Regulations last checked for updates: Oct 18, 2021

Title 17 - Commodity and Securities Exchanges last revised: Oct 07, 2021
  • Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]

OTHER REPORTS
EXEMPTION OF CERTAIN ISSUERS FROM SECTION 15(D) OF THE ACT
NATIONAL AND AFFILIATED SECURITIES ASSOCIATIONS
  • § 240.15Al2-1 - [Reserved]
  • § 240.15Ba2-6 - [Reserved]

REGISTRATION OF GOVERNMENT SECURITIES BROKERS AND GOVERNMENT SECURITIES DEALERS
  • § 240.15Ca2-2 - [Reserved]

REGISTRATION AND REGULATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
  • § 240.15Fb6-1 - [Reserved]

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16(B)
  • § 240.16b-2 - [Reserved]
  • § 240.16b-4 - [Reserved]

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16(C)
ARBITRAGE TRANSACTIONS
PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING ACTIVITIES
  • § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers.
  • § 240.17a-18 - [Reserved]

NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS
CAPITAL, MARGIN AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
  • § 240.18a-6 - Records to be preserved by certain security-based swap dealers and major security-based swap participants.

SUSPENSION AND EXPULSION OF EXCHANGE MEMBERS
  • § 240.19a3-1 - [Reserved]
  • § 240.19b-3 - [Reserved]

SECURITIES WHISTLEBLOWER INCENTIVES AND PROTECTIONS
INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER THE ACT
GENERAL
  • § 240.12b-7 - [Reserved]

FORMAL REQUIREMENTS
GENERAL REQUIREMENTS AS TO CONTENTS
  • § 240.12b-24 - [Reserved]

EXHIBITS
  • § 240.12b-32 - [Reserved]

SPECIAL PROVISIONS
  • § 240.12b-35 - [Reserved]

CERTIFICATION BY EXCHANGES AND EFFECTIVENESS OF REGISTRATION
SUSPENSION OF TRADING, WITHDRAWAL, AND STRIKING FROM LISTING AND REGISTRATION
UNLISTED TRADING
  • § 240.12f-6 - [Reserved]

EXTENSIONS AND TEMPORARY EXEMPTIONS; DEFINITIONS
  • § 240.12h-2 - [Reserved]

REGULATION 13A: REPORTS OF ISSUERS OF SECURITIES REGISTERED PURSUANT TO SECTION 12
ANNUAL REPORTS
  • § 240.13a-2 - [Reserved]

OTHER REPORTS
REGULATION 13B-2: MAINTENANCE OF RECORDS AND PREPARATION OF REQUIRED REPORTS
REGULATION 13D-G
REGULATION 14A: SOLICITATION OF PROXIES
  • § 240.13e-2 - [Reserved]
  • § 240.13e-101 - [Reserved]

REGULATION 14C: DISTRIBUTION OF INFORMATION PURSUANT TO SECTION 14(C)
  • § 240.14a-102 - [Reserved]

REGULATION 14D
REGULATION 14E
REGULATION 14N: FILINGS REQUIRED BY CERTAIN NOMINATING SHAREHOLDERS
EXEMPTION OF CERTAIN OTC DERIVATIVES DEALERS
EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15(A)
  • § 240.15a-3 - [Reserved]

REGISTRATION OF BROKERS AND DEALERS
  • §§ 240.15a-7 - 240.15a-9 - §[Reserved]
  • § 240.15a-11 - [Reserved]
  • § 240.15b1-2 - [Reserved]

RULES RELATING TO OVER-THE-COUNTER MARKETS
  • § 240.15c1-4 - [Reserved]
  • § 240.15c2-3 - [Reserved]
  • § 240.15c2-6 - [Reserved]
  • § 240.15c3-2 - [Reserved]

REGULATION 15D: REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933
ANNUAL REPORTS