.12b-11 Number of copies; signatures; binding.
17:4.0.1.1.1.2.76.144SECTION 240.12b-12
   240.12b-12 Requirements as to paper, printing and language.
17:4.0.1.1.1.2.76.145SECTION 240.12b-13
   240.12b-13 Preparation of statement or report.
17:4.0.1.1.1.2.76.146SECTION 240.12b-14
   240.12b-14 Riders; inserts.
17:4.0.1.1.1.2.76.147SECTION 240.12b-15
   240.12b-15 Amendments.
17:4.0.1.1.1.2.77SUBJGRP 77
   General Requirements as to Contents
17:4.0.1.1.1.2.77.148SECTION 240.12b-20
   240.12b-20 Additional information.
17:4.0.1.1.1.2.77.149SECTION 240.12b-21
   240.12b-21 Information unknown or not available.
17:4.0.1.1.1.2.77.150SECTION 240.12b-22
   240.12b-22 Disclaimer of control.
17:4.0.1.1.1.2.77.151SECTION 240.12b-23
   240.12b-23 Incorporation by reference.
17:4.0.1.1.1.2.77.152SECTION 240.12b-24
   240.12b-24 [Reserved]
17:4.0.1.1.1.2.77.153SECTION 240.12b-25
   240.12b-25 Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-CEN , N-CSR, 10-Q, or 10-D.
17:4.0.1.1.1.2.78SUBJGRP 78
   Exhibits
17:4.0.1.1.1.2.78.154SECTION 240.12b-30
   240.12b-30 Additional exhibits.
17:4.0.1.1.1.2.78.155SECTION 240.12b-31
   240.12b-31 Omission of substantially identical documents.
17:4.0.1.1.1.2.78.156SECTION 240.12b-32
   240.12b-32 [Reserved]
17:4.0.1.1.1.2.78.157SECTION 240.12b-33
   240.12b-33 Annual reports to other Federal agencies.
17:4.0.1.1.1.2.79SUBJGRP 79
   Special Provisions
17:4.0.1.1.1.2.79.158SECTION 240.12b-35
   240.12b-35 [Reserved]
17:4.0.1.1.1.2.79.159SECTION 240.12b-36
   240.12b-36 Use of financial statements filed under other acts.
17:4.0.1.1.1.2.79.160SECTION 240.12b-37
   240.12b-37 Satisfaction of filing requirements.
17:4.0.1.1.1.2.80SUBJGRP 80
   Certification by Exchanges and Effectiveness of Registration
17:4.0.1.1.1.2.80.161SECTION 240.12d1-1
   240.12d1-1 Registration effective as to class or series.
17:4.0.1.1.1.2.80.162SECTION 240.12d1-2
   240.12d1-2 Effectiveness of registration.
17:4.0.1.1.1.2.80.163SECTION 240.12d1-3
   240.12d1-3 Requirements as to certification.
17:4.0.1.1.1.2.80.164SECTION 240.12d1-4
   240.12d1-4 Date of receipt of certification by Commission.
17:4.0.1.1.1.2.80.165SECTION 240.12d1-5
   240.12d1-5 Operation of certification on subsequent amendments.
17:4.0.1.1.1.2.80.166SECTION 240.12d1-6
   240.12d1-6 Withdrawal of certification.
17:4.0.1.1.1.2.81SUBJGRP 81
   Suspension of Trading, Withdrawal, and Striking From Listing and Registration
17:4.0.1.1.1.2.81.167SECTION 240.12d2-1
   240.12d2-1 Suspension of trading.
17:4.0.1.1.1.2.81.168SECTION 240.12d2-2
   240.12d2-2 Removal from listing and registration.
17:4.0.1.1.1.2.82SUBJGRP 82
   Unlisted Trading
17:4.0.1.1.1.2.82.169SECTION 240.12f-1
   240.12f-1 Applications for permission to reinstate unlisted trading privileges.
17:4.0.1.1.1.2.82.170SECTION 240.12f-2
   240.12f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.
17:4.0.1.1.1.2.82.171SECTION 240.12f-3
   240.12f-3 Termination or suspension of unlisted trading privileges.
17:4.0.1.1.1.2.82.172SECTION 240.12f-4
   240.12f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
17:4.0.1.1.1.2.82.173SECTION 240.12f-5
   240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended.
17:4.0.1.1.1.2.82.174SECTION 240.12f-6
   240.12f-6 [Reserved]
17:4.0.1.1.1.2.83SUBJGRP 83
   Extensions and Temporary Exemptions; Definitions
17:4.0.1.1.1.2.83.175SECTION 240.12g-1
   240.12g-1 Registration of securities; exemption from section 12(g).
17:4.0.1.1.1.2.83.176SECTION 240.12g-2
   240.12g-2 Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).
17:4.0.1.1.1.2.83.177SECTION 240.12g-3
   240.12g-3 Registration of securities of successor issuers under section 12(b) or 12(g).
17:4.0.1.1.1.2.83.178SECTION 240.12g-4
   240.12g-4 Certifications of termination of registration under section 12(g).
17:4.0.1.1.1.2.83.179SECTION 240.12g-6
   240.12g-6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933.
17:4.0.1.1.1.2.83.180SECTION 240.12g3-2
   240.12g3-2 Exemptions for American depositary receipts and certain foreign securities.
17:4.0.1.1.1.2.83.181SECTION 240.12g5-1
   240.12g5-1 Definition of securities “held of record”.
17:4.0.1.1.1.2.83.182SECTION 240.12g5-2
   240.12g5-2 Definition of “total assets”.
17:4.0.1.1.1.2.83.183SECTION 240.12h-1
   240.12h-1 Exemptions from registration under section 12(g) of the Act.
17:4.0.1.1.1.2.83.184SECTION 240.12h-2
   240.12h-2 [Reserved]
17:4.0.1.1.1.2.83.185SECTION 240.12h-3
   240.12h-3 Suspension of duty to file reports under section 15(d).
17:4.0.1.1.1.2.83.186SECTION 240.12h-4
   240.12h-4 Exemption from duty to file reports under section 15(d).
17:4.0.1.1.1.2.83.187SECTION 240.12h-5
   240.12h-5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
17:4.0.1.1.1.2.83.188SECTION 240.12h-6
   240.12h-6 Certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
17:4.0.1.1.1.2.83.189SECTION 240.12h-7
   240.12h-7 Exemption for issuers of securities that are subject to insurance regulation.
17:4.0.1.1.1.2.84SUBJGRP 84
   Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
17:4.0.1.1.1.2.84.190SECTION 240.13a-1
   240.13a-1 Requirements of annual reports.
17:4.0.1.1.1.2.84.191SECTION 240.13a-2
   240.13a-2 [Reserved]
17:4.0.1.1.1.2.84.192SECTION 240.13a-3
   240.13a-3 Reporting by Form 40-F registrant.
17:4.0.1.1.1.2.85SUBJGRP 85
   Other Reports
17:4.0.1.1.1.2.85.193SECTION 240.13a-10
   240.13a-10 Transition reports.
17:4.0.1.1.1.2.85.194SECTION 240.13a-11
   240.13a-11 Current reports on Form 8-K (§ 249.308 of this chapter).
17:4.0.1.1.1.2.85.195SECTION 240.13a-13
   240.13a-13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
17:4.0.1.1.1.2.85.196SECTION 240.13a-14
   240.13a-14 Certification of disclosure in annual and quarterly reports.
17:4.0.1.1.1.2.85.197SECTION 240.13a-15
   240.13a-15 Controls and procedures.
17:4.0.1.1.1.2.85.198SECTION 240.13a-16
   240.13a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
17:4.0.1.1.1.2.85.199SECTION 240.13a-17
   240.13a-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
17:4.0.1.1.1.2.85.200SECTION 240.13a-18
   240.13a-18 Compliance with servicing criteria for asset-backed securities.
17:4.0.1.1.1.2.85.201SECTION 240.13a-19
   240.13a-19 Reports by shell companies on Form 20-F.
17:4.0.1.1.1.2.85.202SECTION 240.13a-20
   240.13a-20 Plain English presentation of specified information.
17:4.0.1.1.1.2.86SUBJGRP 86
   Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
17:4.0.1.1.1.2.86.203SECTION 240.13b2-1
   240.13b2-1 Falsification of accounting records.
17:4.0.1.1.1.2.86.204SECTION 240.13b2-2
   240.13b2-2 Representations and conduct in connection with the preparation of required reports and documents.
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
17:4.0.1.1.1.2.88.205SECTION 240.13d-1
   240.13d-1 Filing of Schedules 13D and 13G.
17:4.0.1.1.1.2.88.206SECTION 240.13d-2
   240.13d-2 Filing of amendments to Schedules 13D or 13G.
17:4.0.1.1.1.2.88.207SECTION 240.13d-3
   240.13d-3 Determination of beneficial owner.
17:4.0.1.1.1.2.88.208SECTION 240.13d-4
   240.13d-4 Disclaimer of beneficial ownership.
17:4.0.1.1.1.2.88.209SECTION 240.13d-5
   240.13d-5 Acquisition of securities.
17:4.0.1.1.1.2.88.210SECTION 240.13d-6
   240.13d-6 Exemption of certain acquisitions.
17:4.0.1.1.1.2.88.211SECTION 240.13d-7
   240.13d-7 Dissemination.
17:4.0.1.1.1.2.88.212SECTION 240.13d-101
   240.13d-101 Schedule 13D - Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).
17:4.0.1.1.1.2.88.213SECTION 240.13d-102
   240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.
17:4.0.1.1.1.2.88.214SECTION 240.13e-1
   240.13e-1 Purchase of securities by the issuer during a third-party tender offer.
17:4.0.1.1.1.2.88.215SECTION 240.13e-2
   240.13e-2 [Reserved]
17:4.0.1.1.1.2.88.216SECTION 240.13e-3
   240.13e-3 Going private transactions by certain issuers or their affiliates.
17:4.0.1.1.1.2.88.217SECTION 240.13e-4
   240.13e-4 Tender offers by issuers.
17:4.0.1.1.1.2.88.218SECTION 240.13e-100
   240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.
17:4.0.1.1.1.2.88.219SECTION 240.13e-101
   240.13e-101 [Reserved]
17:4.0.1.1.1.2.88.220SECTION 240.13e-102
   240.13e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.
17:4.0.1.1.1.2.88.221SECTION 240.13f-1
   240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
17:4.0.1.1.1.2.88.222SECTION 240.13h-l
   240.13h-l Large trader reporting.
17:4.0.1.1.1.2.88.223SECTION 240.13k-1
   240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).
17:4.0.1.1.1.2.88.224SECTION 240.13n-1
   240.13n-1 Registration of security-based swap data repository.
17:4.0.1.1.1.2.88.225SECTION 240.13n-2
   240.13n-2 Withdrawal from registration; revocation and cancellation.
17:4.0.1.1.1.2.88.226SECTION 240.13n-3
   240.13n-3 Registration of successor to registered security-based swap data repository.
17:4.0.1.1.1.2.88.227SECTION 240.13n-4
   240.13n-4 Duties and core principles of security-based swap data repository.
17:4.0.1.1.1.2.88.228SECTION 240.13n-5
   240.13n-5 Data collection and maintenance.
17:4.0.1.1.1.2.88.229SECTION 240.13n-6
   240.13n-6 Automated systems.
17:4.0.1.1.1.2.88.230SECTION 240.13n-7
   240.13n-7 Recordkeeping of security-based swap data repository.
17:4.0.1.1.1.2.88.231SECTION 240.13n-8
   240.13n-8 Reports to be provided to the Commission.
17:4.0.1.1.1.2.88.232SECTION 240.13n-9
   240.13n-9 Privacy requirements of security-based swap data repository.
17:4.0.1.1.1.2.88.233SECTION 240.13n-10
   240.13n-10 Disclosure requirements of security-based swap data repository.
17:4.0.1.1.1.2.88.234SECTION 240.13n-11
   240.13n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
17:4.0.1.1.1.2.88.235SECTION 240.13n-12
   240.13n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
17:4.0.1.1.1.2.88.236SECTION 240.13p-1
   240.13p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
17:4.0.1.1.1.2.88.237SECTION 240.13q-1
   240.13q-1 Disclosure of payments made by resource extraction issuers.
17:4.0.1.1.1.2.89SUBJGRP 89
   Regulation 14C: Distribution of Information Pursuant to Section 14(c)
17:4.0.1.1.1.2.89.238SECTION 240.14a-1
   240.14a-1 Definitions.
17:4.0.1.1.1.2.89.239SECTION 240.14a-2
   240.14a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
17:4.0.1.1.1.2.89.240SECTION 240.14a-3
   240.14a-3 Information to be furnished to security holders.
17:4.0.1.1.1.2.89.241SECTION 240.14a-4
   240.14a-4 Requirements as to proxy.
17:4.0.1.1.1.2.89.242SECTION 240.14a-5
   240.14a-5 Presentation of information in proxy statement.
17:4.0.1.1.1.2.89.243SECTION 240.14a-6
   240.14a-6 Filing requirements.
17:4.0.1.1.1.2.89.244SECTION 240.14a-7
   240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
17:4.0.1.1.1.2.89.245SECTION 240.14a-8
   240.14a-8 Shareholder proposals.
17:4.0.1.1.1.2.89.246SECTION 240.14a-9
   240.14a-9 False or misleading statements.
17:4.0.1.1.1.2.89.247SECTION 240.14a-10
   240.14a-10 Prohibition of certain solicitations.
17:4.0.1.1.1.2.89.248SECTION 240.14a-12
   240.14a-12 Solicitation before furnishing a proxy statement.
17:4.0.1.1.1.2.89.249SECTION 240.14a-13
   240.14a-13 Obligation of registrants in communicating with beneficial owners.
17:4.0.1.1.1.2.89.250SECTION 240.14a-14
   240.14a-14 Modified or superseded documents.
17:4.0.1.1.1.2.89.251SECTION 240.14a-15
   240.14a-15 Differential and contingent compensation in connection with roll-up transactions.
17:4.0.1.1.1.2.89.252SECTION 240.14a-16
   240.14a-16 Internet availability of proxy materials.
17:4.0.1.1.1.2.89.253SECTION 240.14a-17
   240.14a-17 Electronic shareholder forums.
17:4.0.1.1.1.2.89.254SECTION 240.14a-18
   240.14a-18 Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.
17:4.0.1.1.1.2.89.255SECTION 240.14a-20
   240.14a-20 Shareholder approval of executive compensation of TARP recipients.
17:4.0.1.1.1.2.89.256SECTION 240.14a-21
   240.14a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
17:4.0.1.1.1.2.89.257SECTION 240.14a - 101
   240.14a--101 Schedule 14A. Information required in proxy statement.
17:4.0.1.1.1.2.89.258SECTION 240.14a-102
   240.14a-102 [Reserved]
17:4.0.1.1.1.2.89.259SECTION 240.14a-103
   240.14a-103 Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).
17:4.0.1.1.1.2.89.260SECTION 240.14a-104
   240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a
17:4.0.1.1.1.2.89.261SECTION 240.14b-1
   240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
17:4.0.1.1.1.2.89.262SECTION 240.14b-2
   240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
17:4.0.1.1.1.2.90SUBJGRP 90
   Regulation 14D
17:4.0.1.1.1.2.90.263SECTION 240.14c-1
   240.14c-1 Definitions.
17:4.0.1.1.1.2.90.264SECTION 240.14c-2
   240.14c-2 Distribution of information statement.
17:4.0.1.1.1.2.90.265SECTION 240.14c-3
   240.14c-3 Annual report to be furnished security holders.
17:4.0.1.1.1.2.90.266SECTION 240.14c-4
   240.14c-4 Presentation of information in information statement.
17:4.0.1.1.1.2.90.267SECTION 240.14c-5
   240.14c-5 Filing requirements.
17:4.0.1.1.1.2.90.268SECTION 240.14c-6
   240.14c-6 False or misleading statements.
17:4.0.1.1.1.2.90.269SECTION 240.14c-7
   240.14c-7 Providing copies of material for certain beneficial owners.
17:4.0.1.1.1.2.90.270SECTION 240.14c-101
   240.14c-101 Schedule 14C. Information required in information statement.
17:4.0.1.1.1.2.91SUBJGRP 91
   Regulation 14E
17:4.0.1.1.1.2.91.271SECTION 240.14d-1
   240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E.
17:4.0.1.1.1.2.91.272SECTION 240.14d-2
   240.14d-2 Commencement of a tender offer.
17:4.0.1.1.1.2.91.273SECTION 240.14d-3
   240.14d-3 Filing and transmission of tender offer statement.
17:4.0.1.1.1.2.91.274SECTION 240.14d-4
   240.14d-4 Dissemination of tender offers to security holders.
17:4.0.1.1.1.2.91.275SECTION 240.14d-5
   240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
17:4.0.1.1.1.2.91.276SECTION 240.14d-6
   240.14d-6 Disclosure of tender offer information to security holders.
17:4.0.1.1.1.2.91.277SECTION 240.14d-7
   240.14d-7 Additional withdrawal rights.
17:4.0.1.1.1.2.91.278SECTION 240.14d-8
   240.14d-8 Exemption from statutory pro rata requirements.
17:4.0.1.1.1.2.91.279SECTION 240.14d-9
   240.14d-9 Recommendation or solicitation by the subject company and others.
17:4.0.1.1.1.2.91.280SECTION 240.14d-10
   240.14d-10 Equal treatment of security holders.
17:4.0.1.1.1.2.91.281SECTION 240.14d-11
   240.14d-11 Subsequent offering period.
17:4.0.1.1.1.2.91.282SECTION 240.14d-100
   240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
17:4.0.1.1.1.2.91.283SECTION 240.14d-101
   240.14d-101 Schedule 14D-9.
17:4.0.1.1.1.2.91.284SECTION 240.14d-102
   240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
17:4.0.1.1.1.2.91.285SECTION 240.14d-103
   240.14d-103 Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.
17:4.0.1.1.1.2.92SUBJGRP 92
   Regulation 14N: Filings Required by Certain Nominating Shareholders
17:4.0.1.1.1.2.92.286SECTION 240.14e-1
   240.14e-1 Unlawful tender offer practices.
17:4.0.1.1.1.2.92.287SECTION 240.14e-2
   240.14e-2 Position of subject company with respect to a tender offer.
17:4.0.1.1.1.2.92.288SECTION 240.14e-3
   240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
17:4.0.1.1.1.2.92.289SECTION 240.14e-4
   240.14e-4 Prohibited transactions in connection with partial tender offers.
17:4.0.1.1.1.2.92.290SECTION 240.14e-5
   240.14e-5 Prohibiting purchases outside of a tender offer.
17:4.0.1.1.1.2.92.291SECTION 240.14e-6
   240.14e-6 Repurchase offers by certain closed-end registered investment companies.
17:4.0.1.1.1.2.92.292SECTION 240.14e-7
   240.14e-7 Unlawful tender offer practices in connection with roll-ups.
17:4.0.1.1.1.2.92.293SECTION 240.14e-8
   240.14e-8 Prohibited conduct in connection with pre-commencement communications.
17:4.0.1.1.1.2.92.294SECTION 240.14f-1
   240.14f-1 Change in majority of directors.
17:4.0.1.1.1.2.92.295SECTION 240.14n-1
   240.14n-1 Filing of Schedule 14N.
17:4.0.1.1.1.2.92.296SECTION 240.14n-2
   240.14n-2 Filing of amendments to Schedule 14N.
17:4.0.1.1.1.2.92.297SECTION 240.14n-3
   240.14n-3 Dissemination.
17:4.0.1.1.1.2.92.298SECTION 240.14n-101
   240.14n-101 Schedule 14N - Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
17:4.0.1.1.1.2.93SUBJGRP 93
   Exemption of Certain OTC Derivatives Dealers
17:4.0.1.1.1.2.93.299SECTION 240.15a-1
   240.15a-1 Securities activities of OTC derivatives dealers.
17:4.0.1.1.1.2.94SUBJGRP 94
   Exemption of Certain Securities From Section 15(a)
17:4.0.1.1.1.2.94.300SECTION 240.15a-2
   240.15a-2 Exemption of certain securities of cooperative apartment houses from section 15(a).
17:4.0.1.1.1.2.94.301SECTION 240.15a-3
   240.15a-3 [Reserved]
17:4.0.1.1.1.2.94.302SECTION 240.15a-4
   240.15a-4 Forty-five day exemption from registration for certain members of national securities exchanges.
17:4.0.1.1.1.2.94.303SECTION 240.15a-5
   240.15a-5 Exemption of certain nonbank lenders.
17:4.0.1.1.1.2.95SUBJGRP 95
   Registration of Brokers and Dealers
17:4.0.1.1.1.2.95.304SECTION 240.15a-6
   240.15a-6 Exemption of certain foreign brokers or dealers.
17:4.0.1.1.1.2.95.305SECTION 240.15a-7 - 240.15a-9
   240.15a-7--240.15a-9 [Reserved]
17:4.0.1.1.1.2.95.306SECTION 240.15a-10
   240.15a-10 Exemption of certain brokers or dealers with respect to security futures products.
17:4.0.1.1.1.2.95.307SECTION 240.15a-11
   240.15a-11 [Reserved]
17:4.0.1.1.1.2.95.308SECTION 240.15b1-1
   240.15b1-1 Application for registration of brokers or dealers.
17:4.0.1.1.1.2.95.309SECTION 240.15b1-2
   240.15b1-2 [Reserved]
17:4.0.1.1.1.2.95.310SECTION 240.15b1-3
   240.15b1-3 Registration of successor to registered broker or dealer.
17:4.0.1.1.1.2.95.311SECTION 240.15b1-4
   240.15b1-4 Registration of fiduciaries.
17:4.0.1.1.1.2.95.312SECTION 240.15b1-5
   240.15b1-5 Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
17:4.0.1.1.1.2.95.313SECTION 240.15b1-6
   240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
17:4.0.1.1.1.2.95.314SECTION 240.15b2-2
   240.15b2-2 Inspection of newly registered brokers and dealers.
17:4.0.1.1.1.2.95.315SECTION 240.15b3-1
   240.15b3-1 Amendments to application.
17:4.0.1.1.1.2.95.316SECTION 240.15b5-1
   240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
17:4.0.1.1.1.2.95.317SECTION 240.15b6-1
   240.15b6-1 Withdrawal from registration.
17:4.0.1.1.1.2.95.318SECTION 240.15b7-1
   240.15b7-1 Compliance with qualification requirements of self-regulatory organizations.
17:4.0.1.1.1.2.95.319SECTION 240.15b7-3T
   240.15b7-3T Operational capability in a Year 2000 environment.
17:4.0.1.1.1.2.95.320SECTION 240.15b9-1
   240.15b9-1 Exemption for certain exchange members.
17:4.0.1.1.1.2.95.321SECTION 240.15b9-2
   240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.
17:4.0.1.1.1.2.95.322SECTION 240.15b11-1
   240.15b11-1 Registration by notice of security futures product broker-dealers.
17:4.0.1.1.1.2.96SUBJGRP 96
   Rules Relating to Over-the-Counter Markets
17:4.0.1.1.1.2.96.323SECTION 240.15c1-1
   240.15c1-1 Definitions.
17:4.0.1.1.1.2.96.324SECTION 240.15c1-2
   240.15c1-2 Fraud and misrepresentation.
17:4.0.1.1.1.2.96.325SECTION 240.15c1-3
   240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
17:4.0.1.1.1.2.96.326SECTION 240.15c1-4
   240.15c1-4 [Reserved]
17:4.0.1.1.1.2.96.327SECTION 240.15c1-5
   240.15c1-5 Disclosure of control.
17:4.0.1.1.1.2.96.328SECTION 240.15c1-6
   240.15c1-6 Disclosure of interest in distribution.
17:4.0.1.1.1.2.96.329SECTION 240.15c1-7
   240.15c1-7 Discretionary accounts.
17:4.0.1.1.1.2.96.330SECTION 240.15c1-8
   240.15c1-8 Sales at the market.
17:4.0.1.1.1.2.96.331SECTION 240.15c1-9
   240.15c1-9 Use of pro forma balance sheets.
17:4.0.1.1.1.2.96.332SECTION 240.15c2-1
   240.15c2-1 Hypothecation of customers' securities.
17:4.0.1.1.1.2.96.333SECTION 240.15c2-3
   240.15c2-3 [Reserved]
17:4.0.1.1.1.2.96.334SECTION 240.15c2-4
   240.15c2-4 Transmission or maintenance of payments received in connection with underwritings.
17:4.0.1.1.1.2.96.335SECTION 240.15c2-5
   240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
17:4.0.1.1.1.2.96.336SECTION 240.15c2-6
   240.15c2-6 [Reserved]
17:4.0.1.1.1.2.96.337SECTION 240.15c2-7
   240.15c2-7 Identification of quotations.
17:4.0.1.1.1.2.96.338SECTION 240.15c2-8
   240.15c2-8 Delivery of prospectus.
17:4.0.1.1.1.2.96.339SECTION 240.15c2-11
   240.15c2-11 Initiation or resumption of quotations without specific information.
17:4.0.1.1.1.2.96.340SECTION 240.15c2-12
   240.15c2-12 Municipal securities disclosure.
17:4.0.1.1.1.2.96.341SECTION 240.15c3-1
   240.15c3-1 Net capital requirements for brokers or dealers.
17:4.0.1.1.1.2.96.342SECTION 240.15c3-1a
   240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.343SECTION 240.15c3-1b
   240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.344SECTION 240.15c3-1c
   240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.345SECTION 240.15c3-1d
   240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.346SECTION 240.15c3-1e
   240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.347SECTION 240.15c3-1f
   240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.348SECTION 240.15c3-1g
   240.15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
17:4.0.1.1.1.2.96.349SECTION 240.15c3-2
   240.15c3-2 [Reserved]
17:4.0.1.1.1.2.96.350SECTION 240.15c3-3
   240.15c3-3 Customer protection - reserves and custody of securities.
17:4.0.1.1.1.2.96.351SECTION 240.15c3-3a
   240.15c3-3a Exhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
17:4.0.1.1.1.2.96.352SECTION 240.15c3-3b
   240.15c3-3b Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
17:4.0.1.1.1.2.96.353SECTION 240.15c3-4
   240.15c3-4 Internal risk management control systems for OTC derivatives dealers.
17:4.0.1.1.1.2.96.354SECTION 240.15c3-5
   240.15c3-5 Risk management controls for brokers or dealers with market access.
17:4.0.1.1.1.2.96.355SECTION 240.15c6-1
   240.15c6-1 Settlement cycle.
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
17:4.0.1.1.1.2.98.356SECTION 240.15d-1
   240.15d-1 Requirement of annual reports.
17:4.0.1.1.1.2.98.357SECTION 240.15d-2
   240.15d-2 Special financial report.
17:4.0.1.1.1.2.98.358SECTION 240.15d-3
   240.15d-3 Reports for depositary shares registered on Form F-6.
17:4.0.1.1.1.2.98.359SECTION 240.15d-4
   240.15d-4 Reporting by Form 40-F registrants.
17:4.0.1.1.1.2.98.360SECTION 240.15d-5
   240.15d-5 Reporting by successor issuers.
17:4.0.1.1.1.2.98.361SECTION 240.15d-6
   240.15d-6 Suspension of duty to file reports.
17:4.0.1.1.1.2.99SUBJGRP 99
   Other Reports
17:4.0.1.1.1.2.99.362SECTION 240.15d-10
   240.15d-10 Transition reports.
17:4.0.1.1.1.2.99.363SECTION 240.15d-11
   240.15d-11 Current reports on Form 8-K (§ 249.308 of this chapter).
17:4.0.1.1.1.2.99.364SECTION 240.15d-13
   240.15d-13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
17:4.0.1.1.1.2.99.365SECTION 240.15d-14
   240.15d-14 Certification of disclosure in annual and quarterly reports.
17:4.0.1.1.1.2.99.366SECTION 240.15d-15
   240.15d-15 Controls and procedures.
17:4.0.1.1.1.2.99.367SECTION 240.15d-16
   240.15d-16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
17:4.0.1.1.1.2.99.368SECTION 240.15d-17
   240.15d-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
17:4.0.1.1.1.2.99.369SECTION 240.15d-18
   240.15d-18 Compliance with servicing criteria for asset-backed securities.
17:4.0.1.1.1.2.99.370SECTION 240.15d-19
   240.15d-19 Reports by shell companies on Form 20-F.
17:4.0.1.1.1.2.99.371SECTION 240.15d-20
   240.15d-20 Plain English presentation of specified information.
17:4.0.1.1.1.2.100SUBJGRP 100
   Exemption of Certain Issuers From Section 15(d) of the Act
17:4.0.1.1.1.2.100.372SECTION 240.15d-21
   240.15d-21 Reports for employee stock purchase, savings and similar plans.
17:4.0.1.1.1.2.100.373SECTION 240.15d-22
   240.15d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.
17:4.0.1.1.1.2.100.374SECTION 240.15d-23
   240.15d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
17:4.0.1.1.1.2.100.375SECTION 240.15g-1
   240.15g-1 Exemptions for certain transactions.
17:4.0.1.1.1.2.100.376SECTION 240.15g-2
   240.15g-2 Penny stock disclosure document relating to the penny stock market.
17:4.0.1.1.1.2.100.377SECTION 240.15g-3
   240.15g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
17:4.0.1.1.1.2.100.378SECTION 240.15g-4
   240.15g-4 Disclosure of compensation to brokers or dealers.
17:4.0.1.1.1.2.100.379SECTION 240.15g-5
   240.15g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.
17:4.0.1.1.1.2.100.380SECTION 240.15g-6
   240.15g-6 Account statements for penny stock customers.
17:4.0.1.1.1.2.100.381SECTION 240.15g-8
   240.15g-8 Sales of escrowed securities of blank check companies.
17:4.0.1.1.1.2.100.382SECTION 240.15g-9
   240.15g-9 Sales practice requirements for certain low-priced securities.
17:4.0.1.1.1.2.100.383SECTION 240.15g-100
   240.15g-100 Schedule 15G - Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
17:4.0.1.1.1.2.100.384SECTION 240.15l-1
   240.15l-1 Regulation best interest.
17:4.0.1.1.1.2.101SUBJGRP 101
   National and Affiliated Securities Associations
17:4.0.1.1.1.2.101.385SECTION 240.15Aa-1
   240.15Aa-1 Registration of a national or an affiliated securities association.
17:4.0.1.1.1.2.101.386SECTION 240.15Aj-1
   240.15Aj-1 Amendments and supplements to registration statements of securities associations.
17:4.0.1.1.1.2.101.387SECTION 240.15Al2-1
   240.15Al2-1 [Reserved]
17:4.0.1.1.1.2.101.388SECTION 240.15Ba1-1
   240.15Ba1-1 Definitions.
17:4.0.1.1.1.2.101.389SECTION 240.15Ba1-2
   240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons.
17:4.0.1.1.1.2.101.390SECTION 240.15Ba1-3
   240.15Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
17:4.0.1.1.1.2.101.391SECTION 240.15Ba1-4
   240.15Ba1-4 Withdrawal from municipal advisor registration.
17:4.0.1.1.1.2.101.392SECTION 240.15Ba1-5
   240.15Ba1-5 Amendments to Form MA and Form MA-I.
17:4.0.1.1.1.2.101.393SECTION 240.15Ba1-6
   240.15Ba1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
17:4.0.1.1.1.2.101.394SECTION 240.15Ba1-7
   240.15Ba1-7 Registration of successor to municipal advisor.
17:4.0.1.1.1.2.101.395SECTION 240.15Ba1-8
   240.15Ba1-8 Books and records to be made and maintained by municipal advisors.
17:4.0.1.1.1.2.101.396SECTION 240.15Ba2-1
   240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
17:4.0.1.1.1.2.101.397SECTION 240.15Ba2-2
   240.15Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
17:4.0.1.1.1.2.101.398SECTION 240.15Ba2-4
   240.15Ba2-4 Registration of successor to registered municipal securities dealer.
17:4.0.1.1.1.2.101.399SECTION 240.15Ba2-5
   240.15Ba2-5 Registration of fiduciaries.
17:4.0.1.1.1.2.101.400SECTION 240.15Ba2-6
   240.15Ba2-6 [Reserved]
17:4.0.1.1.1.2.101.401SECTION 240.15Bc3-1
   240.15Bc3-1 Withdrawal from registration of municipal securities dealers.
17:4.0.1.1.1.2.101.402SECTION 240.15Bc4-1
   240.15Bc4-1 Persons associated with municipal advisors.
17:4.0.1.1.1.2.101.403SECTION 240.15Bc7-1
   240.15Bc7-1 Availability of examination reports.
17:4.0.1.1.1.2.102SUBJGRP 102
   Registration of Government Securities Brokers and Government Securities Dealers
17:4.0.1.1.1.2.102.404SECTION 240.15Ca1-1
   240.15Ca1-1 Notice of government securities broker-dealer activities.
17:4.0.1.1.1.2.102.405SECTION 240.15Ca2-1
   240.15Ca2-1 Application for registration as a government securities broker or government securities dealer.
17:4.0.1.1.1.2.102.406SECTION 240.15Ca2-2
   240.15Ca2-2 [Reserved]
17:4.0.1.1.1.2.102.407SECTION 240.15Ca2-3
   240.15Ca2-3 Registration of successor to registered government securities broker or government securities dealer.
17:4.0.1.1.1.2.102.408SECTION 240.15Ca2-4
   240.15Ca2-4 Registration of fiduciaries.
17:4.0.1.1.1.2.102.409SECTION 240.15Ca2-5
   240.15Ca2-5 Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities deale
17:4.0.1.1.1.2.102.410SECTION 240.15Cc1-1
   240.15Cc1-1 Withdrawal from registration of government securities brokers or 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
17:4.0.1.1.1.2.103.411SECTION 240.15Fb1-1.
   240.15Fb1-1. Signatures.
17:4.0.1.1.1.2.103.412SECTION 240.15Fb2-1
   240.15Fb2-1 Registration of security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.413SECTION 240.15Fb2-3
   240.15Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
17:4.0.1.1.1.2.103.414SECTION 240.15Fb2-4
   240.15Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.415SECTION 240.15Fb2-5
   240.15Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
17:4.0.1.1.1.2.103.416SECTION 240.15Fb2-6
   240.15Fb2-6 Registration of fiduciaries.
17:4.0.1.1.1.2.103.417SECTION 240.15Fb3-1
   240.15Fb3-1 Duration of registration.
17:4.0.1.1.1.2.103.418SECTION 240.15Fb3-2
   240.15Fb3-2 Withdrawal from registration.
17:4.0.1.1.1.2.103.419SECTION 240.15Fb3-3
   240.15Fb3-3 Cancellation and revocation of registration.
17:4.0.1.1.1.2.103.420SECTION 240.15Fb6-1
   240.15Fb6-1 [Reserved]
17:4.0.1.1.1.2.103.421SECTION 240.15Fb6-2
   240.15Fb6-2 Associated person certification.
17:4.0.1.1.1.2.103.422SECTION 240.15Fh-1
   240.15Fh-1 Scope and reliance on representations.
17:4.0.1.1.1.2.103.423SECTION 240.15Fh-2
   240.15Fh-2 Definitions.
17:4.0.1.1.1.2.103.424SECTION 240.15Fh-3
   240.15Fh-3 Business conduct requirements.
17:4.0.1.1.1.2.103.425SECTION 240.15Fh-4
   240.15Fh-4 Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
17:4.0.1.1.1.2.103.426SECTION 240.15Fh-5
   240.15Fh-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
17:4.0.1.1.1.2.103.427SECTION 240.15Fh-6
   240.15Fh-6 Political contributions by certain security-based swap dealers.
17:4.0.1.1.1.2.103.428SECTION 240.15Fi-1
   240.15Fi-1 Definitions.
17:4.0.1.1.1.2.103.429SECTION 240.15Fi-2
   240.15Fi-2 Acknowledgment and verification of security-based swap transactions.
17:4.0.1.1.1.2.103.430SECTION 240.15Fi-3
   240.15Fi-3 Security-based swap portfolio reconciliation.
17:4.0.1.1.1.2.103.431SECTION 240.15Fi-4
   240.15Fi-4 Security-based swap portfolio compression.
17:4.0.1.1.1.2.103.432SECTION 240.15Fi-5
   240.15Fi-5 Security-based swap trading relationship documentation.
17:4.0.1.1.1.2.103.433SECTION 240.15Fk-1
   240.15Fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.103.434SECTION 240.15Ga-1
   240.15Ga-1 Repurchases and replacements relating to asset-backed securities.
17:4.0.1.1.1.2.103.435SECTION 240.16a-1
   240.16a-1 Definition of terms.
17:4.0.1.1.1.2.103.436SECTION 240.15Ga-2
   240.15Ga-2 Findings and conclusions of third-party due diligence reports.
17:4.0.1.1.1.2.103.437SECTION 240.16a-2
   240.16a-2 Persons and transactions subject to section 16.
17:4.0.1.1.1.2.103.438SECTION 240.16a-3
   240.16a-3 Reporting transactions and holdings.
17:4.0.1.1.1.2.103.439SECTION 240.16a-4
   240.16a-4 Derivative securities.
17:4.0.1.1.1.2.103.440SECTION 240.16a-5
   240.16a-5 Odd-lot dealers.
17:4.0.1.1.1.2.103.441SECTION 240.16a-6
   240.16a-6 Small acquisitions.
17:4.0.1.1.1.2.103.442SECTION 240.16a-7
   240.16a-7 Transactions effected in connection with a distribution.
17:4.0.1.1.1.2.103.443SECTION 240.16a-8
   240.16a-8 Trusts.
17:4.0.1.1.1.2.103.444SECTION 240.16a-9
   240.16a-9 Stock splits, stock dividends, and pro rata rights.
17:4.0.1.1.1.2.103.445SECTION 240.16a-10
   240.16a-10 Exemptions under section 16(a).
17:4.0.1.1.1.2.103.446SECTION 240.16a-11
   240.16a-11 Dividend or interest reinvestment plans.
17:4.0.1.1.1.2.103.447SECTION 240.16a-12
   240.16a-12 Domestic relations orders.
17:4.0.1.1.1.2.103.448SECTION 240.16a-13
   240.16a-13 Change in form of beneficial ownership.
17:4.0.1.1.1.2.104SUBJGRP 104
   Exemption of Certain Transactions From Section 16(b)
17:4.0.1.1.1.2.104.449SECTION 240.16b-1
   240.16b-1 Transactions approved by a regulatory authority.
17:4.0.1.1.1.2.104.450SECTION 240.16b-2
   240.16b-2 [Reserved]
17:4.0.1.1.1.2.104.451SECTION 240.16b-3
   240.16b-3 Transactions between an issuer and its officers or directors.
17:4.0.1.1.1.2.104.452SECTION 240.16b-4
   240.16b-4 [Reserved]
17:4.0.1.1.1.2.104.453SECTION 240.16b-5
   240.16b-5 Bona fide gifts and inheritance.
17:4.0.1.1.1.2.104.454SECTION 240.16b-6
   240.16b-6 Derivative securities.
17:4.0.1.1.1.2.104.455SECTION 240.16b-7
   240.16b-7 Mergers, reclassifications, and consolidations.
17:4.0.1.1.1.2.104.456SECTION 240.16b-8
   240.16b-8 Voting trusts.
17:4.0.1.1.1.2.105SUBJGRP 105
   Exemption of Certain Transactions From Section 16(c)
17:4.0.1.1.1.2.105.457SECTION 240.16c-1
   240.16c-1 Brokers.
17:4.0.1.1.1.2.105.458SECTION 240.16c-2
   240.16c-2 Transactions effected in connection with a distribution.
17:4.0.1.1.1.2.105.459SECTION 240.16c-3
   240.16c-3 Exemption of sales of securities to be acquired.
17:4.0.1.1.1.2.105.460SECTION 240.16c-4
   240.16c-4 Derivative securities.
17:4.0.1.1.1.2.106SUBJGRP 106
   Arbitrage Transactions
17:4.0.1.1.1.2.106.461SECTION 240.16e-1
   240.16e-1 Arbitrage transactions under section 16.
17:4.0.1.1.1.2.107SUBJGRP 107
   Preservation of Records and Reports of Certain Stabilizing Activities
17:4.0.1.1.1.2.107.462SECTION 240.17a-1
   240.17a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
17:4.0.1.1.1.2.107.463SECTION 240.17a-2
   240.17a-2 Recordkeeping requirements relating to stabilizing activities.
17:4.0.1.1.1.2.107.464SECTION 240.17a-3
   240.17a-3 Records to be made by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.465SECTION 240.17a-4
   240.17a-4 Records to be preserved by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.466SECTION 240.17a-5
   240.17a-5 Reports to be made by certain brokers and dealers.
17:4.0.1.1.1.2.107.467SECTION 240.17a-6
   240.17a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
17:4.0.1.1.1.2.107.468SECTION 240.17a-7
   240.17a-7 Records of non-resident brokers and dealers.
17:4.0.1.1.1.2.107.469SECTION 240.17a-8
   240.17a-8 Financial recordkeeping and reporting of currency and foreign transactions.
17:4.0.1.1.1.2.107.470SECTION 240.17a-9T
   240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.
17:4.0.1.1.1.2.107.471SECTION 240.17a-10
   240.17a-10 Report on revenue and expenses.
17:4.0.1.1.1.2.107.472SECTION 240.17a-11
   240.17a-11 Notification provisions for brokers and dealers.
17:4.0.1.1.1.2.107.473SECTION 240.17a-12
   240.17a-12 Reports to be made by certain OTC derivatives dealers.
17:4.0.1.1.1.2.107.474SECTION 240.17a-13
   240.17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17:4.0.1.1.1.2.107.475SECTION 240.17a-14
   240.17a-14 Form CRS, for preparation, filing and delivery of Form CRS.
17:4.0.1.1.1.2.107.476SECTION 240.17a-18
   240.17a-18 [Reserved]
17:4.0.1.1.1.2.107.477SECTION 240.17a-19
   240.17a-19 Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
17:4.0.1.1.1.2.107.478SECTION 240.17a-21
   240.17a-21 Reports of the Municipal Securities Rulemaking Board.
17:4.0.1.1.1.2.107.479SECTION 240.17a-22
   240.17a-22 Supplemental material of registered clearing agencies.
17:4.0.1.1.1.2.107.480SECTION 240.17a-25
   240.17a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
17:4.0.1.1.1.2.107.481SECTION 240.17d-1
   240.17d-1 Examination for compliance with applicable financial responsibility rules.
17:4.0.1.1.1.2.107.482SECTION 240.17d-2
   240.17d-2 Program for allocation of regulatory responsibility.
17:4.0.1.1.1.2.107.483SECTION 240.17f-1
   240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
17:4.0.1.1.1.2.107.484SECTION 240.17f-2
   240.17f-2 Fingerprinting of securities industry personnel.
17:4.0.1.1.1.2.108SUBJGRP 108
   Nationally Recognized Statistical Rating Organizations
17:4.0.1.1.1.2.108.485SECTION 240.17g-1
   240.17g-1 Application for registration as a nationally recognized statistical rating organization.
17:4.0.1.1.1.2.108.486SECTION 240.17g-2
   240.17g-2 Records to be made and retained by nationally recognized statistical rating organizations.
17:4.0.1.1.1.2.108.487SECTION 240.17g-3
   240.17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
17:4.0.1.1.1.2.108.488SECTION 240.17g-4
   240.17g-4 Prevention of misuse of material nonpublic information.
17:4.0.1.1.1.2.108.489SECTION 240.17g-5
   240.17g-5 Conflicts of interest.
17:4.0.1.1.1.2.108.490SECTION 240.17g-6
   240.17g-6 Prohibited acts and practices.
17:4.0.1.1.1.2.108.491SECTION 240.17g-7
   240.17g-7 Disclosure requirements.
17:4.0.1.1.1.2.108.492SECTION 240.17g-8
   240.17g-8 Policies, procedures, and internal controls.
17:4.0.1.1.1.2.108.493SECTION 240.17g-9
   240.17g-9 Standards of training, experience, and competence for credit analysts.
17:4.0.1.1.1.2.108.494SECTION 240.17g-10
   240.17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
17:4.0.1.1.1.2.108.495SECTION 240.17h-1T
   240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
17:4.0.1.1.1.2.108.496SECTION 240.17h-2T
   240.17h-2T Risk assessment reporting requirements for brokers and dealers.
17:4.0.1.1.1.2.108.497SECTION 240.17Ab2-1
   240.17Ab2-1 Registration of clearing agencies.
17:4.0.1.1.1.2.108.498SECTION 240.17Ab2-2
   240.17Ab2-2 Determinations affecting covered clearing agencies.
17:4.0.1.1.1.2.108.499SECTION 240.17Ac2-1
   240.17Ac2-1 Application for registration of transfer agents.
17:4.0.1.1.1.2.108.500SECTION 240.17Ac2-2
   240.17Ac2-2 Annual reporting requirement for registered transfer agents.
17:4.0.1.1.1.2.108.501SECTION 240.17Ac3-1
   240.17Ac3-1 Withdrawal from registration with the Commission.
17:4.0.1.1.1.2.108.502SECTION 240.17Ad-1
   240.17Ad-1 Definitions.
17:4.0.1.1.1.2.108.503SECTION 240.17Ad-2
   240.17Ad-2 Turnaround, processing, and forwarding of items.
17:4.0.1.1.1.2.108.504SECTION 240.17Ad-3
   240.17Ad-3 Limitations on expansion.
17:4.0.1.1.1.2.108.505SECTION 240.17Ad-4
   240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
17:4.0.1.1.1.2.108.506SECTION 240.17Ad-5
   240.17Ad-5 Written inquiries and requests.
17:4.0.1.1.1.2.108.507SECTION 240.17Ad-6
   240.17Ad-6 Recordkeeping.
17:4.0.1.1.1.2.108.508SECTION 240.17Ad-7
   240.17Ad-7 Record retention.
17:4.0.1.1.1.2.108.509SECTION 240.17Ad-8
   240.17Ad-8 Securities position listings.
17:4.0.1.1.1.2.108.510SECTION 240.17Ad-9
   240.17Ad-9 Definitions.
17:4.0.1.1.1.2.108.511SECTION 240.17Ad-10
   240.17Ad-10 Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of ce
17:4.0.1.1.1.2.108.512SECTION 240.17Ad-11
   240.17Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
17:4.0.1.1.1.2.108.513SECTION 240.17Ad-12
   240.17Ad-12 Safeguarding of funds and securities.
17:4.0.1.1.1.2.108.514SECTION 240.17Ad-13
   240.17Ad-13 Annual study and evaluation of internal accounting control.
17:4.0.1.1.1.2.108.515SECTION 240.17Ad-14
   240.17Ad-14 Tender agents.
17:4.0.1.1.1.2.108.516SECTION 240.17Ad-15
   240.17Ad-15 Signature guarantees.
17:4.0.1.1.1.2.108.517SECTION 240.17Ad-16
   240.17Ad-16 Notice of assumption or termination of transfer agent services.
17:4.0.1.1.1.2.108.518SECTION 240.17Ad-17
   240.17Ad-17 Lost securityholders and unresponsive payees.
17:4.0.1.1.1.2.108.519SECTION 240.17Ad-18
   240.17Ad-18 Year 2000 Reports to be made by certain transfer agents.
17:4.0.1.1.1.2.108.520SECTION 240.17Ad-19
   240.17Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
17:4.0.1.1.1.2.108.521SECTION 240.17Ad-20
   240.17Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
17:4.0.1.1.1.2.108.522SECTION 240.17Ad-21T
   240.17Ad-21T Operational capability in a Year 2000 environment.
17:4.0.1.1.1.2.108.523SECTION 240.17Ad-22
   240.17Ad-22 Standards for clearing agencies.
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
17:4.0.1.1.1.2.109.524SECTION 240.18a-1
   240.18a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.525SECTION 240.18a-1a
   240.18a-1a Options.
17:4.0.1.1.1.2.109.526SECTION 240.18a-1b
   240.18a-1b Adjustments to net worth for certain commodities transactions.
17:4.0.1.1.1.2.109.527SECTION 240.18a-1c
   240.18a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
17:4.0.1.1.1.2.109.528SECTION 240.18a-1d
   240.18a-1d Satisfactory Subordinated Loan Agreements.
17:4.0.1.1.1.2.109.529SECTION 240.18a-2
   240.18a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.530SECTION 240.18a-3
   240.18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
17:4.0.1.1.1.2.109.531SECTION 240.18a-4
   240.18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.532SECTION 240.18a-4a
   240.18a-4a Exhibit A - Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
17:4.0.1.1.1.2.109.533SECTION 240.18a-5
   240.18a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.534SECTION 240.18a-6
   240.18a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.535SECTION 240.18a-7
   240.18a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.536SECTION 240.18a-8
   240.18a-8 Notification provisions for security-based swap dealers and major security-based swap participants.
17:4.0.1.1.1.2.109.537SECTION 240.18a-9
   240.18a-9 Quarterly security counts to be made by certain security-based swap dealers.
17:4.0.1.1.1.2.109.538SECTION 240.18a-10
   240.18a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
17:4.0.1.1.1.2.110SUBJGRP 110
   Suspension and Expulsion of Exchange Members
17:4.0.1.1.1.2.110.539SECTION 240.19a3-1
   240.19a3-1 [Reserved]
17:4.0.1.1.1.2.110.540SECTION 240.19b-3
   240.19b-3 [Reserved]
17:4.0.1.1.1.2.110.541SECTION 240.19b-4
   240.19b-4 Filings with respect to proposed rule changes by self-regulatory organizations.
17:4.0.1.1.1.2.110.542SECTION 240.19b-5
   240.19b-5 Temporary exemption from the filing requirements of Section 19(b) of the Act.
17:4.0.1.1.1.2.110.543SECTION 240.19b-7
   240.19b-7 Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
17:4.0.1.1.1.2.110.544SECTION 240.19c-1
   240.19c-1 Governing certain off-board agency transactions by members of national securities exchanges.
17:4.0.1.1.1.2.110.545SECTION 240.19c-3
   240.19c-3 Governing off-board trading by members of national securities exchanges.
17:4.0.1.1.1.2.110.546SECTION 240.19c-4
   240.19c-4 Governing certain listing or authorization determinations by national securities exchanges and associations.
17:4.0.1.1.1.2.110.547SECTION 240.19c-5
   240.19c-5 Governing the multiple listing of options on national securities exchanges.
17:4.0.1.1.1.2.110.548SECTION 240.19d-1
   240.19d-1 Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
17:4.0.1.1.1.2.110.549SECTION 240.19d-2
   240.19d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
17:4.0.1.1.1.2.110.550SECTION 240.19d-3
   240.19d-3 Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
17:4.0.1.1.1.2.110.551SECTION 240.19d-4
   240.19d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
17:4.0.1.1.1.2.110.552SECTION 240.19g2-1
   240.19g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
17:4.0.1.1.1.2.110.553SECTION 240.19h-1
   240.19h-1 Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief ther
17:4.0.1.1.1.2.111SUBJGRP 111
   Securities Whistleblower Incentives and Protections
17:4.0.1.1.1.2.111.554SECTION 240.21F-1
   240.21F-1 General.
17:4.0.1.1.1.2.111.555SECTION 240.21F-2
   240.21F-2 Whistleblower status and retaliation protection.
17:4.0.1.1.1.2.111.556SECTION 240.21F-3
   240.21F-3 Payment of awards.
17:4.0.1.1.1.2.111.557SECTION 240.21F-4
   240.21F-4 Other definitions.
17:4.0.1.1.1.2.111.558SECTION 240.21F-5
   240.21F-5 Amount of award.
17:4.0.1.1.1.2.111.559SECTION 240.21F-6
   240.21F-6 Criteria for determining amount of award.
17:4.0.1.1.1.2.111.560SECTION 240.21F-7
   240.21F-7 Confidentiality of submissions.
17:4.0.1.1.1.2.111.561SECTION 240.21F-8
   240.21F-8 Eligibility.
17:4.0.1.1.1.2.111.562SECTION 240.21F-9
   240.21F-9 Procedures for submitting original information.
17:4.0.1.1.1.2.111.563SECTION 240.21F-10
   240.21F-10 Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
17:4.0.1.1.1.2.111.564SECTION 240.21F-11
   240.21F-11 Procedures for determining awards based upon a related action.
17:4.0.1.1.1.2.111.565SECTION 240.21F-12
   240.21F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.
17:4.0.1.1.1.2.111.566SECTION 240.21F-13
   240.21F-13 Appeals.
17:4.0.1.1.1.2.111.567SECTION 240.21F-14
   240.21F-14 Procedures applicable to the payment of awards.
17:4.0.1.1.1.2.111.568SECTION 240.21F-15
   240.21F-15 No amnesty.
17:4.0.1.1.1.2.111.569SECTION 240.21F-16
   240.21F-16 Awards to whistleblowers who engage in culpable conduct.
17:4.0.1.1.1.2.111.570SECTION 240.21F-17
   240.21F-17 Staff communications with individuals reporting possible securities law violations.
17:4.0.1.1.1.2.112SUBJGRP 112
   Inspection and Publication of Information Filed Under the Act
17:4.0.1.1.1.2.112.571SECTION 240.24b-1
   240.24b-1 Documents to be kept public by exchanges.
17:4.0.1.1.1.2.112.572SECTION 240.24b-2
   240.24b-2 Nondisclosure of information filed with the Commission and with any exchange.
17:4.0.1.1.1.2.112.573SECTION 240.24b-3
   240.24b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.
17:4.0.1.1.1.2.112.574SECTION 240.24c-1
   240.24c-1 Access to nonpublic information.
17:4.0.1.1.1.2.112.575SECTION 240.31
   240.31 Section 31 transaction fees.
17:4.0.1.1.1.2.112.576SECTION 240.31T
   240.31T Temporary rule regarding fiscal year 2004.
17:4.0.1.1.1.2.112.577SECTION 240.36a1-1
   240.36a1-1 Exemption from Section 7 for OTC derivatives dealers.
17:4.0.1.1.1.2.112.578SECTION 240.36a1-2
   240.36a1-2 Exemption from SIPA for OTC derivatives dealers.