REGULATION M

• § 242.100 - Preliminary note; definitions.

• § 242.101 - Activities by distribution participants.

• § 242.102 - Activities by issuers and selling security holders during a distribution.

• § 242.103 - Nasdaq passive market making.

• § 242.104 - Stabilizing and other activities in connection with an offering.

• § 242.105 - Short selling in connection with a public offering.

REGULATION SHO—REGULATION OF SHORT SALES

• § 242.200 - Definition of “short sale” and marking requirements.

• § 242.201 - Circuit breaker.

• § 242.203 - Borrowing and delivery requirements.

• § 242.204 - Close-out requirement.

REGULATION ATS—ALTERNATIVE TRADING SYSTEMS
CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

• § 242.400 - Customer margin requirements for security futures—authority, purpose, interpretation, and scope.

• § 242.401 - Definitions.

• § 242.402 - General provisions.

• § 242.403 - Required margin.

• § 242.404 - Type, form and use of margin.

• § 242.405 - Withdrawal of margin.

• § 242.406 - Undermargined accounts.

• § 242.300 - Definitions.

• § 242.301 - Requirements for alternative trading systems.

• § 242.302 - Recordkeeping requirements for alternative trading systems.

• § 242.303 - Record preservation requirements for alternative trading systems.

• § 242.304 - NMS Stock ATSs.

REGULATION AC—ANALYST CERTIFICATION

• § 242.500 - Definitions.

• § 242.501 - Certifications in connection with research reports.

• § 242.502 - Certifications in connection with public appearances.

• § 242.503 - Certain foreign research reports.

• § 242.504 - Notification to associated persons.

• § 242.505 - Exclusion for news media.

REGULATION NMS—REGULATION OF THE NATIONAL MARKET SYSTEM

• § 242.600 - NMS security designation and definitions.

• § 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.

• § 242.602 - Dissemination of quotations in NMS securities.

• § 242.603 - Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.

• § 242.604 - Display of customer limit orders.

• § 242.605 - Disclosure of order execution information.

• § 242.606 - Disclosure of order routing information.

• § 242.607 - Customer account statements.

• § 242.608 - Filing and amendment of national market system plans.

• § 242.609 - Registration of securities information processors: form of application and amendments.

• § 242.610 - Access to quotations.

• § 242.611 - Order protection rule.

• § 242.612 - Minimum pricing increment.

• § 242.613 - Consolidated audit trail.

• § 242.614 - Registration and responsibilities of competing consolidators.

REGULATION SE—REGISTRATION AND REGULATION OF SECURITY-BASED SWAP EXECUTION FACILITIES

• § 242.800 - Scope.

• § 242.801 - Applicable provisions.

• § 242.802 - Definitions.

• § 242.803 - Requirements and procedures for registration.

• § 242.804 - Listing products for trading by certification.

• § 242.805 - Voluntary submission of new products for Commission review and approval.

• § 242.806 - Voluntary submission of rules for Commission review and approval.

• § 242.807 - Self-certification of rules.

• § 242.808 - Availability of public information.

• § 242.809 - Staying of certification and tolling of review period pending jurisdictional determination.

• § 242.810 - Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.

• § 242.811 - Information relating to security-based swap execution facility compliance.

• § 242.812 - Enforceability.

• § 242.813 - Prohibited use of data collected for regulatory purposes.

• § 242.814 - Entity operating both a national securities exchange and security-based swap execution facility.

• § 242.815 - Methods of execution for Required and Permitted Transactions.

• § 242.816 - Trade execution requirement and exemptions therefrom.

• § 242.817 - Trade execution compliance schedule.

• § 242.818 - Core Principle 1—Compliance with core principles.

• § 242.819 - Core Principle 2—Compliance with rules.

• § 242.820 - Core Principle 3—Security-based swaps not readily susceptible to manipulation.

• § 242.821 - Core Principle 4—Monitoring of trading and trade processing.

• § 242.822 - Core Principle 5—Ability to obtain information.

• § 242.823 - Core Principle 6—Financial integrity of transactions.

• § 242.824 - Core Principle 7—Emergency authority.

• § 242.825 - Core Principle 8—Timely publication of trading information.

• § 242.826 - Core Principle 9—Recordkeeping and reporting.

• § 242.827 - Core Principle 10—Antitrust considerations.

• § 242.828 - Core Principle 11—Conflicts of interest.

• § 242.829 - Core Principle 12—Financial resources.

• § 242.830 - Core Principle 13—System safeguards.

• § 242.831 - Core Principle 14—Designation of chief compliance officer.

• § 242.832 - Application of the trade execution requirement to cross-border security-based swap transactions.

• § 242.833 - Cross-border exemptions.

• § 242.834 - Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.

• § 242.835 - Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.

REGULATION SBSR—REGULATORY REPORTING AND PUBLIC DISSEMINATION OF SECURITY-BASED SWAP INFORMATION

• § 242.900 - Definitions.

• § 242.901 - Reporting obligations.

• § 242.902 - Public dissemination of transaction reports.

• § 242.903 - Coded information.

• § 242.904 - Operating hours of registered security-based swap data repositories.

• § 242.905 - Correction of errors in security-based swap information.

• § 242.906 - Other duties of participants.

• § 242.907 - Policies and procedures of registered security-based swap data repositories.

• § 242.908 - Cross-border matters.

• § 242.909 - Registration of security-based swap data repository as a securities information processor.

• Subpart 0 [§ 242.1000 - § 242.1007] - Regulation SCI—Systems Compliance and Integrity