• Subpart A [§ 240.0-1 - § 240.12a-11] - Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934

• Subpart B - Subpart B—Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]

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

• § 240.15d-1 - Requirement of annual reports.

• § 240.15d-2 - Special financial report.

• § 240.15d-3 - Reports for depositary shares registered on Form F-6.

• § 240.15d-4 - Reporting by Form 40-F registrants.

• § 240.15d-5 - Reporting by successor issuers.

• § 240.15d-6 - Suspension of duty to file reports.

OTHER REPORTS

• § 240.15d-10 - Transition reports.

• § 240.15d-11 - Current reports on Form 8-K (of this chapter).

• § 240.15d-13 - Quarterly reports on Form 10-Q (of this chapter).

• § 240.15d-14 - Certification of disclosure in annual and quarterly reports.

• § 240.15d-15 - Controls and procedures.

• § 240.15d-16 - Reports of foreign private issuers on Form 6-K [17 CFR 249.306].

• § 240.15d-17 - Reports of asset-backed issuers on Form 10-D (of this chapter).

• § 240.15d-18 - Compliance with servicing criteria for asset-backed securities.

• § 240.15d-19 - Reports by shell companies on Form 20-F.

• § 240.15d-20 - Plain English presentation of specified information.

EXEMPTION OF CERTAIN ISSUERS FROM SECTION 15(D) OF THE ACT

• § 240.15d-21 - Reports for employee stock purchase, savings and similar plans.

• § 240.15d-22 - Reporting regarding asset-backed securities under section 15(d) of the Act.

• § 240.15d-23 - Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.

• § 240.15g-1 - Exemptions for certain transactions.

• § 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

• § 240.15g-3 - Broker or dealer disclosure of quotations and other information relating to the penny stock market.

• § 240.15g-4 - Disclosure of compensation to brokers or dealers.

• § 240.15g-5 - Disclosure of compensation of associated persons in connection with penny stock transactions.

• § 240.15g-6 - Account statements for penny stock customers.

• § 240.15g-8 - Sales of escrowed securities of blank check companies.

• § 240.15g-9 - Sales practice requirements for certain low-priced securities.

• § 240.15g-100 - Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

• § 240.15l-1 - Regulation best interest.

NATIONAL AND AFFILIATED SECURITIES ASSOCIATIONS

• § 240.15Aa-1 - Registration of a national or an affiliated securities association.

• § 240.15Aj-1 - Amendments and supplements to registration statements of securities associations.

• § 240.15Al2-1 - [Reserved]

• § 240.15Ba1-1 - Definitions.

• § 240.15Ba1-2 - Registration of municipal advisors and information regarding certain natural persons.

• § 240.15Ba1-3 - Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.

• § 240.15Ba1-4 - Withdrawal from municipal advisor registration.

• § 240.15Ba1-5 - Amendments to Form MA and Form MA-I.

• § 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.

• § 240.15Ba1-7 - Registration of successor to municipal advisor.

• § 240.15Ba1-8 - Books and records to be made and maintained by municipal advisors.

• § 240.15Ba2-1 - Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.

• § 240.15Ba2-2 - Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.

• § 240.15Ba2-4 - Registration of successor to registered municipal securities dealer.

• § 240.15Ba2-5 - Registration of fiduciaries.

• § 240.15Ba2-6 - [Reserved]

• § 240.15Bc3-1 - Withdrawal from registration of municipal securities dealers.

• § 240.15Bc4-1 - Persons associated with municipal advisors.

• § 240.15Bc7-1 - Availability of examination reports.

REGISTRATION OF GOVERNMENT SECURITIES BROKERS AND GOVERNMENT SECURITIES DEALERS

• § 240.15Ca1-1 - Notice of government securities broker-dealer activities.

• § 240.15Ca2-1 - Application for registration as a government securities broker or government securities dealer.

• § 240.15Ca2-2 - [Reserved]

• § 240.15Ca2-3 - Registration of successor to registered government securities broker or government securities dealer.

• § 240.15Ca2-4 - Registration of fiduciaries.

• § 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 dealers.

• § 240.15Cc1-1 - Withdrawal from registration of government securities brokers or government securities dealers.

REGISTRATION AND REGULATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS

• § 240.15Fb1-1. - Signatures.

• § 240.15Fb2-1 - Registration of security-based swap dealers and major security-based swap participants.

• § 240.15Fb2-3 - Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.

• § 240.15Fb2-4 - Nonresident security-based swap dealers and major security-based swap participants.

• § 240.15Fb2-5 - Registration of successor to registered security-based swap dealer or a major security-based swap participant.

• § 240.15Fb2-6 - Registration of fiduciaries.

• § 240.15Fb3-1 - Duration of registration.

• § 240.15Fb3-2 - Withdrawal from registration.

• § 240.15Fb3-3 - Cancellation and revocation of registration.

• § 240.15Fb6-1 - [Reserved]

• § 240.15Fb6-2 - Associated person certification.

• § 240.15Fh-1 - Scope and reliance on representations.

• § 240.15Fh-2 - Definitions.

• § 240.15Fh-3 - Business conduct requirements.

• § 240.15fh-4 - (Rule 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.

• § 240.15Fh-5 - Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.

• § 240.15Fh-6 - Political contributions by certain security-based swap dealers.

• § 240.15Fi-1 - Definitions.

• § 240.15Fi-2 - Acknowledgment and verification of security-based swap transactions.

• § 240.15Fi-3 - Security-based swap portfolio reconciliation.

• § 240.15Fi-4 - Security-based swap portfolio compression.

• § 240.15Fi-5 - Security-based swap trading relationship documentation.

• § 240.15Fk-1 - Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.

• § 240.15Ga-1 - Repurchases and replacements relating to asset-backed securities.

• § 240.15Ga-2 - Findings and conclusions of third-party due diligence reports.

REPORTS OF DIRECTORS, OFFICERS, AND PRINCIPAL SHAREHOLDERS

• § 240.16a-1 - Definition of terms.

• § 240.16a-2 - Persons and transactions subject to section 16.

• § 240.16a-3 - Reporting transactions and holdings.

• § 240.16a-4 - Derivative securities.

• § 240.16a-5 - Odd-lot dealers.

• § 240.16a-6 - Small acquisitions.

• § 240.16a-7 - Transactions effected in connection with a distribution.

• § 240.16a-8 - Trusts.

• § 240.16a-9 - Stock splits, stock dividends, and pro rata rights.

• § 240.16a-10 - Exemptions under section 16(a).

• § 240.16a-11 - Dividend or interest reinvestment plans.

• § 240.16a-12 - Domestic relations orders.

• § 240.16a-13 - Change in form of beneficial ownership.

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16(B)

• § 240.16b-1 - Transactions approved by a regulatory authority.

• § 240.16b-2 - [Reserved]

• § 240.16b-3 - Transactions between an issuer and its officers or directors.

• § 240.16b-4 - [Reserved]

• § 240.16b-5 - Bona fide gifts and inheritance.

• § 240.16b-6 - Derivative securities.

• § 240.16b-7 - Mergers, reclassifications, and consolidations.

• § 240.16b-8 - Voting trusts.

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16(C)

• § 240.16c-1 - Brokers.

• § 240.16c-2 - Transactions effected in connection with a distribution.

• § 240.16c-3 - Exemption of sales of securities to be acquired.

• § 240.16c-4 - Derivative securities.

ARBITRAGE TRANSACTIONS

• § 240.16e-1 - Arbitrage transactions under section 16.

PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING ACTIVITIES

• § 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.

• § 240.17a-2 - Recordkeeping requirements relating to stabilizing activities.

• § 240.17a-3 - Records to be made by certain exchange members, brokers and dealers.

• § 240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers.

• § 240.17a-5 - Reports to be made by certain brokers and dealers.

• § 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.

• § 240.17a-7 - Records of non-resident brokers and dealers.

• § 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions.

• § 240.17a-9T - Records to be made and retained by certain exchange members, brokers and dealers.

• § 240.17a-10 - Report on revenue and expenses.

• § 240.17a-11 - Notification provisions for brokers and dealers.

• § 240.17a-12 - Reports to be made by certain OTC derivatives dealers.

• § 240.17a-13 - Quarterly security counts to be made by certain exchange members, brokers, and dealers.

• § 240.17a-14 - Form CRS, for preparation, filing and delivery of Form CRS.

• § 240.17a-18 - [Reserved]

• § 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.

• § 240.17a-21 - Reports of the Municipal Securities Rulemaking Board.

• § 240.17a-22 - Supplemental material of registered clearing agencies.

• § 240.17a-25 - Electronic submission of securities transaction information by exchange members, brokers, and dealers.

• § 240.17d-1 - Examination for compliance with applicable financial responsibility rules.

• § 240.17d-2 - Program for allocation of regulatory responsibility.

• § 240.17f-1 - Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.

• § 240.17f-2 - Fingerprinting of securities industry personnel.

NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS

• § 240.17g-1 - Application for registration as a nationally recognized statistical rating organization.

• § 240.17g-2 - Records to be made and retained by nationally recognized statistical rating organizations.

• § 240.17g-3 - Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.

• § 240.17g-4 - Prevention of misuse of material nonpublic information.

• § 240.17g-5 - Conflicts of interest.

• § 240.17g-6 - Prohibited acts and practices.

• § 240.17g-7 - Disclosure requirements.

• § 240.17g-8 - Policies, procedures, and internal controls.

• § 240.17g-9 - Standards of training, experience, and competence for credit analysts.

• § 240.17g-10 - Certification of providers of third-party due diligence services in connection with asset-backed securities.

• § 240.17h-1T - Risk assessment recordkeeping requirements for associated persons of brokers and dealers.

• § 240.17h-2T - Risk assessment reporting requirements for brokers and dealers.

• § 240.17Ab2-1 - Registration of clearing agencies.

• § 240.17Ab2-2 - Determinations affecting covered clearing agencies.

• § 240.17Ac2-1 - Application for registration of transfer agents.

• § 240.17Ac2-2 - Annual reporting requirement for registered transfer agents.

• § 240.17Ac3-1 - Withdrawal from registration with the Commission.

• § 240.17Ad-1 - Definitions.

• § 240.17Ad-2 - Turnaround, processing, and forwarding of items.

• § 240.17Ad-3 - Limitations on expansion.

• § 240.17Ad-4 - Applicability of §240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).

• § 240.17Ad-5 - Written inquiries and requests.

• § 240.17Ad-6 - Recordkeeping.

• § 240.17Ad-7 - Record retention.

• § 240.17Ad-8 - Securities position listings.

• § 240.17Ad-9 - Definitions.

• § 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 certificate detail and “buy-in” of physical over-issuance.

• § 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.

• § 240.17Ad-12 - Safeguarding of funds and securities.

• § 240.17Ad-13 - Annual study and evaluation of internal accounting control.

• § 240.17Ad-14 - Tender agents.

• § 240.17Ad-15 - Signature guarantees.

• § 240.17Ad-16 - Notice of assumption or termination of transfer agent services.

• § 240.17Ad-17 - Lost securityholders and unresponsive payees.

• § 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

• § 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.

• § 240.17Ad-20 - Issuer restrictions or prohibitions on ownership by securities intermediaries.

• § 240.17Ad-21T - Operational capability in a Year 2000 environment.

• § 240.17ad-22 - Standards for clearing agencies.

• § 240.17Ad-24 - Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under (or subject to the period set forth in § 240.3a71-2(b)).

• § 240.17ad-25 - Clearing agency boards of directors and conflicts of interest.

• § 240.17Ad-27 - Straight-through processing by clearing agencies that provide a central matching service.

CAPITAL, MARGIN AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS

• § 240.18a-1 - Net capital requirements for security-based swap dealers for which there is not a prudential regulator.

• § 240.18a-1a - Options.

• § 240.18a-1b - Adjustments to net worth for certain commodities transactions.

• § 240.18a-1c - Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.

• § 240.18a-1d - Satisfactory Subordinated Loan Agreements.

• § 240.18a-2 - Capital requirements for major security-based swap participants for which there is not a prudential regulator.

• § 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.

• § 240.18a-4 - Segregation requirements for security-based swap dealers and major security-based swap participants.

• § 240.18a-4a - Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.

• § 240.18a-5 - Records to be made by certain 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.

• § 240.18a-7 - Reports to be made by certain security-based swap dealers and major security-based swap participants.

• § 240.18a-8 - Notification provisions for security-based swap dealers and major security-based swap participants.

• § 240.18a-9 - Quarterly security counts to be made by certain security-based swap dealers.

• § 240.18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.

SUSPENSION AND EXPULSION OF EXCHANGE MEMBERS

• § 240.19a3-1 - [Reserved]

• § 240.19b-3 - [Reserved]

• § 240.19b-4 - Filings with respect to proposed rule changes by self-regulatory organizations.

• § 240.19b-5 - Temporary exemption from the filing requirements of Section 19(b) of the Act.

• § 240.19b-7 - Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.

• § 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.

• § 240.19c-3 - Governing off-board trading by members of national securities exchanges.

• § 240.19c-4 - Governing certain listing or authorization determinations by national securities exchanges and associations.

• § 240.19c-5 - Governing the multiple listing of options on national securities exchanges.

• § 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.

• § 240.19d-2 - Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.

• § 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.

• § 240.19d-4 - Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.

• § 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.

• § 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 therefrom.

SECURITIES WHISTLEBLOWER INCENTIVES AND PROTECTIONS

• § 240.21F-1 - General.

• § 240.21F-2 - Whistleblower status, award eligibility, confidentiality, and retaliation protections.

• § 240.21F-3 - Payment of awards.

• § 240.21F-4 - Other definitions.

• § 240.21F-5 - Amount of award.

• § 240.21F-6 - Criteria for determining amount of award.

• § 240.21F-7 - Confidentiality of submissions.

• § 240.21F-8 - Eligibility and forms.

• § 240.21F-9 - Procedures for submitting original information.

• § 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.

• § 240.21F-11 - Procedures for determining awards based upon a related action.

• § 240.21F-12 - Materials that may form the basis of an award determination and that may comprise the record on appeal.

• § 240.21F-13 - Appeals.

• § 240.21F-14 - Procedures applicable to the payment of awards.

• § 240.21F-15 - No amnesty.

• § 240.21F-16 - Awards to whistleblowers who engage in culpable conduct.

• § 240.21F-17 - Staff communications with individuals reporting possible securities law violations.

• § 240.21F-18 - Summary disposition.

INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER THE ACT

• § 240.24b-1 - Documents to be kept public by exchanges.

• § 240.24b-2 - Nondisclosure of information filed with the Commission and with any exchange.

• § 240.24b-3 - Information filed by issuers and others under sections 12, 13, 14, and 16.

• § 240.24c-1 - Access to nonpublic information.

• § 240.31 - Section 31 transaction fees.

• § 240.31T - Temporary rule regarding fiscal year 2004.

• § 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.

• § 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

GENERAL

• § 240.12b-1 - Scope of regulation.

• § 240.12b-2 - Definitions.

• § 240.12b-3 - Title of securities.

• § 240.12b-4 - Supplemental information.

• § 240.12b-5 - Determination of affiliates of banks.

• § 240.12b-6 - When securities are deemed to be registered.

• § 240.12b-7 - [Reserved]

FORMAL REQUIREMENTS

• § 240.12b-10 - Requirements as to proper form.

• § 240.12b-11 - Number of copies; signatures; binding.

• § 240.12b-12 - Requirements as to paper, printing and language.

• § 240.12b-13 - Preparation of statement or report.

• § 240.12b-14 - Riders; inserts.

• § 240.12b-15 - Amendments.

GENERAL REQUIREMENTS AS TO CONTENTS

• § 240.12b-20 - Additional information.

• § 240.12b-21 - Information unknown or not available.

• § 240.12b-22 - Disclaimer of control.

• § 240.12b-23 - Incorporation by reference.

• § 240.12b-24 - [Reserved]

• § 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.

EXHIBITS

• § 240.12b-30 - Additional exhibits.

• § 240.12b-31 - Omission of substantially identical documents.

• § 240.12b-32 - [Reserved]

• § 240.12b-33 - Annual reports to other Federal agencies.

SPECIAL PROVISIONS

• § 240.12b-35 - [Reserved]

• § 240.12b-36 - Use of financial statements filed under other acts.

• § 240.12b-37 - Satisfaction of filing requirements.

CERTIFICATION BY EXCHANGES AND EFFECTIVENESS OF REGISTRATION

• § 240.12d1-1 - Registration effective as to class or series.

• § 240.12d1-2 - Effectiveness of registration.

• § 240.12d1-3 - Requirements as to certification.

• § 240.12d1-4 - Date of receipt of certification by Commission.

• § 240.12d1-5 - Operation of certification on subsequent amendments.

• § 240.12d1-6 - Withdrawal of certification.

SUSPENSION OF TRADING, WITHDRAWAL, AND STRIKING FROM LISTING AND REGISTRATION

• § 240.12d2-1 - Suspension of trading.

• § 240.12d2-2 - Removal from listing and registration.

UNLISTED TRADING

• § 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

• § 240.12f-2 - Extending unlisted trading privileges to a security that is the subject of an initial public offering.

• § 240.12f-3 - Termination or suspension of unlisted trading privileges.

• § 240.12f-4 - Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.

• § 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

• § 240.12f-6 - [Reserved]

EXTENSIONS AND TEMPORARY EXEMPTIONS; DEFINITIONS

• § 240.12g-1 - Registration of securities; exemption from section 12(g).

• § 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).

• § 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

• § 240.12g-4 - Certifications of termination of registration under section 12(g).

• § 240.12g-6 - Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.

• § 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

• § 240.12g5-1 - Definition of securities “held of record”.

• § 240.12g5-2 - Definition of “total assets”.

• § 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

• § 240.12h-2 - [Reserved]

• § 240.12h-3 - Suspension of duty to file reports under section 15(d).

• § 240.12h-4 - Exemption from duty to file reports under section 15(d).

• § 240.12h-5 - Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.

• § 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).

• § 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

REGULATION 13A: REPORTS OF ISSUERS OF SECURITIES REGISTERED PURSUANT TO SECTION 12
ANNUAL REPORTS

• § 240.13a-1 - Requirements of annual reports.

• § 240.13a-2 - [Reserved]

• § 240.13a-3 - Reporting by Form 40-F registrant.

OTHER REPORTS

• § 240.13a-10 - Transition reports.

• § 240.13a-11 - Current reports on Form 8-K (of this chapter).

• § 240.13a-13 - Quarterly reports on Form 10-Q (of this chapter).

• § 240.13a-14 - Certification of disclosure in annual and quarterly reports.

• § 240.13a-15 - Controls and procedures.

• § 240.13a-16 - Reports of foreign private issuers on Form 6-K (17 CFR 249.306).

• § 240.13a-17 - Reports of asset-backed issuers on Form 10-D (of this chapter).

• § 240.13a-18 - Compliance with servicing criteria for asset-backed securities.

• § 240.13a-19 - Reports by shell companies on Form 20-F.

• § 240.13a-20 - Plain English presentation of specified information.

• § 240.13a-21 - [Reserved]

REGULATION 13B-2: MAINTENANCE OF RECORDS AND PREPARATION OF REQUIRED REPORTS

• § 240.13b2-1 - Falsification of accounting records.

• § 240.13b2-2 - Representations and conduct in connection with the preparation of required reports and documents.

REGULATION 13D-G
REGULATION 14A: SOLICITATION OF PROXIES

• § 240.13d-1 - Filing of Schedules 13D and 13G.

• § 240.13d-2 - Filing of amendments to Schedules 13D or 13G.

• § 240.13d-3 - Determination of beneficial owner.

• § 240.13d-4 - Disclaimer of beneficial ownership.

• § 240.13d-5 - Acquisition of beneficial ownership.

• § 240.13d-6 - Exemption of certain acquisitions.

• § 240.13d-7 - [Reserved]

• § 240.13d-101 - Schedule 13D—Information to be included in statements filed pursuant to and amendments thereto filed pursuant to § 240.13d-2(a).

• § 240.13d-102 - Schedule 13G—Information to be included in statements filed pursuant to (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.

• § 240.13e-1 - Purchase of securities by the issuer during a third-party tender offer.

• § 240.13e-2 - [Reserved]

• § 240.13e-3 - Going private transactions by certain issuers or their affiliates.

• § 240.13e-4 - Tender offers by issuers.

• § 240.13e-100 - Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (thereunder.

• § 240.13e-101 - [Reserved]

• § 240.13e-102 - Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and thereunder.

• § 240.13f-1 - Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.

• § 240.13f-2 - Reporting by institutional investment managers regarding gross short position and activity information.

• § 240.13h-1 - Large trader reporting.

• § 240.13k-1 - Foreign bank exemption from the insider lending prohibition under section 13(k).

• § 240.13n-1 - Registration of security-based swap data repository.

• § 240.13n-2 - Withdrawal from registration; revocation and cancellation.

• § 240.13n-3 - Registration of successor to registered security-based swap data repository.

• § 240.13n-4 - Duties and core principles of security-based swap data repository.

• § 240.13n-5 - Data collection and maintenance.

• § 240.13n-6 - Automated systems.

• § 240.13n-7 - Recordkeeping of security-based swap data repository.

• § 240.13n-8 - Reports to be provided to the Commission.

• § 240.13n-9 - Privacy requirements of security-based swap data repository.

• § 240.13n-10 - Disclosure requirements of security-based swap data repository.

• § 240.13n-11 - Chief compliance officer of security-based swap data repository; compliance reports and financial reports.

• § 240.13n-12 - Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.

• § 240.13p-1 - Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.

• § 240.13q-1 - Disclosure of payments made by resource extraction issuers.

REGULATION 14C: DISTRIBUTION OF INFORMATION PURSUANT TO SECTION 14(C)

• § 240.14a-1 - Definitions.

• § 240.14a-2 - Solicitations to which to apply.

• § 240.14a-3 - Information to be furnished to security holders.

• § 240.14a-4 - Requirements as to proxy.

• § 240.14a-5 - Presentation of information in proxy statement.

• § 240.14a-6 - Filing requirements.

• § 240.14a-7 - Obligations of registrants to provide a list of, or mail soliciting material to, security holders.

• § 240.14a-8 - Shareholder proposals.

• § 240.14a-9 - False or misleading statements.

• § 240.14a-10 - Prohibition of certain solicitations.

• § 240.14a-12 - Solicitation before furnishing a proxy statement.

• § 240.14a-13 - Obligation of registrants in communicating with beneficial owners.

• § 240.14a-14 - Modified or superseded documents.

• § 240.14a-15 - Differential and contingent compensation in connection with roll-up transactions.

• § 240.14a-16 - Internet availability of proxy materials.

• § 240.14a-17 - Electronic shareholder forums.

• § 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.

• § 240.14a-19 - Solicitation of proxies in support of director nominees other than the registrant's nominees.

• § 240.14a-20 - Shareholder approval of executive compensation of TARP recipients.

• § 240.14a-21 - Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.

• § 240.14a-101 - Schedule 14A. Information required in proxy statement.

• § 240.14a-102 - [Reserved]

• § 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).

• § 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 and § 240.14a-6(n).

• § 240.14Ad-1 - xxx

• § 240.14b-1 - Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.

• § 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.

REGULATION 14D

• § 240.14c-1 - Definitions.

• § 240.14c-2 - Distribution of information statement.

• § 240.14c-3 - Annual report to be furnished security holders.

• § 240.14c-4 - Presentation of information in information statement.

• § 240.14c-5 - Filing requirements.

• § 240.14c-6 - False or misleading statements.

• § 240.14c-7 - Providing copies of material for certain beneficial owners.

• § 240.14c-101 - Schedule 14C. Information required in information statement.

REGULATION 14E

• § 240.14d-1 - Scope of and definitions applicable to Regulations 14D and 14E.

• § 240.14d-2 - Commencement of a tender offer.

• § 240.14d-3 - Filing and transmission of tender offer statement.

• § 240.14d-4 - Dissemination of tender offers to security holders.

• § 240.14d-5 - Dissemination of certain tender offers by the use of stockholder lists and security position listings.

• § 240.14d-6 - Disclosure of tender offer information to security holders.

• § 240.14d-7 - Additional withdrawal rights.

• § 240.14d-8 - Exemption from statutory pro rata requirements.

• § 240.14d-9 - Recommendation or solicitation by the subject company and others.

• § 240.14d-10 - Equal treatment of security holders.

• § 240.14d-11 - Subsequent offering period.

• § 240.14d-100 - Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.

• § 240.14d-101 - Schedule 14D-9.

• § 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.

• § 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.

REGULATION 14N: FILINGS REQUIRED BY CERTAIN NOMINATING SHAREHOLDERS

• § 240.14n-1 - Filing of Schedule 14N.

• § 240.14n-2 - Filing of amendments to Schedule 14N.

• § 240.14n-3 - Dissemination.

• § 240.14n-101 - Schedule 14N—Information to be included in statements filed pursuant to and amendments thereto filed pursuant to § 240.14n-2.

• § 240.14e-1 - Unlawful tender offer practices.

• § 240.14e-2 - Position of subject company with respect to a tender offer.

• § 240.14e-3 - Transactions in securities on the basis of material, nonpublic information in the context of tender offers.

• § 240.14e-4 - Prohibited transactions in connection with partial tender offers.

• § 240.14e-5 - Prohibiting purchases outside of a tender offer.

• § 240.14e-6 - Repurchase offers by certain closed-end registered investment companies.

• § 240.14e-7 - Unlawful tender offer practices in connection with roll-ups.

• § 240.14e-8 - Prohibited conduct in connection with pre-commencement communications.

• § 240.14f-1 - Change in majority of directors.

EXEMPTION OF CERTAIN OTC DERIVATIVES DEALERS

• § 240.15a-1 - Securities activities of OTC derivatives dealers.

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15(A)

• § 240.15a-2 - Exemption of certain securities of cooperative apartment houses from section 15(a).

• § 240.15a-3 - [Reserved]

• § 240.15a-4 - Forty-five day exemption from registration for certain members of national securities exchanges.

• § 240.15a-5 - Exemption of certain nonbank lenders.

REGISTRATION OF BROKERS AND DEALERS

• § 240.15a-6 - Exemption of certain foreign brokers or dealers.

• §§ 240.15a-7—240.15a-9 - §[Reserved]

• § 240.15a-10 - Exemption of certain brokers or dealers with respect to security futures products.

• § 240.15a-11 - [Reserved]

• § 240.15a-12 - Exemption for certain security-based swap execution facilities from certain broker requirements.

• § 240.15b1-1 - Application for registration of brokers or dealers.

• § 240.15b1-2 - [Reserved]

• § 240.15b1-3 - Registration of successor to registered broker or dealer.

• § 240.15b1-4 - Registration of fiduciaries.

• § 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.

• § 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.

• § 240.15b2-2 - Inspection of newly registered brokers and dealers.

• § 240.15b3-1 - Amendments to application.

• § 240.15b5-1 - Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.

• § 240.15b6-1 - Withdrawal from registration.

• § 240.15b7-1 - Compliance with qualification requirements of self-regulatory organizations.

• § 240.15b7-3T - Operational capability in a Year 2000 environment.

• § 240.15b9-1 - Exemption for certain exchange members.

• § 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.

• § 240.15b11-1 - Registration by notice of security futures product broker-dealers.

RULES RELATING TO OVER-THE-COUNTER MARKETS

• § 240.15c1-1 - Definitions.

• § 240.15c1-2 - Fraud and misrepresentation.

• § 240.15c1-3 - Misrepresentation by brokers, dealers and municipal securities dealers as to registration.

• § 240.15c1-4 - [Reserved]

• § 240.15c1-5 - Disclosure of control.

• § 240.15c1-6 - Disclosure of interest in distribution.

• § 240.15c1-7 - Discretionary accounts.

• § 240.15c1-8 - Sales at the market.

• § 240.15c1-9 - Use of pro forma balance sheets.

• § 240.15c2-1 - Hypothecation of customers' securities.

• § 240.15c2-3 - [Reserved]

• § 240.15c2-4 - Transmission or maintenance of payments received in connection with underwritings.

• § 240.15c2-5 - Disclosure and other requirements when extending or arranging credit in certain transactions.

• § 240.15c2-6 - [Reserved]

• § 240.15c2-7 - Identification of quotations.

• § 240.15c2-8 - Delivery of prospectus.

• § 240.15c2-11 - Publication or submission of quotations without specified information.

• § 240.15c2-12 - Municipal securities disclosure.

• § 240.15c3-1 - Net capital requirements for brokers or dealers.

• § 240.15c3-1a - Options (Appendix A to 17 CFR 240.15c3-1).

• § 240.15c3-1b - Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).

• § 240.15c3-1c - Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).

• § 240.15c3-1d - Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).

• § 240.15c3-1e - Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).

• § 240.15c3-1f - Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).

• § 240.15c3-1g - Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).

• § 240.15c3-2 - [Reserved]

• § 240.15c3-3 - Customer protection—reserves and custody of securities.

• § 240.15c3-3a - Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.

• § 240.15c3-3b - Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.

• § 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.

• § 240.15c3-5 - Risk management controls for brokers or dealers with market access.

• § 240.15c6-1 - Settlement cycle.

• § 240.15c6-2 - Same-day allocation, confirmation, and affirmation.