Code of Federal Regulations > Title 17 > Chapter II > Part 229 > Subpart 229.400 - Subpart 229.400—Management and Certain Security Holders

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Regulations last checked for updates: Feb 10, 2026

Title 17 - Commodity and Securities Exchanges last revised: Jan 29, 2026

All TitlesTitle 17Chapter IIPart 229Subpart 229.400 - Subpart 229.400—Management and Certain Security Holders

§ 229.401 - (Item 401) Directors, executive officers, promoters and control persons.

§ 229.402 - (Item 402) Executive compensation.

§ 229.403 - (Item 403) Security ownership of certain beneficial owners and management.

§ 229.404 - (Item 404) Transactions with related persons, promoters and certain control persons.

§ 229.405 - (Item 405) Compliance with Section 16(a) of the Exchange Act.

§ 229.406 - (Item 406) Code of ethics.

§ 229.407 - (Item 407) Corporate governance.

§ 229.408 - (Item 408) Insider trading arrangements and policies.

authority: 15 U.S.C. 77e,77f,77g,77h,77j,77k,77s,77z,77z,77aa,77aa,77ddd,77eee,77ggg,77hhh,77iii,77jjj,77nnn,77sss,78c,78i,78j,78j-3,78l,78m,78n,78n-1,78o,78u,78w,78ll,78,80a,80a,80a,80a,80a,80a,80a,80a,80a,80b

source: 47 FR 11401, Mar. 16, 1982, unless otherwise noted.

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