1. CHAPTER I COMMODITY FUTURES TRADING COMMISSION
2. PART 1 GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
3. 1 Definitions
4. § 1.1 [Reserved]
5. § 1.2 Liability of principal for act of agent.
6. § 1.3 Definitions.
7. § 1.4 Electronic signatures, acknowledgments and verifications.
8. § 1.6 Anti-evasion.
9. § 1.7 Books and records requirements for security-based swap agreements.
10. § 1.8 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
11. § 1.9 Regulation of mixed swaps.
12. 2 Minimum Financial and Related Reporting Requirements
13. § 1.10 Financial reports of futures commission merchants and introducing brokers.
14. § 1.11 Risk Management Program for futures commission merchants.
15. § 1.12 Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
16. § 1.13 [Reserved]
17. § 1.14 Risk assessment recordkeeping requirements for futures commission merchants.
18. § 1.15 Risk assessment reporting requirements for futures commission merchants.
19. § 1.16 Qualifications and reports of accountants.
20. § 1.17 Minimum financial requirements for futures commission merchants and introducing brokers.
21. § 1.18 Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
22. 3 Prohibited Trading in Commodity Options
23. § 1.19 Prohibited trading in certain “puts” and “calls”.
24. 4 Customers' Money, Securities, and Property
25. § 1.20 Futures customer funds to be segregated and separately accounted for.
26. § 1.21 Care of money and equities accruing to futures customers.
27. § 1.22 Use of futures customer funds restricted.
28. § 1.23 Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
29. § 1.24 Segregated funds; exclusions therefrom.
30. § 1.25 Investment of customer funds.
31. § 1.26 Deposit of instruments purchased with futures customer funds.
32. § 1.27 Record of investments.
33. § 1.28 Appraisal of instruments purchased with customer funds.
34. § 1.29 Gains and losses resulting from investment of customer funds.
35. § 1.30 Loans by futures commission merchants; treatment of proceeds.
36. 5 Recordkeeping
37. § 1.31 Regulatory records; retention and production.
38. § 1.32 Reporting of segregated account computation and details regarding the holding of futures customer funds.
39. § 1.33 Monthly and confirmation statements.
40. § 1.34 Monthly record, “point balance”.
41. § 1.35 Records of commodity interest and related cash or forward transactions.
42. § 1.36 Record of securities and property received from customers.
43. § 1.37 Customer's name, address, and occupation recorded; record of guarantor or controller of account.
44. § 1.38 Execution of transactions.
45. § 1.39 Simultaneous buying and selling orders of different principals; execution of, for and between principals.
46. 6 Miscellaneous
47. § 1.40 Crop, market information letters, reports; copies required.
48. § 1.41 Designation of hedging accounts.
49. § 1.42 Delivery accounts.
50. § 1.43 Letters of credit as collateral.
51. § 1.44 Margin adequacy and treatment of separate accounts.
52. § 1.45 [Reserved]
53. § 1.46 Application and closing out of offsetting long and short positions.
54. §§ 1.47-1.48 [Reserved]
55. § 1.49 Denomination of customer funds and location of depositories.
56. §§ 1.50-1.51 [Reserved]
57. § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements.
58. § 1.53 [Reserved]
59. § 1.54 Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
60. § 1.55 Public disclosures by futures commission merchants.
61. § 1.56 Prohibition of guarantees against loss.
62. § 1.57 Operations and activities of introducing brokers.
63. § 1.58 Gross collection of exchange-set margins.
64. § 1.59 Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
65. § 1.60 Pending legal proceedings.
66. §§ 1.61-1.62 [Reserved]
67. § 1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
68. § 1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees.
69. § 1.65 Notice of bulk transfers and disclosure obligations to customers.
70. § 1.66 No-action positions with respect to floor traders.
71. § 1.67 Notification of final disciplinary action involving financial harm to a customer.
72. § 1.68 [Reserved]
73. § 1.69 Voting by interested members of self-regulatory organization governing boards and various committees.
74. § 1.70 Notification of State enforcement actions brought under the Commodity Exchange Act.
75. § 1.71 Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
76. § 1.72 Restrictions on customer clearing arrangements.
77. § 1.73 Clearing futures commission merchant risk management.
78. § 1.74 Futures commission merchant acceptance for clearing.
79. § 1.75 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with futures commission merchant acceptance for clearing.
80. Appendix A to Part 1 Treatment of Certain Foreign Currencies for Margin Adequacy Requirements Under Regulation 1.44
81. Appendix B to Part 1 Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
82. Appendix C to Part 1 Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
83. Appendix D to Part 1 Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
84. Appendix E to Part 1 Government Money Market Fund Prospectus Provisions Acceptable for Compliance with § 1.25(c)(5)
85. Appendix F to Part 1 Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
86. Appendix G to Part 1 Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
87. PART 2 OFFICIAL SEAL
88. § 2.1 Description.
89. § 2.2 Authority to affix seal.
90. § 2.3 Prohibitions against misuse of seal.
91. § 2.4 Employee Recreation Association's use of Commission seal.
92. PART 3 REGISTRATION
93. Subpart A Registration
94. § 3.1 Definitions.
95. § 3.2 Registration processing by the National Futures Association; notification and duration of registration.
96. § 3.3 Chief compliance officer.
97. § 3.4 Registration in one capacity not included in registration in any other capacity.
98. §§ 3.5-3.9 [Reserved]
99. § 3.10 Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants.
100. § 3.11 Registration of floor brokers and floor traders.
101. § 3.12 Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
102. §§ 3.13-3.20 [Reserved]
103. § 3.21 Exemption from fingerprinting requirement in certain cases.
104. § 3.22 Supplemental filings.
105. §§ 3.23-3.29 [Reserved]
106. § 3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
107. § 3.31 Deficiencies, inaccuracies, and changes, to be reported.
108. § 3.33 Withdrawal from registration.
109. Subpart B Temporary Licenses
110. § 3.40 Temporary licensing of applicants for associated person, floor broker or floor trader registration.
111. § 3.42 Termination.
112. § 3.43 Relationship to registration.
113. § 3.44 Temporary licensing of applicants for guaranteed introducing broker registration.
114. § 3.45 Restrictions upon activities.
115. § 3.46 Termination.
116. § 3.47 Relationship to registration.
117. Subpart C Denial, Suspension or Revocation of Registration
118. § 3.50 Service.
119. § 3.51 Withdrawal of application for registration.
120. §§ 3.52-3.54 [Reserved]
121. § 3.55 Suspension and revocation of registration pursuant to section 8a(2) of the Act.
122. § 3.56 Suspension or modification of registration pursuant to section 8a(11) of the Act.
123. § 3.57 Proceedings under section 8a(2)(E) of the Act.
124. § 3.60 Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
125. § 3.61 Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
126. § 3.62 [Reserved]
127. § 3.63 Service of order issued by an Administrative Law Judge or the Commission.
128. § 3.64 Procedure to lift or modify conditions or restrictions.
129. Subpart D Notice Under Section 4k(5) of the Act
130. § 3.70 Notification of certain information regarding associated persons.
131. Subpart E Delegation and Reservation of Authority
132. § 3.75 Delegation and reservation of authority.
133. 0
134. Appendix A to Part 3 Interpretative Statement With Respect to Section 8a(2)(C) and (E) and Section 8a(3)(J) and (M) of the Commodity Exchange Act
135. Appendix B to Part 3 Statement of Acceptable Practices With Respect to Ethics Training
136. Appendix C to Part 3 Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content
137. PART 4 COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS
138. Subpart A General Provisions, Definitions and Exemptions
139. § 4.1 Requirements as to form.
140. §§ 4.2-4.4 [Reserved]
141. § 4.5 Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
142. § 4.6 Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
143. § 4.7 Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons and for commodity trading advisors with respect to advising qualified eligible persons.
144. § 4.8 Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.
145. § 4.9 [Reserved]
146. § 4.10 Definitions.
147. § 4.11 Exemption from section 4n(3)(B).
148. § 4.12 Exemption from provisions of this part.
149. § 4.13 Exemption from registration as a commodity pool operator.
150. § 4.14 Exemption from registration as a commodity trading advisor.
151. § 4.15 Continued applicability of antifraud section.
152. § 4.16 Prohibited representations.
153. § 4.17 Severability.
154. Subpart B Commodity Pool Operators
155. § 4.20 Prohibited activities.
156. § 4.21 Required delivery of pool Disclosure Document.
157. § 4.22 Reporting to pool participants.
158. § 4.23 Recordkeeping.
159. § 4.24 General disclosures required.
160. § 4.25 Performance disclosures.
161. § 4.26 Use, amendment and filing of Disclosure Document.
162. § 4.27 Additional reporting by commodity pool operators and commodity trading advisors.
163. Subpart C Commodity Trading Advisors
164. § 4.30 Prohibited activities.
165. § 4.31 Required delivery of Disclosure Document to prospective clients.
166. § 4.32 [Reserved]
167. § 4.33 Recordkeeping.
168. § 4.34 General disclosures required.
169. § 4.35 Performance disclosures.
170. § 4.36 Use, amendment and filing of Disclosure Document.
171. Subpart D Advertising
172. § 4.40 [Reserved]
173. § 4.41 Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
174. 0
175. Appendix A to Part 4 Form CPO-PQR
176. Appendix B to Part 4 Adjustments for Additions and Withdrawals in the Computation of Rate of Return
177. Appendix C to Part 4 Form CTA-PR
178. PART 5 OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
179. § 5.1 Definitions.
180. § 5.2 Prohibited transactions.
181. § 5.3 Registration of persons engaged in retail forex transactions.
182. § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
183. § 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
184. § 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
185. § 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
186. § 5.8 Aggregate retail forex assets.
187. § 5.9 Security deposits for retail forex transactions.
188. § 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
189. § 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
190. § 5.12 Financial reports of retail foreign exchange dealers.
191. § 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
192. § 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
193. § 5.15 Unlawful representations.
194. § 5.16 Prohibition of guarantees against loss.
195. § 5.17 Authorization to trade.
196. § 5.18 Trading and operational standards.
197. § 5.19 Pending legal proceedings.
198. § 5.20 Special calls for account and transaction information.
199. § 5.21 Supervision.
200. § 5.22 Registered futures association membership.
201. § 5.23 Notice of bulk transfers and bulk liquidations.
202. § 5.24 Applicability of other parts of this chapter
203. § 5.25 Applicability of the Act.
204. PART 7 REGISTERED ENTITY RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION
205. Subpart A General Provisions
206. § 7.1 Scope of rules.
207. B Subparts B-C [Reserved]
208. 8 PART 8 [RESERVED]
209. PART 9 RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS
210. Subpart A General Provisions
211. § 9.1 Scope of rules.
212. § 9.2 Definitions.
213. § 9.3 Provisions referenced.
214. § 9.4 Filing and service; official docket.
215. § 9.5 Motions.
216. § 9.6 Sanctions for noncompliance.
217. § 9.7 Settlement.
218. § 9.8 Practice before the Commission.
219. § 9.9 Waiver of rules; delegation of authority.
220. Subpart B Notice and Effective Date of Disciplinary Action or Access Denial Action
221. § 9.10 [Reserved]
222. § 9.11 Form, contents and delivery of notice of disciplinary or access denial action.
223. § 9.12 Effective date of disciplinary or access denial action.
224. § 9.13 Publication of notice.
225. §§ 9.14-9.19 [Reserved]
226. Subpart C Initial Procedure With Respect to Appeals
227. § 9.20 Notice of appeal.
228. § 9.21 Record of exchange proceeding.
229. § 9.22 Appeal brief.
230. § 9.23 Answering brief.
231. § 9.24 Petition for stay pending review.
232. § 9.25 Limited participation of interested persons.
233. § 9.26 Participation of Commission staff.
234. §§ 9.27-9.29 [Reserved]
235. Subpart D Commission Review of Disciplinary, Access Denial or Other Adverse Action
236. § 9.30 Scope of review.
237. § 9.31 Commission review of disciplinary or access denial action on its own motion.
238. § 9.32 Oral argument.
239. § 9.33 Final decision by the Commission.
240. PART 10 RULES OF PRACTICE
241. Subpart A General Provisions
242. § 10.1 Scope and applicability of rules of practice.
243. § 10.2 Definitions.
244. § 10.3 Suspension, amendment, revocation and waiver of rules.
245. § 10.4 Business address; hours.
246. § 10.5 Computation of time.
247. § 10.6 Changes in time permitted for filing.
248. § 10.7 Date of entry of orders.
249. § 10.8 Presiding officers.
250. § 10.9 Separation of functions.
251. § 10.10 Ex parte communications.
252. § 10.11 Appearance in adjudicatory proceedings.
253. § 10.12 Service and filing of documents; form and execution.
254. Subpart B Institution of Adjudica- tory Proceedings; Pleadings; Motions
255. § 10.21 Commencement of the proceeding.
256. § 10.22 Complaint and notice of hearing.
257. § 10.23 Answer.
258. § 10.24 Amendments and supplemental pleadings.
259. § 10.25 Form of pleadings.
260. § 10.26 Motions and other papers.
261. Subpart C Parties and Limited Participation
262. § 10.31 Parties.
263. § 10.32 Substitution of parties.
264. § 10.33 Intervention as a party.
265. § 10.34 Limited participation.
266. § 10.35 Permission to state views.
267. § 10.36 Commission review of rulings.
268. Subpart D Prehearing Procedures; Prehearing Conferences; Discovery; Depositions
269. § 10.41 Prehearing conferences; procedural matters.
270. § 10.42 Discovery.
271. § 10.43 Stipulations.
272. § 10.44 Depositions and interrogatories.
273. Subpart E Hearings
274. § 10.61 Time and place of hearing.
275. § 10.62 Appearances.
276. § 10.63 Consolidation; separate hearings.
277. § 10.64 Public hearings.
278. § 10.65 Record of hearing.
279. § 10.66 Conduct of the hearing.
280. § 10.67 Evidence.
281. § 10.68 Subpoenas.
282. § 10.69 Reopening hearings.
283. Subpart F Post Hearing Procedures; Initial Decisions
284. § 10.81 Filing the transcript of evidence.
285. § 10.82 Proposed findings and conclusions; briefs.
286. § 10.83 Oral arguments.
287. § 10.84 Initial decision.
288. Subpart G Disposition Without Full Hearing
289. § 10.91 Summary disposition.
290. § 10.92 Shortened procedure.
291. § 10.93 Obtaining default order.
292. § 10.94 Setting aside of default.
293. Subpart H Appeals to the Commission; Settlements
294. § 10.101 Interlocutory appeals.
295. § 10.102 Review of initial decisions.
296. § 10.103 Oral argument before the Commission.
297. § 10.104 Scope of review; Commission decision.
298. § 10.105 Review by Commission on its own initiative.
299. § 10.106 Reconsideration; stay pending judicial review.
300. § 10.107 Leave to adduce additional evidence.
301. § 10.108 Settlements.
302. § 10.109 Delegation of authority to Chief of the Opinions Section.
303. Subpart I Restitution Orders
304. § 10.110 Basis for issuance of restitution orders.
305. § 10.111 Recommendation of procedure for implementing restitution.
306. § 10.112 Administration of restitution.
307. § 10.113 Right to challenge distribution of funds to customers.
308. § 10.114 Acceleration of establishment of restitution procedure.
309. 0
310. PART 11 RULES RELATING TO INVESTIGATIONS
311. § 11.1 Scope and applicability of rules.
312. § 11.2 Authority to conduct investigations.
313. § 11.3 Confidentiality of investigations.
314. § 11.4 Subpoenas.
315. § 11.5 Transcripts.
316. § 11.6 Oath; false statements.
317. § 11.7 Rights of witnesses.
318. § 11.8 Sequestration.
319. Appendix A to Part 11 Informal Procedure Relating to the Recommendation of Enforcement Proceedings
320. PART 12 RULES RELATING TO REPARATIONS
321. Subpart A General Information and Preliminary Consideration of Pleadings
322. § 12.1 Scope and applicability of rules of practice relating to reparations.
323. § 12.2 Definitions.
324. § 12.3 Business address; hours.
325. § 12.4 Suspension, amendment, revocation and waiver of rules.
326. § 12.5 Computation of time.
327. § 12.6 Extensions of time; adjournments; postponements.
328. § 12.7 Ex parte communications in reparation proceedings.
329. § 12.8 Separation of functions.
330. § 12.9 Practice before the Commission.
331. § 12.10 Service.
332. § 12.11 Formalities of filing of documents with the Proceedings Clerk.
333. § 12.12 Signature.
334. § 12.13 Complaint; election of procedure.
335. § 12.14 Withdrawal of complaint.
336. § 12.15 Notification of complaint.
337. § 12.16 Response to complaint.
338. § 12.17 Satisfaction of complaint.
339. § 12.18 Answer; election of procedure.
340. § 12.19 Counterclaim.
341. § 12.20 Response to counterclaim; reply; election of procedure.
342. § 12.21 Voluntary dismissal.
343. § 12.22 Default proceedings.
344. § 12.23 Setting aside of default.
345. § 12.24 Parallel proceedings.
346. § 12.25 Filing fees.
347. § 12.26 Commencement of a reparation proceeding.
348. § 12.27 Termination of consideration of pleadings.
349. Subpart B Discovery
350. § 12.30 Methods of discovery.
351. § 12.31 Production of documents and tangible items.
352. § 12.32 Depositions on written interrogatories.
353. § 12.33 Admissions.
354. § 12.34 Discovery by a decisionmaking official.
355. § 12.35 Consequences of a party's failure to comply with a discovery order.
356. § 12.36 Subpoenas to compel discovery.
357. Subpart C Rules Applicable to Voluntary Decisional Proceedings
358. § 12.100 Scope and applicability of rules.
359. § 12.101 Functions and responsibilities of the Administrative Judge.
360. § 12.102 Disqualification of Administrative Judge.
361. § 12.103 Filing of documents; subscription; service.
362. § 12.104 Amendments to pleadings; motions.
363. § 12.105 Submission of proof only in documentary or tangible form.
364. § 12.106 Final decision and order.
365. Subpart D Rules Applicable to Summary Decisional Proceedings
366. § 12.200 Scope and applicability of this subpart.
367. § 12.201 Functions and responsibilities of the Administrative Judge.
368. § 12.202 Disqualification of Administrative Judge.
369. § 12.203 Filing of documents; subscription; service.
370. § 12.204 Amended and supplemental pleadings.
371. § 12.205 Motions.
372. § 12.206 Pre-decision conferences.
373. § 12.207 Summary disposition.
374. § 12.208 Submissions of proof.
375. § 12.209 Oral testimony.
376. § 12.210 Initial decision.
377. Subpart E Rules Applicable to Formal Decisional Proceedings
378. § 12.300 Scope and applicability of rules.
379. §§ 12.301-12.302 [Reserved]
380. § 12.303 Pre-decision conferences.
381. § 12.304 Functions and responsibilities of the Administrative Law Judge.
382. § 12.305 Disqualification of Administrative Law Judge.
383. § 12.306 Filing of documents; subscription; service.
384. § 12.307 Amended and supplemental pleadings.
385. § 12.308 Motions.
386. § 12.309 Interlocutory review by the Commission.
387. § 12.310 Summary disposition.
388. § 12.311 Disposing of proceeding or issues without oral hearing.
389. § 12.312 Oral hearing.
390. § 12.313 Subpoenas for attendance at an oral hearing.
391. § 12.314 Initial decision.
392. § 12.315 Consequences of overstating damages claims not in excess of $30,000.
393. Subpart F Commission Review of Decisions
394. § 12.400 Scope and applicability of rules.
395. § 12.401 Appeal to the Commission.
396. § 12.402 Appeal of disposition of less than all claims or parties in a proceeding.
397. § 12.403 Commission review on its own motion.
398. § 12.404 The record of proceedings.
399. § 12.405 Leave to adduce additional evidence.
400. § 12.406 Final decision of the Commission.
401. § 12.407 Satisfaction of reparation award; enforcement; sanctions.
402. § 12.408 Delegation of authority to the General Counsel.
403. PART 13 PROCEDURES FOR PETITIONS FOR RULEMAKING
404. § 13.1 Petition for issuance, amendment, or repeal of a rule.
405. § 13.2 [Reserved]
406. PART 14 RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE
407. § 14.1 Scope.
408. § 14.2 Definitions of appearance and practice.
409. § 14.3 Hearings.
410. § 14.4 Violation of Commodity Exchange Act.
411. § 14.5 Criminal conviction.
412. § 14.6 Disbarment or suspension by licensing authority.
413. § 14.7 Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding.
414. § 14.8 Lack of requisite qualifications, character and integrity.
415. § 14.9 Duty to file information concerning adverse judicial or administrative action.
416. § 14.10 Reinstatement.
417. PART 15 REPORTS—GENERAL PROVISIONS
418. § 15.00 Definitions of terms used in parts 15 to 19, and 21 of this chapter.
419. § 15.01 Persons required to report.
420. § 15.02 Reporting forms.
421. § 15.03 Reporting levels.
422. § 15.04 Reportable trading volume level.
423. § 15.05 Designation of agent for foreign persons.
424. § 15.06 Delegations.
425. PART 16 REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES
426. § 16.00 Clearing member reports.
427. § 16.01 Publication of market data on futures, swaps and options thereon: trading volume, open contracts, prices, and critical dates.
428. § 16.02 Daily trade and supporting data reports.
429. §§ 16.03-16.05 [Reserved]
430. § 16.06 Errors or omissions.
431. § 16.07 Delegation of authority to the Director of the Division of Data and to the Director of the Division of Market Oversight.
432. PART 17 REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS
433. § 17.00 Information to be furnished by futures commission merchants, clearing members and foreign brokers.
434. § 17.01 Identification of special accounts, volume threshold accounts, and omnibus accounts.
435. § 17.02 Form, manner and time of filing reports.
436. § 17.03 Delegation of authority to the Director of the Division of Data or the Director of the Division of Market Oversight.
437. § 17.04 Reporting omnibus accounts to reporting firms.
438. Appendix A to Part 17 Form 102
439. Appendix B to Part 17 Form 71
440. Appendix C to Part 17 Data Elements
441. PART 18 REPORTS BY TRADERS
442. § 18.00 Information to be furnished by traders.
443. § 18.01 Interest in or control of several accounts.
444. § 18.02 [Reserved]
445. § 18.03 Delegation of authority.
446. § 18.04 Statement of reporting trader.
447. § 18.05 Maintenance of books and records.
448. § 18.06 [Reserved]
449. Appendix A to Part 18 Form 40
450. PART 19 REPORTS BY PERSONS HOLDING REPORTABLE POSITIONS IN EXCESS OF POSITION LIMITS, AND BY MERCHANTS AND DEALERS IN COTTON
451. § 19.00 Who shall furnish information.
452. § 19.01 [Reserved]
453. § 19.02 Reports pertaining to cotton on call purchases and sales.
454. § 19.03 Delegation of authority to the Director of the Division of Enforcement.
455. §§ 19.04--19.10 [Reserved]
456. PART 20 LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS
457. § 20.1 Definitions.
458. § 20.2 Covered contracts.
459. § 20.3 Clearing organizations.
460. § 20.4 Reporting entities.
461. § 20.5 Series S filings.
462. § 20.6 Maintenance of books and records.
463. § 20.7 Form and manner of reporting and submitting information or filings.
464. § 20.8 Delegation of authority.
465. § 20.9 Sunset provision.
466. § 20.10 Compliance schedule.
467. § 20.11 Diversified commodity indices.
468. Appendix A to Part 20 Guidelines on Futures Equivalency
469. Appendix B to Part 20 Explanatory Guidance on Data Record Layouts
470. PART 21 SPECIAL CALLS
471. § 21.00 Preparation and transmission of information upon special call.
472. § 21.01 Special calls for information on controlled accounts from futures commission merchants, clearing members and introducing brokers.
473. § 21.02 Special calls for information on open contracts in accounts carried or introduced by futures commission merchants, clearing members, members of reporting markets, introducing brokers, and foreign brokers.
474. § 21.03 Selected special calls-duties of foreign brokers, domestic and foreign traders, futures commission merchants, clearing members, introducing brokers, and reporting markets.
475. § 21.04 Special calls for information on customer accounts or related cleared positions.
476. § 21.05 Delegation of authority.
477. § 21.06 Delegation of authority to the Director of the Division of Clearing and Risk.
478. PART 22 CLEARED SWAPS
479. § 22.1 Definitions.
480. § 22.2 Futures Commission Merchants: Treatment of Cleared Swaps and Associated Cleared Swaps Customer Collateral.
481. § 22.3 Derivatives clearing organizations: Treatment of cleared swaps customer collateral.
482. § 22.4 Futures Commission Merchants and derivatives clearing organizations: Permitted Depositories.
483. § 22.5 Futures commission merchants and derivatives clearing organizations: Written acknowledgement.
484. § 22.6 Futures commission merchants and derivatives clearing organizations: Naming of Cleared Swaps Customer Accounts.
485. § 22.7 Permitted depositories: Treatment of Cleared Swaps Customer Collateral.
486. § 22.8 Situs of Cleared Swaps Customer Accounts.
487. § 22.9 Denomination of Cleared Swaps Customer Collateral and location of depositories.
488. § 22.10 Application of other regulatory provisions.
489. § 22.11 Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps.
490. § 22.12 Information to be maintained regarding Cleared Swaps Customer Collateral.
491. § 22.13 Additions to Cleared Swaps Customer Collateral.
492. § 22.14 Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full.
493. § 22.15 Treatment of Cleared Swaps Customer Collateral on an individual basis.
494. § 22.16 Disclosures to Cleared Swaps Customers.
495. § 22.17 Policies and procedures governing disbursements of Cleared Swaps Customer Collateral from Cleared Swaps Customer Accounts.
496. PART 23 SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
497. A Subpart A [Reserved]
498. §§ 23.1-23.20 [Reserved]
499. Subpart B Registration
500. § 23.21 Registration of swap dealers and major swap participants.
501. § 23.22 Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant.
502. § 23.23 Cross-border application.
503. §§ 23.24-23.40 [Reserved]
504. Subpart E Capital and Margin Requirements for Swap Dealers and Major Swap Participants
505. § 23.100 Definitions applicable to capital requirements.
506. § 23.101 Minimum financial requirements for swap dealers and major swap participants.
507. § 23.102 Calculation of market risk exposure requirement and credit risk exposure requirement using internal models.
508. § 23.103 Calculation of market risk exposure requirement and credit risk requirement when models are not approved.
509. § 23.104 Equity Withdrawal Restrictions.
510. § 23.105 Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants.
511. § 23.106 Substituted compliance for swap dealer's and major swap participant's capital and financial reporting.
512. §§ 23.107-23.149 [Reserved]
513. § 23.150 Scope.
514. § 23.151 Definitions applicable to margin requirements.
515. § 23.152 Collection and posting of initial margin.
516. § 23.153 Collection and posting of variation margin.
517. § 23.154 Calculation of initial margin.
518. § 23.155 Calculation of variation margin.
519. § 23.156 Forms of margin.
520. § 23.157 Custodial arrangements.
521. § 23.158 Margin documentation.
522. § 23.159 Special rules for affiliates.
523. § 23.160 Cross-border application.
524. § 23.161 Compliance dates.
525. §§ 23.162-23.199 [Reserved]
526. Appendix A to Subpart E of Part 23 Application for Internal Models To Compute Market Risk Exposure Requirement and Credit Risk Exposure Requirement
527. Appendix B to Subpart E of Part 23 Swap Dealer and Major Swap Participant Position Information
528. Appendix C to Subpart E of Part 23 Specific Position Information for Swap Dealers and Major Swap Participants Subjects to the Capital Requirements of a Prudential Regulator
529. Subpart F Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
530. § 23.200 Definitions.
531. § 23.201 Required records.
532. § 23.202 Daily trading records.
533. § 23.203 Records; retention and inspection.
534. § 23.204 Reports to swap data repositories.
535. § 23.205 Real-time public reporting.
536. § 23.206 Delegation of authority to the Director of the Market Participants Division to establish an alternative compliance schedule to comply with daily trading records.
537. Subpart H Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, Including Special Entities
538. § 23.400 Scope.
539. § 23.401 Definitions.
540. § 23.402 General provisions.
541. §§ 23.403-23.409 [Reserved]
542. § 23.410 Prohibition on fraud, manipulation, and other abusive practices.
543. §§ 23.411-23.429 [Reserved]
544. § 23.430 Verification of counterparty eligibility.
545. § 23.431 Disclosures of material information.
546. § 23.432 Clearing disclosures.
547. § 23.433 Communications—fair dealing.
548. § 23.434 Recommendations to counterparties—institutional suitability.
549. §§ 23.435-23.439 [Reserved]
550. § 23.440 Requirements for swap dealers acting as advisors to Special Entities.
551. §§ 23.441-23.449 [Reserved]
552. § 23.450 Requirements for swap entities acting as counterparties to Special Entities.
553. § 23.451 Political contributions by certain swap dealers.
554. Appendix A to Subpart H of Part 23 Guidance on the Application of §§ 23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities
555. Subpart I Swap Documentation
556. § 23.500 Definitions.
557. § 23.501 Swap confirmation.
558. § 23.502 Portfolio reconciliation.
559. § 23.503 Portfolio compression.
560. § 23.504 Swap trading relationship documentation.
561. § 23.505 End user exception documentation.
562. § 23.506 Swap processing and clearing.
563. Part 23, Subpart I, Appendix 1 Exhibits A-D
564. Subpart J Duties of Swap Dealers and Major Swap Participants
565. § 23.600 Risk Management Program for swap dealers and major swap participants.
566. § 23.601 Monitoring of position limits.
567. § 23.602 Diligent supervision.
568. § 23.603 Business continuity and disaster recovery.
569. § 23.604 [Reserved]
570. § 23.605 Conflicts of interest policies and procedures.
571. § 23.606 General information: availability for disclosure and inspection.
572. § 23.607 Antitrust considerations.
573. § 23.608 Restrictions on counterparty clearing relationships.
574. § 23.609 Clearing member risk management.
575. § 23.610 Clearing member acceptance for clearing.
576. § 23.611 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with clearing member acceptance for clearing.
577. K Subpart K [Reserved]
578. Subpart L Segregation of Assets Held as Collateral in Uncleared Swap Transactions
579. § 23.700 Definitions.
580. § 23.701 Notification of right to segregation.
581. § 23.702 Requirements for segregated initial margin.
582. § 23.703 Investment of segregated initial margin.
583. § 23.704 Requirements for non-segregated margin.
584. PART 30 FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS
585. § 30.1 Definitions.
586. § 30.2 Applicability of the Act and rules.
587. § 30.3 Prohibited transactions.
588. § 30.4 Registration required.
589. § 30.5 Alternative procedures for non-domestic persons.
590. § 30.6 Disclosure.
591. § 30.7 Treatment of foreign futures or foreign options secured amount.
592. § 30.8 [Reserved]
593. § 30.9 Fraudulent transactions prohibited.
594. § 30.10 Petitions for exemption.
595. § 30.11 Applicability of state law.
596. § 30.12 Direct foreign order transmittal.
597. § 30.13 Commission certification.
598. Appendix A to Part 30 Interpretative Statement With Respect to the Commission's Exemptive Authority Under § 30.10 of Its Rules
599. Appendix B to Part 30 Interpretative Statement With Respect to the Secured Amount Requirement Set Forth in § 30.7
600. Appendix C to Part 30 Foreign Petitioners Granted Relief From the Application of Certain of the Part 30 Rules Pursuant to § 30.10
601. Appendix D to Part 30 Commission Certification With Respect to Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index
602. Appendix E to Part 30 Acknowledgment Letter for CFTC Regulation 30.7 Customer Secured Account
603. Appendix F to Part 30 Acknowledgment Letter for CFTC Regulation 30.7 Customer Secured Government Money Market Fund Account
604. PART 31 LEVERAGE TRANSACTIONS
605. §§ 31.1-31.2 [Reserved]
606. § 31.3 Fraud in connection with certain transactions in silver or gold bullion or bulk coins, or other commodities.
607. § 31.4 Definitions.
608. § 31.5 Unlawful conduct.
609. § 31.6 Registration of leverage commodities.
610. § 31.7 Maintenance of minimum financial, cover and segregation requirements by leverage transaction merchants.
611. § 31.8 Cover of leverage contracts.
612. § 31.9 Minimum financial requirements.
613. § 31.10 Repurchase and resale of leverage contracts by leverage transaction merchants.
614. § 31.11 Disclosure.
615. § 31.12 Segregation.
616. § 31.13 Financial reports of leverage transaction merchants.
617. § 31.14 Recordkeeping.
618. § 31.15 Reporting to leverage customers.
619. § 31.16 Monthly reporting requirements.
620. § 31.17 Records of leverage transactions.
621. § 31.18 Margin calls.
622. § 31.19 Unlawful representations.
623. § 31.20 Prohibition of guarantees against loss.
624. § 31.21 Leverage contracts entered into prior to April 13, 1984; subsequent transactions.
625. § 31.22 Prohibited trading in leverage contracts.
626. § 31.23 Limited right to rescind first leverage contract.
627. § 31.24 [Reserved]
628. § 31.25 Bid and ask prices; carrying charges.
629. § 31.26 Quarterly reporting requirement.
630. § 31.27 Registered futures association membership.
631. § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements.
632. § 31.29 Arbitration or other dispute settlement procedures.
633. Appendix A to Part 31 Schedule of Fees for Registration of Leverage Commodities
634. PART 32 REGULATION OF COMMODITY OPTION TRANSACTIONS
635. § 32.1 Scope.
636. § 32.2 Commodity option transactions; general authorization.
637. § 32.3 Trade options.
638. § 32.4 Fraud in connection with commodity option transactions.
639. § 32.5 Option transactions entered into prior to the effective date of this part.
640. PART 33 REGULATION OF COMMODITY OPTION TRANSACTIONS THAT ARE OPTIONS ON CONTRACTS OF SALE OF A COMMODITY FOR FUTURE DELIVERY
641. § 33.1 Definitions.
642. § 33.2 Applicability of Act and rules; scope of part 33.
643. § 33.3 Unlawful commodity option transactions.
644. § 33.4 Designation as a contract market for the trading of commodity options.
645. § 33.5 Application for designation as a contract market for the trading of commodity options.
646. § 33.6 Suspension or revocation of designation as a contract market for the trading of commodity options.
647. § 33.7 Disclosure.
648. § 33.8 Promotional material.
649. § 33.9 Unlawful activities.
650. § 33.10 Fraud in connection with commodity option transactions.
651. § 33.11 Exemptions.
652. PART 34 REGULATION OF HYBRID INSTRUMENTS
653. § 34.1 Scope.
654. § 34.2 Definitions.
655. § 34.3 Hybrid instrument exemption.
656. PART 35 SWAPS IN AN AGRICULTURAL COMMODITY (AGRICULTURAL SWAPS)
657. § 35.1 Agricultural swaps, generally.
658. PART 36 TRADE EXECUTION REQUIREMENT
659. § 36.1 Exemptions to trade execution requirement.
660. PART 37 SWAP EXECUTION FACILITIES
661. Subpart A General Provisions
662. § 37.1 Scope.
663. § 37.2 Applicable provisions.
664. § 37.3 Requirements and procedures for registration.
665. § 37.4 Procedures for listing products and implementing rules.
666. § 37.5 Information relating to swap execution facility compliance.
667. § 37.6 Enforceability.
668. § 37.7 Prohibited use of data collected for regulatory purposes.
669. § 37.8 Boards of trade operating both a designated contract market and a swap execution facility.
670. § 37.9 Methods of execution for required and permitted transactions.
671. § 37.10 Process for a swap execution facility to make a swap available to trade.
672. § 37.11 [Reserved]
673. § 37.12 Trade execution compliance schedule.
674. Subpart B Compliance With Core Principles
675. § 37.100 Core Principle 1—Compliance with core principles.
676. Subpart C Compliance With Rules
677. § 37.200 Core Principle 2—Compliance with rules.
678. § 37.201 Operation of swap execution facility and compliance with rules.
679. § 37.202 Access requirements.
680. § 37.203 Rule enforcement program.
681. § 37.204 Regulatory services provided by a third party.
682. § 37.205 Audit trail.
683. § 37.206 Disciplinary procedures and sanctions.
684. Subpart D Swaps Not Readily Susceptible to Manipulation
685. § 37.300 Core Principle 3—Swaps not readily susceptible to manipulation.
686. § 37.301 General requirements.
687. Subpart E Monitoring of Trading and Trade Processing
688. § 37.400 Core Principle 4—Monitoring of trading and trade processing.
689. § 37.401 General requirements.
690. § 37.402 Additional requirements for physical-delivery swaps.
691. § 37.403 Additional requirements for cash-settled swaps.
692. § 37.404 Ability to obtain information.
693. § 37.405 Risk controls for trading.
694. § 37.406 Trade reconstruction.
695. § 37.407 Regulatory service provider.
696. § 37.408 Additional sources for compliance.
697. Subpart F Ability to Obtain Information
698. § 37.500 Core Principle 5—Ability to obtain information.
699. § 37.501 Establish and enforce rules.
700. § 37.502 Collection of information.
701. § 37.503 Provide information to the Commission.
702. § 37.504 Information-sharing agreements.
703. Subpart G Position Limits or Accountability
704. § 37.600 Core Principle 6—Position limits or accountability.
705. § 37.601 Additional sources for compliance.
706. Subpart H Financial Integrity of Transactions
707. § 37.700 Core Principle 7—Financial integrity of transactions.
708. § 37.701 Required clearing.
709. § 37.702 General financial integrity.
710. § 37.703 Monitoring for financial soundness.
711. Subpart I Emergency Authority
712. § 37.800 Core Principle 8—Emergency authority.
713. § 37.801 Additional sources for compliance.
714. Subpart J Timely Publication of Trading Information
715. § 37.900 Core Principle 9—Timely publication of trading information.
716. § 37.901 General requirements.
717. Subpart K Recordkeeping and Reporting
718. § 37.1000 Core Principle 10—Recordkeeping and reporting.
719. § 37.1001 Recordkeeping.
720. Subpart L Antitrust Considerations
721. § 37.1100 Core Principle 11—Antitrust considerations.
722. § 37.1101 Additional sources for compliance.
723. Subpart M Conflicts of Interest
724. § 37.1200 Core Principle 12—Conflicts of interest.
725. Subpart N Financial Resources
726. § 37.1300 Core Principle 13—Financial resources.
727. § 37.1301 General requirements.
728. § 37.1302 Types of financial resources.
729. § 37.1303 Liquidity of financial resources.
730. § 37.1304 Computation of costs to meet financial resources requirement.
731. § 37.1305 Valuation of financial resources.
732. § 37.1306 Reporting to the Commission.
733. § 37.1307 Delegation of authority.
734. Subpart O System Safeguards
735. § 37.1400 Core Principle 14—System safeguards.
736. § 37.1401 Requirements.
737. Subpart P Designation of Chief Compliance Officer
738. § 37.1500 Core Principle 15—Designation of chief compliance officer.
739. § 37.1501 Chief compliance officer.
740. Appendix A to Part 37 Form SEF
741. Appendix B to Part 37 Guidance on, and Acceptable Practices in, Compliance with Core Principles
742. PART 38 DESIGNATED CONTRACT MARKETS
743. Subpart A General Provisions
744. § 38.1 Scope.
745. § 38.2 Exempt provisions.
746. § 38.3 Procedures for designation.
747. § 38.4 Procedures for listing products and implementing contract market rules.
748. § 38.5 Information relating to contract market compliance.
749. § 38.6 Enforceability.
750. § 38.7 Prohibited use of data collected for regulatory purposes.
751. § 38.8 Listing of swaps on a designated contract market.
752. § 38.9 Boards of trade operating both a designated contract market and a swap execution facility.
753. § 38.10 Reporting of swaps traded on a designated contract market.
754. § 38.11 Trade execution compliance schedule.
755. § 38.12 Process for a designated contract market to make a swap available to trade.
756. Subpart B Designation as Contract Market
757. § 38.100 Core Principle 1.
758. Subpart C Compliance With Rules
759. § 38.150 Core Principle 2.
760. § 38.151 Access requirements.
761. § 38.152 Abusive trading practices prohibited.
762. § 38.153 Capacity to detect and investigate rule violations.
763. § 38.154 Regulatory services provided by a third party.
764. § 38.155 Compliance staff and resources.
765. § 38.156 Automated trade surveillance system.
766. § 38.157 Real-time market monitoring.
767. § 38.158 Investigations and investigation reports.
768. § 38.159 Ability to obtain information.
769. § 38.160 Additional sources for compliance.
770. Subpart D Contracts Not Readily Subject to Manipulation
771. § 38.200 Core Principle 3.
772. § 38.201 Additional sources for compliance.
773. Subpart E Prevention of Market Disruption
774. § 38.250 Core Principle 4.
775. § 38.251 General requirements.
776. § 38.252 Additional requirements for physical-delivery contracts.
777. § 38.253 Additional requirements for cash-settled contracts.
778. § 38.254 Ability to obtain information.
779. § 38.255 Risk controls for trading.
780. § 38.256 Trade reconstruction.
781. § 38.257 Regulatory service provider.
782. § 38.258 Additional sources for compliance.
783. Subpart F Position Limitations or Accountability
784. § 38.300 Core Principle 5.
785. § 38.301 Position limitations and accountability.
786. Subpart G Emergency Authority
787. § 38.350 Core Principle 6.
788. § 38.351 Additional sources for compliance.
789. Subpart H Availability of General Information
790. § 38.400 Core Principle 7.
791. § 38.401 General requirements.
792. Subpart I Daily Publication of Trading Information
793. § 38.450 Core Principle 8.
794. § 38.451 Reporting of trade information.
795. Subpart J Execution of Transactions
796. § 38.500 Core Principle 9.
797. Subpart K Trade Information
798. § 38.550 Core Principle 10.
799. § 38.551 Audit trail required.
800. § 38.552 Elements of an acceptable audit trail program.
801. § 38.553 Enforcement of audit trail requirements.
802. Subpart L Financial Integrity of Transactions
803. § 38.600 Core Principle 11.
804. § 38.601 Mandatory clearing.
805. § 38.602 General financial integrity.
806. § 38.603 Protection of customer funds.
807. § 38.604 Financial surveillance.
808. § 38.605 Requirements for financial surveillance program.
809. § 38.606 Financial regulatory services provided by a third party.
810. § 38.607 Direct access.
811. Subpart M Protection of Markets and Market Participants
812. § 38.650 Core Principle 12.
813. § 38.651 Protection of markets and market participants.
814. Subpart N Disciplinary Procedures
815. § 38.700 Core Principle 13.
816. § 38.701 Enforcement staff.
817. § 38.702 Disciplinary panels.
818. § 38.703 Notice of charges.
819. § 38.704 Right to representation.
820. § 38.705 Answer to charges.
821. § 38.706 Denial of charges and right to hearing.
822. § 38.707 Hearings.
823. § 38.708 Decisions.
824. § 38.709 Final decisions.
825. § 38.710 Disciplinary sanctions.
826. § 38.711 Warning letters.
827. § 38.712 Additional sources for compliance.
828. Subpart O Dispute Resolution
829. § 38.750 Core Principle 14.
830. § 38.751 Additional sources for compliance.
831. Subpart P Governance Fitness Standards
832. § 38.800 Core Principle 15.
833. § 38.801 Additional sources for compliance.
834. Subpart Q Conflicts of Interest
835. § 38.850 Core Principle 16.
836. § 38.851 Additional sources for compliance.
837. Subpart R Composition of Governing Boards of Contract Markets
838. § 38.900 Core Principle 17.
839. Subpart S Recordkeeping
840. § 38.950 Core Principle 18.
841. § 38.951 Additional sources for compliance.
842. Subpart T Antitrust Considerations
843. § 38.1000 Core Principle 19.
844. § 38.1001 Additional sources for compliance.
845. Subpart U System Safeguards
846. § 38.1050 Core Principle 20.
847. § 38.1051 General requirements.
848. Subpart V Financial Resources
849. § 38.1100 Core Principle 21.
850. § 38.1101 General requirements.
851. Subpart W Diversity of Board of Directors
852. § 38.1150 Core Principle 22.
853. Subpart X Securities and Exchange Commission
854. § 38.1200 Core Principle 23.
855. § 38.1201 Additional sources for compliance.
856. 0
857. Appendix A to Part 38 Form DCM
858. Appendix B to Part 38 Guidance on, and Acceptable Practices in, Compliance With Core Principles
859. Appendix C to Part 38 Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation
860. PART 39 DERIVATIVES CLEARING ORGANIZATIONS
861. Subpart A General Provisions Applicable to Derivatives Clearing Organizations
862. § 39.1 Scope.
863. § 39.2 Definitions.
864. § 39.3 Procedures for registration.
865. § 39.4 Procedures for implementing derivatives clearing organization rules and clearing new products.
866. § 39.5 Review of swaps for Commission determination on clearing requirement.
867. § 39.6 Exemption from derivatives clearing organization registration.
868. § 39.7 Enforceability.
869. § 39.8 Fraud in connection with the clearing of transactions on a derivatives clearing organization.
870. Subpart B Compliance with Core Principles
871. § 39.9 Scope.
872. § 39.10 Compliance with core principles.
873. § 39.11 Financial resources.
874. § 39.12 Participant and product eligibility.
875. § 39.13 Risk management.
876. § 39.14 Settlement procedures.
877. § 39.15 Treatment of funds.
878. § 39.16 Default rules and procedures.
879. § 39.17 Rule enforcement.
880. § 39.18 System safeguards.
881. § 39.19 Reporting.
882. § 39.20 Recordkeeping.
883. § 39.21 Public information.
884. § 39.22 Information sharing.
885. § 39.23 Antitrust considerations.
886. § 39.24 Governance.
887. § 39.25 Conflicts of interest.
888. § 39.26 Composition of governing boards.
889. § 39.27 Legal risk considerations.
890. §§ 39.28-39.29 [Reserved]
891. Subpart C Provisions Applicable to Systemically Important Derivatives Clearing Organizations and Derivatives Clearing Organizations That Elect To Be Subject to the Provisions of This Subpart
892. § 39.30 Scope.
893. § 39.31 Election to become subject to the provisions of this subpart.
894. § 39.32 [Reserved]
895. § 39.33 Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
896. § 39.34 System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
897. § 39.35 Default rules and procedures for uncovered credit losses or liquidity shortfalls (recovery) for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
898. § 39.36 Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
899. § 39.37 Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
900. § 39.38 Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
901. § 39.39 Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
902. § 39.40 Consistency with the Principles for Financial Market Infrastructures.
903. § 39.41 Special enforcement authority for systemically important derivatives clearing organizations.
904. § 39.42 Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
905. §§ 39.43-39.49 [Reserved]
906. Subpart D Provisions Applicable to Derivatives Clearing Organizations Subject to Compliance with Core Principles Through Compliance with Home Country Regulatory Regime
907. § 39.50 Scope.
908. § 39.51 Compliance with the core principles through compliance with home country regulatory regime.
909. Appendix A to Part 39 Form DCO Derivatives Clearing Organization Application for Registration
910. Appendix B to Part 39 Subpart C Election Form
911. Appendix C to Part 39 Daily Reporting Data Fields
912. PART 40 PROVISIONS COMMON TO REGISTERED ENTITIES
913. § 40.1 Definitions.
914. § 40.2 Listing products for trading by certification.
915. § 40.3 Voluntary submission of new products for Commission review and approval.
916. § 40.4 Amendments to terms or conditions of enumerated agricultural products.
917. § 40.5 Voluntary submission of rules for Commission review and approval.
918. § 40.6 Self-certification of rules.
919. § 40.7 Delegations.
920. § 40.8 Availability of public information.
921. § 40.9 [Reserved]
922. § 40.10 Special certification procedures for submission of rules by systemically important derivatives clearing organizations.
923. § 40.11 Review of event contracts based upon certain excluded commodities.
924. § 40.12 Staying of certification and tolling of review period pending jurisdictional determination.
925. Appendix A to Part 40 Schedule of Fees
926. Appendix D to Part 40 Submission Instructions for Rules and Products
927. Appendix E to Part 40 Guidance on Compliance With the Materiality Assessment in § 40.4
928. CHAPTER I COMMODITY FUTURES TRADING COMMISSION (CONTINUED)
929. PART 41 SECURITY FUTURES PRODUCTS
930. Subpart A General Provisions
931. § 41.1 Definitions.
932. § 41.2 Required records.
933. § 41.3 Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.
934. §§ 41.4-41.9 [Reserved]
935. Subpart B Narrow-Based Security Indexes
936. § 41.11 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
937. § 41.12 Indexes underlying futures contracts trading for fewer than 30 days.
938. § 41.13 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
939. § 41.14 Transition period for indexes that cease being narrow-based security indexes.
940. § 41.15 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
941. Subpart C Requirements and Standards for Listing Security Futures Products
942. § 41.21 Requirements for underlying securities.
943. § 41.22 Required certifications.
944. § 41.23 Listing of security futures products for trading.
945. § 41.24 Rule amendments to security futures products.
946. § 41.25 Additional conditions for trading for security futures products.
947. § 41.27 Prohibition of dual trading in security futures products by floor brokers.
948. Appendix A to Subpart C of Part 41 Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
949. Subpart D Notice-Designated Contract Markets in Security Futures Products
950. § 41.31 Notice-designation requirements.
951. § 41.32 Continuing obligations.
952. § 41.33 Applications for exemptive orders.
953. § 41.34 Exempt Provisions.
954. Subpart E Customer Accounts and Margin Requirements
955. § 41.41 Security futures products accounts.
956. § 41.42 Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
957. § 41.43 Definitions.
958. § 41.44 General provisions.
959. § 41.45 Required margin.
960. § 41.46 Type, form and use of margin.
961. § 41.47 Withdrawal of margin.
962. § 41.48 Undermargined accounts.
963. § 41.49 Filing proposed margin rule changes with the Commission.
964. PART 42 ANTI-MONEY LAUNDERING, TERRORIST FINANCING
965. Subpart A General Provisions
966. § 42.1 [Reserved]
967. § 42.2 Compliance with Bank Secrecy Act.
968. PART 43 REAL-TIME PUBLIC REPORTING
969. § 43.1 Purpose, scope, and rules of construction.
970. § 43.2 Definitions.
971. § 43.3 Method and timing for real-time public reporting.
972. § 43.4 Swap transaction and pricing data to be publicly disseminated in real-time.
973. § 43.5 Time delays for public dissemination of swap transaction and pricing data.
974. § 43.6 Block trades and large notional off-facility swaps.
975. § 43.7 Delegation of authority.
976. 0
977. Appendix A to Part 43 Swap Transaction and Pricing Data Elements
978. Appendix B to Part 43 Enumerated Physical Commodity Contracts and Other Contracts
979. Appendix C to Part 43 Time Delays for Public Dissemination
980. Appendix D to Part 43 Other Commodity Swap Categories
981. Appendix E to Part 43 Other Commodity Geographic Identification for Public Dissemination Pursuant to § 43.4(c)(4)(iii)
982. Appendix F to Part 43 Initial Appropriate Minimum Block Sizes by Asset Class for Block Trades and Large Notional Off-Facility Swaps
983. PART 44 INTERIM FINAL RULE FOR PRE-ENACTMENT SWAP TRANSACTIONS
984. § 44.00 Definition of terms used in part 44 of this chapter.
985. § 44.01 Effective date.
986. § 44.02 Reporting pre-enactment swaps to a swap data repository or the Commission.
987. § 44.03 Reporting transition swaps to a swap data repository or to the Commission.
988. PART 45 SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
989. § 45.1 Definitions.
990. § 45.2 Swap recordkeeping.
991. § 45.3 Swap data reporting: Creation data.
992. § 45.4 Swap data reporting: Continuation data.
993. § 45.5 Unique transaction identifiers.
994. § 45.6 Legal entity identifiers.
995. § 45.7 Unique product identifiers.
996. § 45.8 Determination of which counterparty shall report.
997. § 45.9 Third-party facilitation of data reporting.
998. § 45.10 Reporting to a single swap data repository.
999. § 45.11 Data reporting for swaps in a swap asset class not accepted by any swap data repository.
1000. § 45.12 [Reserved]
1001. § 45.13 Required data standards.
1002. § 45.14 Correcting errors in swap data and verification of swap data accuracy.
1003. § 45.15 Delegation of authority.
1004. Appendix 1 to Part 45 Swap Data Elements
1005. PART 46 SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-ENACTMENT AND TRANSITION SWAPS
1006. § 46.1 Definitions.
1007. § 46.2 Recordkeeping for pre-enactment swaps and transition swaps.
1008. § 46.3 Data reporting for pre-enactment swaps and transition swaps.
1009. § 46.4 Unique identifiers.
1010. § 46.5 Determination of which counterparty must report.
1011. § 46.6 Third-party facilitation of data reporting.
1012. § 46.7 Reporting to a single swap data repository.
1013. § 46.8 Data reporting for swaps in a swap asset class not accepted by any swap data repository.
1014. § 46.9 Voluntary supplemental reporting.
1015. § 46.10 Required data standards.
1016. § 46.11 Reporting of errors and omissions in previously reported data.
1017. Appendix 1 to Part 46 Tables of Minimum Primary Economic Terms Data For Pre-Enactment and Transition Swaps
1018. PART 48 REGISTRATION OF FOREIGN BOARDS OF TRADE
1019. § 48.1 Scope.
1020. § 48.2 Definitions.
1021. § 48.3 Registration required.
1022. § 48.4 Registration eligibility and scope.
1023. § 48.5 Registration procedures.
1024. § 48.6 [Reserved]
1025. § 48.7 Requirements for registration.
1026. § 48.8 Conditions of registration.
1027. § 48.9 Revocation of registration.
1028. § 48.10 Additional contracts.
1029. § 48.11 Delegation of authority.
1030. Appendix to Part 48 Form FBOT
1031. PART 49 SWAP DATA REPOSITORIES
1032. § 49.1 Scope.
1033. § 49.2 Definitions.
1034. § 49.3 Procedures for registration.
1035. § 49.4 Withdrawal from registration.
1036. § 49.5 Equity interest transfers.
1037. § 49.6 Request for transfer of registration.
1038. § 49.7 Swap data repositories located in foreign jurisdictions.
1039. § 49.8 Procedures for implementing swap data repository rules.
1040. § 49.9 Open swaps reports provided to the Commission.
1041. § 49.10 Acceptance and validation of data.
1042. § 49.11 Verification of swap data accuracy.
1043. § 49.12 Swap data repository recordkeeping requirements.
1044. § 49.13 Monitoring, screening and analyzing swap data.
1045. § 49.14 Monitoring, screening and analyzing end-user clearing exemption claims by individual and affiliated entities.
1046. § 49.15 Real-time public reporting by swap data repositories.
1047. § 49.16 Privacy and confidentiality requirements of swap data repositories.
1048. § 49.17 Access to SDR data.
1049. § 49.18 Confidentiality arrangement.
1050. § 49.19 Core principles applicable to swap data repositories.
1051. § 49.20 Governance arrangements (Core Principle 2).
1052. § 49.21 Conflicts of interest (Core Principle 3).
1053. § 49.22 Chief compliance officer.
1054. § 49.23 Emergency authority policies and procedures.
1055. § 49.24 System safeguards.
1056. § 49.25 Financial resources.
1057. § 49.26 Disclosure requirements of swap data repositories.
1058. § 49.27 Access and fees.
1059. § 49.28 Operating hours of swap data repositories.
1060. § 49.29 Information relating to swap data repository compliance.
1061. § 49.30 Form and manner of reporting and submitting information to the Commission.
1062. § 49.31 Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters.
1063. Appendix A to Part 49 Form SDR
1064. Appendix B to Part 49 Confidentiality Arrangement for Appropriate Domestic Regulators and Appropriate Foreign Regulators to Obtain Access to Swap Data Maintained by Swap Data Respositories Pursuant to §§ 49.17(d)(6) and 49.18(a)
1065. PART 50 CLEARING REQUIREMENT AND RELATED RULES
1066. Subpart A Definitions and Clearing Requirement
1067. § 50.1 Definitions.
1068. § 50.2 Treatment of swaps subject to a clearing requirement.
1069. § 50.3 Notice to the public.
1070. § 50.4 Classes of swaps required to be cleared.
1071. § 50.5 Swaps exempt from a clearing requirement.
1072. § 50.6 Delegation of Authority.
1073. § 50.7-50.9 [Reserved]
1074. § 50.10 Prevention of evasion of the clearing requirement and abuse of an exception or exemption to the clearing requirement.
1075. § 50.11-50.24 [Reserved]
1076. Subpart B Clearing Requirement Compliance Schedule and Compliance Dates
1077. § 50.25 Clearing requirement compliance schedule.
1078. § 50.26 Swap clearing requirement compliance dates.
1079. §§ 50.27-50.49 [Reserved]
1080. Subpart C Exceptions and Exemptions from the Clearing Requirement
1081. § 50.50 Non-financial end-user exception to the clearing requirement.
1082. § 50.51 Cooperatives exempt from the clearing requirement.
1083. § 50.52 Affiliated entities exempt from the clearing requirement.
1084. § 50.53 Banks, savings associations, farm credit system institutions, and credit unions exempt from the clearing requirement.
1085. Subpart D Swaps Not Subject to the Clearing Requirement
1086. § 50.75 Swaps entered into by central banks or sovereign entities.
1087. § 50.76 Swaps entered into by international financial institutions.
1088. § 50.77 Interest rate swaps entered into by community development financial institutions.
1089. § 50.78 Swaps entered into by bank holding companies.
1090. § 50.79 Swaps entered into by savings and loan holding companies.
1091. PART 75 PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
1092. Subpart A Authority and Definitions
1093. § 75.1 Authority, purpose, scope, and relationship to other authorities.
1094. § 75.2 Definitions.
1095. Subpart B Proprietary Trading
1096. § 75.3 Prohibition on proprietary trading.
1097. § 75.4 Permitted underwriting and market making-related activities.
1098. § 75.5 Permitted risk-mitigating hedging activities.
1099. § 75.6 Other permitted proprietary trading activities.
1100. § 75.7 Limitations on permitted proprietary trading activities.
1101. §§ 75.8-75.9 [Reserved]
1102. Subpart C Covered Fund Activities and Investments
1103. § 75.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
1104. § 75.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
1105. § 75.12 Permitted investment in a covered fund.
1106. § 75.13 Other permitted covered fund activities and investments.
1107. § 75.14 Limitations on relationships with a covered fund.
1108. § 75.15 Other limitations on permitted covered fund activities.
1109. § 75.16 Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
1110. §§ 75.17-75.19 [Reserved]
1111. Subpart D Compliance Program Requirement; Violations
1112. § 75.20 Program for compliance; reporting.
1113. § 75.21 Termination of activities or investments; penalties for violations.
1114. 0
1115. Appendix A to Part 75 Reporting and Recordkeeping Requirements for Covered Trading Activities
1116. PART 100 DELIVERY PERIOD REQUIRED
1117. § 100.1 Delivery period required with respect to certain grains.
1118. PART 140 ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
1119. Subpart A Organization
1120. § 140.1 Headquarters office.
1121. § 140.2 Regional office—Regional Administrator.
1122. Subpart B Functions
1123. § 140.10 The Commission.
1124. § 140.11 Emergency action by the senior Commissioner available.
1125. § 140.12 Disposition of business by seriatim Commission consideration.
1126. § 140.13 Vacancy in position of Chairman.
1127. § 140.14 Delegation of authority to the Secretary of the Commission.
1128. § 140.20 Designation of senior official to oversee Commission use of national security information.
1129. § 140.21 Definitions.
1130. § 140.22 Procedures.
1131. § 140.23 General access requirements.
1132. § 140.24 Control and accountability procedures.
1133. § 140.61 [Reserved]
1134. § 140.72 Delegation of authority to disclose confidential information to a registered entity, swap execution facility, swap data repository, registered futures association or self-regulatory organization.
1135. § 140.73 Delegation of authority to disclose information to United States, States, and foreign government agencies and foreign futures authorities.
1136. § 140.74 Delegation of authority to issue special calls for Series 03 Reports.
1137. § 140.75 Delegation of authority to the Director of the Division of Clearing and Risk and to the Director of the Market Participants Division.
1138. § 140.76 Delegation of authority to disclose information in a receivership or bankruptcy proceeding.
1139. § 140.77 Delegation of authority to determine that applications for contract market designation, swap execution facility registration, or swap data repository registration are materially incomplete.
1140. § 140.80 Disclosure of information pursuant to a subpoena or summons.
1141. § 140.81 [Reserved]
1142. § 140.91 Delegation of authority to the Director of the Division of Clearing and Risk and to the Market Participants Division.
1143. § 140.92 Delegation of authority to grant registrations and renewals thereof.
1144. § 140.93 Delegation of authority to the Director of the Market Participants Division.
1145. § 140.94 Delegation of authority to the Director of the Market Participants Division and to the Director of the Division of Clearing and Risk.
1146. § 140.95 Delegation of authority with respect to withdrawals from registration.
1147. § 140.96 Delegation of authority to publish in the Federal Register.
1148. § 140.97 [Reserved]
1149. § 140.98 Publication of no-action, interpretative and exemption letters and other written communications.
1150. § 140.99 Requests for exemptive, no-action and interpretative letters.
1151. Subpart C Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
1152. § 140.735-1 Authority and purpose.
1153. § 140.735-2 Prohibited transactions.
1154. § 140.735-2a Prohibited interests.
1155. § 140.735-3 Non-governmental employment and other outside activity.
1156. § 140.735-4 Receipt and disposition of foreign gifts and decorations.
1157. § 140.735-5 Disclosure of information.
1158. § 140.735-6 Practice by former members and employees of the Commission.
1159. § 140.735-7 Statutory violations applicable to conduct of Commission members and employees.
1160. § 140.735-8 Interpretative and advisory service.
1161. Subpart D Financial Data Transparency
1162. § 140.800 Financial data transparency.
1163. PART 141 SALARY OFFSET
1164. § 141.1 Purpose and scope.
1165. § 141.2 Definitions.
1166. § 141.3 Applicability.
1167. § 141.4 Notice requirements.
1168. § 141.5 Hearing.
1169. § 141.6 Written decision.
1170. § 141.7 Coordinating offset with another Federal agency.
1171. § 141.8 Procedures for salary offset.
1172. § 141.9 Refunds.
1173. § 141.10 Statute of limitations.
1174. § 141.11 Non-waiver of rights.
1175. § 141.12 Interest, penalties, and administrative costs.
1176. PART 142 INDEMNIFICATION OF CFTC EMPLOYEES
1177. § 142.1 Purpose and scope.
1178. § 142.2 Policy.
1179. PART 143 COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S JURISDICTION
1180. § 143.1 Purpose.
1181. Subpart A General Provisions
1182. § 143.2 Notice of claim.
1183. § 143.3 Interest, penalty charges, and administrative costs.
1184. § 143.4 Collection by offset.
1185. § 143.5 Collection by compromise.
1186. § 143.6 Referral for litigation.
1187. § 143.7 Delegation of authority to the Executive Director.
1188. § 143.8 Inflation-adjusted civil monetary penalties.
1189. Subpart B Administrative Wage Garnishment
1190. § 143.9 Administrative wage garnishment orders.
1191. § 143.10 Garnishment hearings.
1192. PART 144 PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT
1193. § 144.0 Purpose and scope.
1194. § 144.1 Service upon the Commission.
1195. § 144.2 Service upon an employee or former employee of the Commission.
1196. § 144.3 Testimony by present or former Commission employees.
1197. § 144.4 Production or disclosure of records by present or former employees.
1198. § 144.5 Procedures when production or disclosure of Commission records or information relating to Commission business is sought.
1199. § 144.6 Fees.
1200. PART 145 COMMISSION RECORDS AND INFORMATION
1201. § 145.0 Definitions.
1202. § 145.1 Information published in the Federal Register.
1203. § 145.2 Records available for public inspection and copying; documents published and indexed.
1204. § 145.3 [Reserved]
1205. § 145.4 Public records available with identifying details deleted; nonpublic records available in abridged or summary form.
1206. § 145.5 Disclosure of nonpublic records.
1207. § 145.6 Commission offices to contact for assistance; registration records available.
1208. § 145.7 Requests for Commission records and copies thereof.
1209. § 145.8 Fees for records services.
1210. § 145.9 Petition for confidential treatment of information submitted to the Commission.
1211. Appendix A to Part 145 Compilation of Commission Records Available to the Public
1212. Appendix B to Part 145 Schedule of Fees
1213. PART 146 RECORDS MAINTAINED ON INDIVIDUALS
1214. § 146.1 Purpose and scope.
1215. § 146.2 Definitions.
1216. § 146.3 Requests by an individual for information or access.
1217. § 146.4 Procedures for identifying the individual making the request.
1218. § 146.5 Disclosure of requested information to individuals; fee for copies of records.
1219. § 146.6 Disclosure to third parties.
1220. § 146.7 Content of systems of records.
1221. § 146.8 Amendment of a record.
1222. § 146.9 Appeals to the Commission.
1223. § 146.10 Information supplied by the Commission when collecting information from an individual.
1224. § 146.11 Public notice of records systems.
1225. § 146.12 Exemptions.
1226. Appendix A to Part 146 Fees for Copies of Records Requested Under the Privacy Act of 1974
1227. PART 147 OPEN COMMISSION MEETINGS
1228. § 147.1 General policy considerations, purpose and scope of rules relating to open Commission meetings.
1229. § 147.2 Definitions.
1230. § 147.3 General requirement of open meetings; grounds upon which meetings may be closed.
1231. § 147.4 Procedure for announcing meetings.
1232. § 147.5 General procedure for closing meetings.
1233. § 147.6 Special procedure for closing certain meetings.
1234. § 147.7 Maintenance of transcripts, recordings and minutes of closed meetings.
1235. § 147.8 Public availability of transcripts, recordings and minutes of closed meetings.
1236. § 147.9 Requests for copies of transcripts, recordings or minutes of closed meetings.
1237. § 147.10 Interpretation of this part with other provisions.
1238. PART 148 IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION
1239. Subpart A General Provisions
1240. § 148.1 Purpose of these rules.
1241. § 148.2 When the Act applies.
1242. § 148.3 Proceedings covered.
1243. § 148.4 Eligibility of applicants.
1244. § 148.5 Standards for awards.
1245. § 148.6 Allowable fees and expenses.
1246. § 148.7 Rulemaking on maximum rates for attorney fees.
1247. § 148.8 Awards against other agencies.
1248. Subpart B Information Required from Applicants
1249. § 148.11 Contents of application.
1250. § 148.12 Net worth exhibit.
1251. § 148.13 Documentation of fees and expenses.
1252. § 148.14 When an application may be filed.
1253. Subpart C Procedures for Considering Applications
1254. § 148.21 Filing and service of documents.
1255. § 148.22 Answer to application.
1256. § 148.23 Reply.
1257. § 148.24 Comments by other parties.
1258. § 148.25 Settlement.
1259. § 148.26 Further proceedings.
1260. § 148.27 Decision.
1261. § 148.28 Appeal to the Commission.
1262. § 148.29 Judicial review.
1263. § 148.30 Payment of award.
1264. PART 149 ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES TRADING COMMISSION
1265. § 149.101 Purpose.
1266. § 149.102 Application.
1267. § 149.103 Definitions.
1268. §§ 149.104-149.110 [Reserved]
1269. § 149.111 Notice.
1270. §§ 149.112-149.129 [Reserved]
1271. § 149.130 General prohibitions against discrimination.
1272. §§ 149.131-149.139 [Reserved]
1273. § 149.140 Employment.
1274. §§ 149.141-149.148 [Reserved]
1275. § 149.149 Program accessibility: Discrimination prohibited.
1276. § 149.150 Program accessibility: Existing facilities.
1277. § 149.151 Program accessibility: New construction and alterations.
1278. §§ 149.152-149.159 [Reserved]
1279. § 149.160 Communications.
1280. §§ 149.161-149.169 [Reserved]
1281. § 149.170 Compliance procedures.
1282. PART 150 LIMITS ON POSITIONS
1283. § 150.1 Definitions.
1284. § 150.2 Federal speculative position limits.
1285. § 150.3 Exemptions.
1286. § 150.4 Aggregation of positions.
1287. § 150.5 Exchange-set speculative position limits and exemptions therefrom.
1288. § 150.6 Scope.
1289. § 150.7 [Reserved]
1290. § 150.8 Severability.
1291. § 150.9 Process for recognizing non-enumerated bona fide hedging transactions or positions with respect to Federal speculative position limits.
1292. Appendix A to Part 150 List of Enumerated Bona Fide Hedges
1293. Appendix B to Part 150 Guidance on Gross Hedging Positions and Positions Held During the Spot Period
1294. Appendix C to Part 150 Guidance Regarding the Definition of Referenced Contract
1295. Appendix D to Part 150 Commodities Listed as Substantially the Same for Purposes of the Term “Location Basis Contract” as Used in the Referenced Contract Definition
1296. Appendix E to Part 150 Speculative Position Limit Levels
1297. Appendix F to Part 150 Guidance on, and Acceptable Practices in, Compliance With the Requirements for Exchange-Set Limits and Position Accountability on Commodity Derivative Contracts
1298. Appendix G to Part 150 Guidance on Spread Transaction Exemptions Granted for Contracts that are Subject to Federal Speculative Position Limits
1299. 151 PART 151 [RESERVED]
1300. PART 155 TRADING STANDARDS
1301. § 155.1 Definitions.
1302. § 155.2 Trading standards for floor brokers.
1303. § 155.3 Trading standards for futures commission merchants.
1304. § 155.4 Trading standards for introducing brokers.
1305. §§ 155.5-155.6 [Reserved]
1306. § 155.10 Exemptions.
1307. PART 156 BROKER ASSOCIATIONS
1308. § 156.1 Definition.
1309. § 156.2 Registration of broker association.
1310. § 156.3 Contract market program for enforcement.
1311. § 156.4 Disclosure of Broker Association Membership.
1312. PART 160 PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT
1313. § 160.1 Purpose and scope.
1314. § 160.2 Model privacy form and examples.
1315. § 160.3 Definitions.
1316. Subpart A Privacy and Opt Out Notices
1317. § 160.4 Initial privacy notice to consumers required.
1318. § 160.5 Annual privacy notice to customers required.
1319. § 160.6 Information to be included in privacy notices.
1320. § 160.7 Form of opt out notice to consumers; opt out methods.
1321. § 160.8 Revised privacy notices.
1322. § 160.9 Delivering privacy and opt out notices.
1323. Subpart B Limits on Disclosures
1324. § 160.10 Limits on disclosure of nonpublic personal information to nonaffiliated third parties.
1325. § 160.11 Limits on redisclosure and reuse of information.
1326. § 160.12 Limits on sharing account number information for marketing purposes.
1327. Subpart C Exceptions
1328. § 160.13 Exception to opt out requirements for service providers and joint marketing.
1329. § 160.14 Exceptions to notice and opt out requirements for processing and servicing transactions.
1330. § 160.15 Other exceptions to notice and opt out requirements.
1331. Subpart D Relation to Other Laws; Effective Date
1332. § 160.16 Protection of Fair Credit Reporting Act.
1333. § 160.17 Relation to state laws.
1334. § 160.18 Effective date; compliance date; transition rule.
1335. §§ 160.19-160.29 [Reserved]
1336. § 160.30 Procedures to safeguard customer records and information.
1337. 0
1338. Appendix A to Part 160 Model Privacy Form
1339. Appendix B to Part 160 Sample Clauses
1340. PART 162 PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT
1341. § 162.1 Purpose and scope.
1342. § 162.2 Definitions.
1343. Subpart A Business Affiliate Marketing Rules
1344. § 162.3 Affiliate marketing opt out and exceptions.
1345. § 162.4 Scope and duration of opt out.
1346. § 162.5 Contents of opt-out notice; consolidated and equivalent notices.
1347. § 162.6 Reasonable opportunity to opt out.
1348. § 162.7 Reasonable and simple methods of opting out.
1349. § 162.8 Acceptable delivery methods of opt-out notices.
1350. § 162.9 Renewal of opt out.
1351. §§ 162.10-162.20 [Reserved]
1352. Subpart B Disposal Rules
1353. § 162.21 Proper disposal of consumer information.
1354. Subpart C Identity Theft Red Flags
1355. § 162.30 Duties regarding the detection, prevention, and mitigation of identity theft.
1356. § 162.31 [Reserved]
1357. § 162.32 Duties of card issuers regarding changes of address.
1358. 0
1359. Appendix A to Part 162 Sample Clauses
1360. Appendix B to Part 162 Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation
1361. PART 165 WHISTLEBLOWER RULES
1362. § 165.1 General.
1363. § 165.2 Definitions.
1364. § 165.3 Procedures for submitting original information.
1365. § 165.4 Confidentiality.
1366. § 165.5 Requirements for consideration of an award.
1367. § 165.6 Whistleblowers ineligible for an award.
1368. § 165.7 Procedures for award applications in Commission actions and related actions, and Commission award determinations.
1369. § 165.8 Amount of award.
1370. § 165.9 Criteria for determining amount of award.
1371. § 165.10 Contents of record for award determination.
1372. § 165.11 Awards based upon related actions.
1373. § 165.12 Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund.
1374. § 165.13 Appeals.
1375. § 165.14 Procedures applicable to the payment of awards.
1376. § 165.15 Administering the whistleblower program.
1377. § 165.16 No immunity.
1378. § 165.17 Awards to whistleblowers who engage in culpable conduct.
1379. § 165.18 Staff communications with whistleblowers from represented entities.
1380. § 165.19 Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes.
1381. § 165.20 Whistleblower anti-retaliation protections.
1382. Appendix A to Part 165 Guidance With Respect to the Protection of Whistleblowers Against Retaliation
1383. Appendix B to Part 165 Form TCR and Form WP-APP
1384. PART 166 CUSTOMER PROTECTION RULES
1385. § 166.1 Definitions.
1386. § 166.2 Authorization to trade.
1387. § 166.3 Supervision.
1388. § 166.4 Branch offices.
1389. § 166.5 Dispute settlement procedures.
1390. PART 170 REGISTERED FUTURES ASSOCIATIONS
1391. Subpart A Standards Governing Commission Review of Applications for Registration as a Futures Association Under Section 17 of the Act
1392. § 170.1 Demonstration of purposes (section 17(b)(1) of the Act).
1393. § 170.2 Membership restrictions (section 17(b)(2) of the Act).
1394. § 170.3 Fair and equitable representation of members (section 17(b)(5) of the Act).
1395. § 170.4 Allocation of dues (section 17(b)(6) of the Act).
1396. § 170.5 Prevention of fraudulent and manipulative practices (section 17(b)(7) of the Act).
1397. § 170.6 Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act).
1398. § 170.7 Membership denial (section 17(b)(9) of the Act).
1399. § 170.8 Settlement of customer disputes (section 17(b)(10) of the Act).
1400. § 170.9 General standard.
1401. § 170.10 Proficiency examinations (sections 4p and 17(p) of the Act).
1402. Subpart B Registration Statement of Futures Associations to be Submitted to the Commission
1403. § 170.11 Form of registration statement; review of registration statement.
1404. § 170.12 Delegation of Authority to Director of the Market Participants Division.
1405. Subpart C Membership in a Registered Futures Association
1406. § 170.15 Futures commission merchants.
1407. § 170.16 Swap dealers and major swap participants.
1408. § 170.17 Introducing brokers, commodity pool operators, and commodity trading advisors.
1409. PART 171 RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
1410. Subpart A General Provisions
1411. § 171.1 Scope of rules.
1412. § 171.2 Definitions.
1413. § 171.3 Business address; hours.
1414. § 171.4 Computation of time.
1415. § 171.5 Extension of time.
1416. § 171.6 Ex parte communications.
1417. § 171.7 [Reserved]
1418. § 171.8 Filing with the Proceedings Clerk.
1419. § 171.9 Service.
1420. § 171.10 Motions.
1421. § 171.11 Sanctions.
1422. § 171.12 Settlement.
1423. § 171.13 Practice before the Commission.
1424. § 171.14 Waiver of rules.
1425. Subpart B Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions
1426. § 171.20 [Reserved]
1427. § 171.21 Notice of final decision.
1428. § 171.22 Effective date of final decisions in disciplinary, membership denial and registration actions.
1429. § 171.23 Notice of appeal.
1430. § 171.24 Submission of the record.
1431. § 171.25 Appeal brief.
1432. § 171.26 Answering brief.
1433. § 171.27 Limited participation by interested persons.
1434. § 171.28 Participation by Commission staff.
1435. Subpart C Commission Review of Final Decisions in Disciplinary, Membership Denial and Registration Actions
1436. § 171.30 Scope of review.
1437. § 171.31 Commission review in the absence of an appeal.
1438. § 171.32 Oral argument.
1439. § 171.33 Final decision by the Commission.
1440. § 171.34 Standards of review.
1441. Subpart D Commission Review of Decisions by the National Futures Association In Member Responsibility Actions
1442. § 171.40 Notice of the commencement of a member responsibility action.
1443. § 171.41 Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
1444. § 171.42 Notice of a final decision of the National Futures Association in a member responsibility action.
1445. § 171.43 Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
1446. § 171.44 Notice of appeal.
1447. § 171.45 General procedures.
1448. § 171.46 Standards of review.
1449. Subpart E Delegation of Functions
1450. § 171.50 Delegation to the General Counsel.
1451. PART 180 PROHIBITION AGAINST MANIPULATION
1452. § 180.1 Prohibition on the employment, or attempted employment, of manipulative and deceptive devices.
1453. § 180.2 Prohibition on price manipulation.
1454. PART 190 BANKRUPTCY RULES
1455. Subpart A General Provisions
1456. § 190.00 Statutory authority, organization, core concepts, scope, and construction.
1457. § 190.01 Definitions.
1458. § 190.02 General.
1459. Subpart B Futures Commission Merchant as Debtor
1460. § 190.03 Notices and proofs of claims.
1461. § 190.04 Operation of the debtor's estate—customer property.
1462. § 190.05 Operation of the debtor's estate—general.
1463. § 190.06 Making and taking delivery under commodity contracts.
1464. § 190.07 Transfers.
1465. § 190.08 Calculation of funded net equity.
1466. § 190.09 Allocation of property and allowance of claims.
1467. § 190.10 Current records during business as usual.
1468. Subpart C Clearing Organization as Debtor
1469. § 190.11 Scope and purpose of this subpart.
1470. § 190.12 Required reports and records.
1471. § 190.13 Prohibition on avoidance of transfers.
1472. § 190.14 Operation of the estate of the debtor subsequent to the filing date.
1473. § 190.15 Recovery and wind-down plans; default rules and procedures.
1474. § 190.16 Delivery.
1475. § 190.17 Calculation of net equity.
1476. § 190.18 Treatment of property.
1477. § 190.19 Support of daily settlement.
1478. Appendix B to Part 190 Special Bankruptcy Distributions
1479. 191-199 PARTS 191-199 [RESERVED]
1480. CHAPTER II SECURITIES AND EXCHANGE COMMISSION
1481. PART 200 ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
1482. Subpart A Organization and Program Management
1483. § 200.1 General statement and statutory authority.
1484. § 200.2 Statutory functions.
1485. § 200.10 The Commission.
1486. § 200.11 Headquarters Office—Regional Office relationships.
1487. § 200.12 Functional responsibilities.
1488. § 200.13 Chief Operating Officer.
1489. § 200.13a The Secretary of the Commission.
1490. § 200.13b Director of the Office of Public Affairs.
1491. § 200.14 Office of Administrative Law Judges.
1492. § 200.15 Office of International Affairs.
1493. § 200.16 [Reserved]
1494. § 200.16a Inspector General.
1495. § 200.17 [Reserved]
1496. § 200.18 Director of Division of Corporation Finance.
1497. § 200.19a Director of the Division of Trading and Markets.
1498. § 200.19b Director of the Division of Enforcement.
1499. § 200.19c Director of the Division of Examinations.
1500. § 200.19d Director of the Office of Municipal Securities.
1501. § 200.19e Director of the Office of Credit Ratings.
1502. § 200.20a [Reserved]
1503. § 200.20b Director of Division of Investment Management.
1504. § 200.21 The General Counsel.
1505. § 200.21a The Ethics Counsel.
1506. § 200.22 The Chief Accountant.
1507. § 200.23a Director of the Division of Economic and Risk Analysis and Chief Economist.
1508. § 200.23b [Reserved]
1509. § 200.24 Office of Financial Management.
1510. § 200.24a Director of the Office of Investor Education and Advocacy.
1511. §§ 200.25-200.26 [Reserved]
1512. § 200.26a Office of Information Technology.
1513. § 200.27 The Regional Directors.
1514. § 200.28 Issuance of instructions.
1515. § 200.29 Rules.
1516. § 200.30-1 Delegation of authority to Director of Division of Corporation Finance.
1517. § 200.30-2 Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.
1518. § 200.30-3 Delegation of authority to Director of Division of Trading and Markets.
1519. § 200.30-3a Delegation of authority to Director of the Office of Municipal Securities.
1520. § 200.30-3b Delegation of authority to Director of the Office of Credit Ratings.
1521. § 200.30-4 Delegation of authority to Director of Division of Enforcement.
1522. § 200.30-5 Delegation of authority to Director of Division of Investment Management.
1523. § 200.30-6 Delegation of authority to Regional Directors.
1524. § 200.30-7 Delegation of authority to Secretary of the Commission.
1525. § 200.30-8 [Reserved]
1526. § 200.30-9 Delegation of authority to hearing officers.
1527. § 200.30-10 Delegation of authority to Chief Administrative Law Judge.
1528. § 200.30-11 Delegation of authority to the Chief Accountant.
1529. § 200.30-12 [Reserved]
1530. § 200.30-13 Delegation of authority to Chief Financial Officer.
1531. § 200.30-14 Delegation of authority to the General Counsel.
1532. § 200.30-15 Delegation of authority to Chief Operating Officer.
1533. § 200.30-16 [Reserved]
1534. § 200.30-17 Delegation of authority to Director of Office of International Affairs.
1535. § 200.30-18 Delegation of authority to Director of the Division of Examinations.
1536. § 200.30-19 Delegation of authority to Director of the EDGAR Business Office.
1537. Subpart B Disposition of Commission Business
1538. § 200.40 Joint disposition of business by Commission meeting.
1539. § 200.41 Quorum of the Commission.
1540. § 200.42 Disposition of business by seriatim Commission consideration.
1541. § 200.43 Disposition of business by exercise of authority delegated to individual Commissioner.
1542. Subpart C Canons of Ethics
1543. § 200.50 Authority.
1544. § 200.51 Policy.
1545. § 200.52 Copies of the Canons.
1546. § 200.53 Preamble.
1547. § 200.54 Constitutional obligations.
1548. § 200.55 Statutory obligations.
1549. § 200.56 Personal conduct.
1550. § 200.57 Relationships with other members.
1551. § 200.58 Maintenance of independence.
1552. § 200.59 Relationship with persons subject to regulation.
1553. § 200.60 Qualification to participate in particular matters.
1554. § 200.61 Impressions of influence.
1555. § 200.62 Ex parte communications.
1556. § 200.63 Commission opinions.
1557. § 200.64 Judicial review.
1558. § 200.65 Legislative proposals.
1559. § 200.66 Investigations.
1560. § 200.67 Power to adopt rules.
1561. § 200.68 Promptness.
1562. § 200.69 Conduct toward parties and their counsel.
1563. § 200.70 Business promotions.
1564. § 200.71 Fiduciary relationships.
1565. § 200.72 Supervision of internal organization.
1566. Subpart D Information and Requests
1567. § 200.80 Securities and Exchange Commission records and information.
1568. § 200.81 Publication of interpretative, no-action and certain exemption letters and other written communications.
1569. § 200.82 Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.
1570. § 200.83 Confidential treatment procedures under the Freedom of Information Act.
1571. E Subpart E [Reserved]
1572. Subpart F Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees
1573. § 200.110 Purpose.
1574. § 200.111 Prohibitions; application; definitions.
1575. § 200.112 Duties of recipient; notice to participants.
1576. § 200.113 Opportunity to respond; interception.
1577. § 200.114 Sanctions.
1578. Subpart G Plan of Organization and Operation Effective During Emergency Conditions
1579. § 200.200 Purpose.
1580. § 200.201 General provisions.
1581. § 200.202 Offices, and information and submittals.
1582. § 200.203 Organization, and delegations of authority.
1583. § 200.204 Personnel, fiscal, and service functions.
1584. § 200.205 Effect upon existing Commission organization, delegations, and rules.
1585. Subpart H Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission
1586. § 200.301 Purpose and scope.
1587. § 200.302 Definitions.
1588. § 200.303 Procedures for making inquiries and requests for access.
1589. § 200.304 Responses to inquiries and requests for access.
1590. § 200.305 Requests for amendment or correction of records.
1591. § 200.306 Review of requests for amendment or correction.
1592. § 200.307 Requests for an accounting of record disclosures.
1593. § 200.308 Administrative appeals.
1594. § 200.309 Fees.
1595. § 200.310 Specific exemptions.
1596. § 200.311 Inspector General exemptions.
1597. § 200.312 [Reserved]
1598. Subpart I Regulations Pertaining to Public Observation of Commission Meetings
1599. § 200.400 Open meetings.
1600. § 200.401 Definitions.
1601. § 200.402 Closed meetings.
1602. § 200.403 Notice of Commission meetings.
1603. § 200.404 General procedure for determination to close meeting.
1604. § 200.405 Special procedure for determination to close meeting.
1605. § 200.406 Certification by the General Counsel.
1606. § 200.407 Transcripts, minutes, and other documents concerning closed Commission meetings.
1607. § 200.408 Public access to transcripts and minutes of closed Commission meetings; record retention.
1608. § 200.409 Administrative appeals.
1609. § 200.410 Miscellaneous.
1610. Subpart J Classification and Declassification of National Security Information and Material
1611. § 200.500 Purpose.
1612. § 200.501 Applicability.
1613. § 200.502 Definition.
1614. § 200.503 Senior agency official.
1615. § 200.504 Oversight Committee.
1616. § 200.505 Original classification.
1617. § 200.506 Derivative classification.
1618. § 200.507 Declassification dates on derivative documents.
1619. § 200.508 Requests for mandatory review for declassification.
1620. § 200.509 Challenge to classification by Commission employees.
1621. § 200.510 Access by historical researchers.
1622. § 200.511 Access by former Presidential appointees.
1623. Subpart K Regulations Pertaining to the Protection of the Environment
1624. § 200.550 Purpose.
1625. § 200.551 Applicability.
1626. § 200.552 NEPA planning.
1627. § 200.553 Draft, final and supplemental impact statements.
1628. § 200.554 Public availability of information.
1629. Subpart L Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission
1630. § 200.601 Purpose.
1631. § 200.602 Application.
1632. § 200.603 Definitions.
1633. §§ 200.604-200.609 [Reserved]
1634. § 200.610 Self-evaluation.
1635. § 200.611 Notice.
1636. §§ 200.612-200.629 [Reserved]
1637. § 200.630 General prohibitions against discrimination.
1638. §§ 200.631-200.639 [Reserved]
1639. § 200.640 Employment.
1640. §§ 200.641-200.648 [Reserved]
1641. § 200.649 Program accessibility: Discrimination prohibited.
1642. § 200.650 Program accessibility: Existing facilities.
1643. § 200.651 Program accessibility: New construction and alterations.
1644. §§ 200.652-200.659 [Reserved]
1645. § 200.660 Communications.
1646. §§ 200.661-200.669 [Reserved]
1647. § 200.670 Compliance procedures.
1648. §§ 200.671-200.699 [Reserved]
1649. Subpart M Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
1650. § 200.735-1 Purpose.
1651. § 200.735-2 Policy.
1652. § 200.735-3 General provisions.
1653. § 200.735-4 Outside employment and activities.
1654. § 200.735-5 Securities transactions.
1655. § 200.735-6 Action in case of personal interest.
1656. § 200.735-7 Negotiation for employment.
1657. § 200.735-8 Practice by former members and employees of the Commission.
1658. § 200.735-9 Indebtedness.
1659. § 200.735-10 Miscellaneous statutory provisions.
1660. § 200.735-11 Statement of employment and financial interests.
1661. § 200.735-12 Special Government employees.
1662. § 200.735-13 Disciplinary and other remedial action.
1663. § 200.735-14 Employees on leave of absence.
1664. § 200.735-15 Interpretive and advisory service.
1665. § 200.735-16 Delegation.
1666. § 200.735-17 Administration of the conduct regulation.
1667. § 200.735-18 Requests for waivers.
1668. Subpart N Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers
1669. § 200.800 OMB control numbers assigned pursuant to the Paperwork Reduction Act.
1670. PART 201 RULES OF PRACTICE
1671. A Subpart A [Reserved]
1672. Subpart B Regulations Pertaining to the Equal Access to Justice Act
1673. § 201.31 Purpose of these rules.
1674. § 201.32 When the Act applies.
1675. § 201.33 Proceedings covered.
1676. § 201.34 Eligibility of applicants.
1677. § 201.35 Standards for awards.
1678. § 201.36 Allowable fees and expenses.
1679. § 201.37 Delegations of authority.
1680. § 201.41 Contents of application.
1681. § 201.42 Net worth exhibit.
1682. § 201.43 Documentation of fees and expenses.
1683. § 201.44 When an application may be filed.
1684. § 201.51 Filing and service of documents.
1685. § 201.52 Answer to application.
1686. § 201.53 Reply.
1687. § 201.54 Settlement.
1688. § 201.55 Further proceedings.
1689. § 201.56 Decision.
1690. § 201.57 Commission review.
1691. § 201.58 Judicial review.
1692. § 201.59 Payment of award.
1693. § 201.60 [Reserved]
1694. C Subpart C [Reserved]
1695. Subpart D Rules of Practice
1696. 8 General Rules
1697. § 201.100 Scope of the rules of practice.
1698. § 201.101 Definitions.
1699. § 201.102 Appearance and practice before the Commission.
1700. § 201.103 Construction of rules.
1701. § 201.104 Business hours.
1702. § 201.110 Presiding officer.
1703. § 201.111 Hearing officer: Authority.
1704. § 201.112 Hearing officer: Disqualification and withdrawal.
1705. § 201.120 Ex parte communications.
1706. § 201.121 Separation of functions.
1707. § 201.140 Commission orders and decisions: Signature and availability.
1708. § 201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
1709. § 201.150 Service of papers by parties.
1710. § 201.151 Filing of papers with the Commission: Procedure.
1711. § 201.152 Filing of papers: Form.
1712. § 201.153 Filing of papers: Signature requirement and effect.
1713. § 201.154 Motions.
1714. § 201.155 Default; motion to set aside default.
1715. § 201.160 Time computation.
1716. § 201.161 Extensions of time, postponements and adjournments.
1717. § 201.180 Sanctions.
1718. § 201.190 Confidential treatment of information in certain filings.
1719. § 201.191 Adjudications not required to be determined on the record after notice and opportunity for hearing.
1720. § 201.192 Rulemaking: Issuance, amendment and repeal of rules of general application.
1721. § 201.193 Applications by barred individuals for consent to associate.
1722. § 201.194 Applications by security-based swap dealers or major security-based swap participants for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps.
1723. 9 Initiation of Proceedings and Prehearing Rules
1724. § 201.200 Initiation of proceedings.
1725. § 201.201 Consolidation and severance of proceedings.
1726. § 201.202 Specification of procedures by parties in certain proceedings.
1727. § 201.210 Parties, limited participants and amici curiae.
1728. § 201.220 Answer to allegations.
1729. § 201.221 Prehearing conference.
1730. § 201.222 Prehearing submissions and disclosures.
1731. § 201.230 Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
1732. § 201.231 Enforcement and disciplinary proceedings: Production of witness statements.
1733. § 201.232 Subpoenas.
1734. § 201.233 Depositions upon oral examination.
1735. § 201.234 Depositions upon written questions.
1736. § 201.235 Introducing prior sworn statements or declarations.
1737. § 201.240 Settlement.
1738. § 201.250 Dispositive motions.
1739. 10 Rules Regarding Hearings
1740. § 201.300 Hearings.
1741. § 201.301 Hearings to be public.
1742. § 201.302 Record of hearings.
1743. § 201.310 Failure to appear at hearings: Default.
1744. § 201.320 Evidence: Admissibility.
1745. § 201.321 Evidence: Objections and offers of proof.
1746. § 201.322 Evidence: Confidential information, protective orders.
1747. § 201.323 Evidence: Official notice.
1748. § 201.324 Evidence: Stipulations.
1749. § 201.325 Evidence: Presentation under oath or affirmation.
1750. § 201.326 Evidence: Presentation, rebuttal and cross-examination.
1751. § 201.340 Proposed findings, conclusions and supporting briefs.
1752. § 201.350 Record in proceedings before hearing officer; retention of documents; copies.
1753. § 201.351 Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.
1754. § 201.360 Initial decision of hearing officer and timing of hearing.
1755. 11 Appeal to the Commission and Commission Review
1756. § 201.400 Interlocutory review.
1757. § 201.401 Consideration of stays.
1758. § 201.410 Appeal of initial decisions by hearing officers.
1759. § 201.411 Commission consideration of initial decisions by hearing officers.
1760. § 201.420 Appeal of determinations by self-regulatory organizations.
1761. § 201.421 Commission consideration of determinations by self-regulatory organizations.
1762. § 201.430 Appeal of actions made pursuant to delegated authority.
1763. § 201.431 Commission consideration of actions made pursuant to delegated authority.
1764. § 201.440 Appeal of determinations by the Public Company Accounting Oversight Board.
1765. § 201.441 Commission consideration of Board determinations.
1766. § 201.442 Appeal of determination by security-based swap execution facility.
1767. § 201.443 Commission consideration of security-based swap execution facility determinations.
1768. § 201.450 Briefs filed with the Commission.
1769. § 201.451 Oral argument before the Commission.
1770. § 201.452 Additional evidence.
1771. § 201.460 Record before the Commission.
1772. § 201.470 Reconsideration.
1773. § 201.490 Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
1774. 12 Rules Relating to Temporary Orders and Suspensions
1775. § 201.500 Expedited consideration of proceedings.
1776. § 201.510 Temporary cease-and-desist orders: Application process.
1777. § 201.511 Temporary cease-and-desist orders: Notice; procedures for hearing.
1778. § 201.512 Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
1779. § 201.513 Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
1780. § 201.514 Temporary cease-and-desist orders: Judicial review; duration.
1781. § 201.520 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
1782. § 201.521 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
1783. § 201.522 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
1784. § 201.523 [Reserved]
1785. § 201.524 Suspension of registrations: Duration.
1786. § 201.530 Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
1787. § 201.531 Initial decision on permanent order: Effect on temporary order.
1788. § 201.540 Appeal and Commission review of initial decision making a temporary order permanent.
1789. § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
1790. 13 Rules Regarding Disgorgement and Penalty Payments
1791. § 201.600 Interest on sums disgorged.
1792. § 201.601 Prompt payment of disgorgement, interest and penalties.
1793. §§ 201.610-201.614 [Reserved]
1794. § 201.620 [Reserved]
1795. § 201.630 Inability to pay disgorgement, interest or penalties.
1796. § 201.700 Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.
1797. § 201.701 Issuance of order.
1798. 14 Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings
1799. § 201.900 Informal procedures and supplementary information concerning adjudicatory proceedings.
1800. Subpart E Adjustment of Civil Monetary Penalties
1801. § 201.1001 Adjustment of civil monetary penalties.
1802. Subpart F Fair Fund and Disgorgement Plans
1803. § 201.1100 Creation of Fair Fund.
1804. § 201.1101 Submission of plan of distribution; contents of plan.
1805. § 201.1102 Provisions for payment.
1806. § 201.1103 Notice of proposed plan and opportunity for comment by non-parties.
1807. § 201.1104 Order approving, modifying, or disapproving proposed plan.
1808. § 201.1105 Administration of plan.
1809. § 201.1106 Right to challenge.
1810. PART 202 INFORMAL AND OTHER PROCEDURES
1811. § 202.1 General.
1812. § 202.2 Pre-filing assistance and interpretative advice.
1813. § 202.3 Processing of filings.
1814. § 202.3a Instructions for filing fees.
1815. § 202.4 Facilitating administrative hearings.
1816. § 202.5 Enforcement activities.
1817. § 202.6 Adoption, revision, and rescission of rules and regulations of general application.
1818. § 202.7 Submittals.
1819. § 202.8 Small entity compliance guides.
1820. § 202.9 Small entity enforcement penalty reduction policy.
1821. § 202.10 Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media.
1822. § 202.12 Policy statement concerning cooperation by individuals in its investigations and related enforcement actions.
1823. § 202.13 Informal procedure with respect to applications under the Investment Company Act of 1940.
1824. § 202.14 Policy statement concerning agency referrals for potential criminal enforcement.
1825. Subpart A Public Company Accounting Oversight Board (Regulation P)
1826. § 202.140 Interim Commission review of PCAOB inspection reports.
1827. § 202.150 Commission approval of appointment or removal from office of Public Company Accounting Oversight Board hearing officers.
1828. § 202.170 Initiation of disapproval proceedings for PCAOB proposed rules.
1829. § 202.190 Public Company Accounting Oversight Board budget approval process.
1830. PART 203 RULES RELATING TO INVESTIGATIONS
1831. Subpart A In General
1832. § 203.1 Application of the rules of this part.
1833. § 203.2 Information obtained in investigations and examinations.
1834. § 203.3 Suspension and disbarment.
1835. Subpart B Formal Investigative Proceedings
1836. § 203.4 Applicability of §§ 203.4 through 203.8.
1837. § 203.5 Non-public formal investigative proceedings.
1838. § 203.6 Transcripts.
1839. § 203.7 Rights of witnesses.
1840. § 203.8 Service of subpoenas.
1841. PART 204 RULES RELATING TO DEBT COLLECTION
1842. Subpart A Administrative Offset
1843. § 204.1 Applicability and scope.
1844. § 204.2 Definitions.
1845. § 204.3 General.
1846. § 204.4 Demand for payment—notice.
1847. § 204.5 Debtor's failure to respond.
1848. § 204.6 Agency review.
1849. § 204.7 Hearing.
1850. § 204.8 Written agreement for repayment.
1851. § 204.9 Administrative offset procedures.
1852. § 204.10 [Reserved]
1853. § 204.11 Jeopardy procedure.
1854. §§ 204.12-204.29 [Reserved]
1855. Subpart B Salary Offset
1856. § 204.30 Purpose and scope.
1857. § 204.31 Excluded debts or claims.
1858. § 204.32 Definitions.
1859. § 204.33 Pre-offset notice.
1860. § 204.34 Employee response.
1861. § 204.35 Petition for pre-offset hearing.
1862. § 204.36 Granting of a pre-offset hearing.
1863. § 204.37 Extensions of time.
1864. § 204.38 Pre-offset hearing.
1865. § 204.39 Written decision.
1866. § 204.40 Deductions.
1867. § 204.41 Non-waiver of rights.
1868. § 204.42 Refunds.
1869. § 204.43 Coordinating offset with another federal agency.
1870. § 204.44 Interest, penalties, and administrative costs.
1871. Subpart C Tax Refund Offset
1872. § 204.50 Purpose.
1873. § 204.51 [Reserved]
1874. § 204.52 Notification of intent to collect.
1875. § 204.53 [Reserved]
1876. § 204.54 Commission action as a result of consideration of evidence submitted in response to the notice of intent.
1877. § 204.55 Change in notification to Financial Management Service.
1878. § 204.56 Administrative charges.
1879. §§ 204.57-204.59 [Reserved]
1880. Subpart D Administrative Wage Garnishment
1881. § 204.60 Purpose.
1882. § 204.61 Scope.
1883. § 204.62 Definitions.
1884. § 204.63 Notice.
1885. § 204.64 Hearing.
1886. § 204.65 Wage garnishment order.
1887. Subpart E Miscellaneous: Credit Bureau Reporting, Collection Services
1888. § 204.75 Collection services.
1889. § 204.76 Use of credit bureau or consumer reporting agencies.
1890. § 204.77 Referrals to collection agencies.
1891. PART 205 STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER
1892. § 205.1 Purpose and scope.
1893. § 205.2 Definitions.
1894. § 205.3 Issuer as client.
1895. § 205.4 Responsibilities of supervisory attorneys.
1896. § 205.5 Responsibilities of a subordinate attorney.
1897. § 205.6 Sanctions and discipline.
1898. § 205.7 No private right of action.
1899. PART 209 FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
1900. § 209.0-1 Availability of forms.
1901. § 209.1 Form D-A: Disclosure of assets and financial information.
1902. PART 210 FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
1903. 15 Application of Regulation S-X (17 CFR Part 210)
1904. § 210.1-01 Application of Regulation S-X (17 CFR part 210).
1905. § 210.1-02 Definitions of terms used in Regulation S-X (17 CFR part 210).
1906. 16 Qualifications and Reports of Accountants
1907. § 210.2-01 Qualifications of accountants.
1908. § 210.2-02 Accountants' reports and attestation reports.
1909. § 210.2-03 Examination of financial statements by foreign government auditors.
1910. § 210.2-04 Examination of financial statements of persons other than the registrant.
1911. § 210.2-05 Examination of financial statements by more than one accountant.
1912. § 210.2-06 Retention of audit and review records.
1913. § 210.2-07 Communication with audit committees.
1914. 17 General Instructions as to Financial Statements
1915. § 210.3-01 Consolidated balance sheets.
1916. § 210.3-02 Consolidated statements of comprehensive income and cash flows.
1917. § 210.3-03 Instructions to statement of comprehensive income requirements.
1918. § 210.3-04 Changes in stockholders' equity and noncontrolling interests.
1919. § 210.3-05 Financial statements of businesses acquired or to be acquired.
1920. § 210.3-06 Financial statements covering a period of nine to twelve months.
1921. §§ 210.3-07--210.3-08 [Reserved]
1922. § 210.3-09 Separate financial statements of subsidiaries not consolidated and 50 percent or less owned persons.
1923. § 210.3-10 Financial statements of guarantors and issuers of guaranteed securities registered or being registered.
1924. § 210.3-11 Financial statements of an inactive registrant.
1925. § 210.3-12 Age of financial statements at effective date of registration statement or at mailing date of proxy statement.
1926. § 210.3-13 Filing of other financial statements in certain cases.
1927. § 210.3-14 Special instructions for financial statements of real estate operations acquired or to be acquired.
1928. § 210.3-15 Special provisions as to real estate investment trusts.
1929. § 210.3-16 Financial statements of affiliates whose securities collateralize an issue registered or being registered.
1930. § 210.3-17 Financial statements of natural persons.
1931. § 210.3-18 Special provisions as to registered management investment companies and companies required to be registered as management investment companies.
1932. § 210.3-19 [Reserved]
1933. § 210.3-20 Currency for financial statements.
1934. 18 Consolidated and Combined Financial Statements
1935. § 210.3A-01 [Reserved]
1936. § 210.3A-02 Consolidated financial statements of the registrant and its subsidiaries.
1937. § 210.3A-03 Statement as to principles of consolidation or combination followed.
1938. § 210.3A-04 [Reserved]
1939. 19 Rules of General Application
1940. § 210.4-01 Form, order, and terminology.
1941. § 210.4-02 Items not material.
1942. § 210.4-03 Inapplicable captions and omission of unrequired or inapplicable financial statements.
1943. § 210.4-04 Omission of substantially identical notes.
1944. §§ 210.4-05--210.4-06 [Reserved]
1945. § 210.4-07 Discount on shares.
1946. § 210.4-08 General notes to financial statements.
1947. § 210.4-9 [Reserved]
1948. § 210.4-10 Financial accounting and reporting for oil and gas producing activities pursuant to the Federal securities laws and the Energy Policy and Conservation Act of 1975.
1949. 20 Commercial and Industrial Companies
1950. § 210.5-01 Application of §§ 210.5-01 to 210.5-04.
1951. § 210.5-02 Balance sheets.
1952. § 210.5-03 Statements of comprehensive income.
1953. § 210.5-04 What schedules are to be filed.
1954. 21 Registered Investment Companies and Business Development Companies
1955. § 210.6-01 Application of §§ 210.6-01 to 210.6-11.
1956. § 210.6-02 Definition of certain terms.
1957. § 210.6-03 Special rules of general application to registered investment companies and business development companies.
1958. § 210.6-04 Balance sheets.
1959. § 210.6-05 Statements of net assets.
1960. § 210.6-06 Special provisions applicable to the balance sheets of issuers of face-amount certificates.
1961. § 210.6-07 Statements of operations.
1962. § 210.6-08 Special provisions applicable to the statements of operations of issuers of face-amount certificates.
1963. § 210.6-09 Statements of changes in net assets.
1964. § 210.6-10 What schedules are to be filed.
1965. § 210.6-11 Financial statements of funds acquired or to be acquired.
1966. 22 Employee Stock Purchase, Savings and Similar Plans
1967. § 210.6A-01 Application of §§ 210.6A-01 to 210.6A-05.
1968. § 210.6A-02 Special rules applicable to employee stock purchase, savings and similar plans.
1969. § 210.6A-03 Statements of financial condition.
1970. § 210.6A-04 Statements of comprehensive income and changes in plan equity.
1971. § 210.6A-05 What schedules are to be filed.
1972. 23 Insurance Companies
1973. § 210.7-01 Application of §§ 210.7-01 to 210.7-05.
1974. § 210.7-02 General requirement.
1975. § 210.7-03 Balance sheets.
1976. § 210.7-04 Statements of comprehensive income.
1977. § 210.7-05 What schedules are to be filed.
1978. 24 Article 8 Financial Statements of Smaller Reporting Companies
1979. § 210.8-01 General requirements for Article 8.
1980. § 210.8-02 Annual financial statements.
1981. § 210.8-03 Interim financial statements.
1982. § 210.8-04 Financial statements of businesses acquired or to be acquired.
1983. § 210.8-05 Pro forma financial information.
1984. § 210.8-06 Real estate operations acquired or to be acquired.
1985. § 210.8-07 Limited partnerships.
1986. § 210.8-08 Age of financial statements.
1987. 25 Bank Holding Companies
1988. § 210.9-01 Application of §§ 210.9-01 to 210.9-07.
1989. § 210.9-02 General requirement.
1990. § 210.9-03 Balance sheets.
1991. § 210.9-04 Statements of comprehensive income.
1992. § 210.9-05 Foreign activities.
1993. § 210.9-06 Condensed financial information of registrant.
1994. § 210.9-07 [Reserved]
1995. 26 Interim Financial Statements
1996. § 210.10-01 Interim financial statements.
1997. 27 Pro Forma Financial Information
1998. § 210.11-01 Presentation requirements.
1999. § 210.11-02 Preparation requirements.
2000. § 210.11-03 Presentation of financial forecast.
2001. 28 Form and Content of Schedules
2002. 29 general
2003. § 210.12-01 Application of §§ 210.12-01 to 210.12-29.
2004. §§ 210.12-02--210.12-03 [Reserved]
2005. § 210.12-04 Condensed financial information of registrant.
2006. § 210.12-05--210.12-08 [Reserved]
2007. § 210.12-09 Valuation and qualifying accounts.
2008. §§ 210.12-10--210.12-11 [Reserved]
2009. 30 For Management Investment Companies
2010. § 210.12-12 Investments in securities of unaffiliated issuers.
2011. § 210.12-12A Investments—securities sold short.
2012. § 210.12-12B Summary schedule of investments in securities of unaffiliated issuers.
2013. § 210.12-12C [Reserved]
2014. § 210.12-13 Open option contracts written.
2015. § 210.12-13A Open futures contracts.
2016. § 210.12-13B Open forward foreign currency contracts.
2017. § 210.12-13C Open swap contracts.
2018. § 210.12-13D Investments other than those presented in §§ 210.12-12, 12-12A, 12-12B, 12-13, 12-13A, 12-13B, and 12-13C.
2019. § 210.12-14 Investments in and advances to affiliates.
2020. § 210.12-15 Summary of investments—other than investments in related parties.
2021. § 210.12-16 Supplementary insurance information.
2022. § 210.12-17 Reinsurance.
2023. § 210.12-18 Supplemental information (for property-casualty insurance underwriters).
2024. 31 for face-amount certificate investment companies
2025. § 210.12-21 Investments in securities of unaffiliated issuers.
2026. § 210.12-22 Investments in and advances to affiliates and income thereon.
2027. § 210.12-23 Mortgage loans on real estate and interest earned on mortgages. 1
2028. § 210.12-24 Real estate owned and rental income. 1
2029. § 210.12-25 Supplementary profit and loss information.
2030. § 210.12-26 Certificate reserves.
2031. § 210.12-27 Qualified assets on deposit. 1
2032. 32 for certain real estate companies
2033. § 210.12-28 Real estate and accumulated depreciation. 1
2034. § 210.12-29 Mortgage loans on real estate. 1
2035. 33 Financial and Non-Financial Disclosures for Certain Securities Registered or Being Registered
2036. § 210.13-01 Guarantors and issuers of guaranteed securities registered or being registered.
2037. § 210.13-02 Affiliates whose securities collateralize securities registered or being registered.
2038. 34 —XXX
2039. §§ 210.14-01-02 xxx
2040. 35 Acquisitions of Businesses by a Shell Company (Other Than a Business Combination Related Shell Company)
2041. § 210.15-01 Acquisitions of businesses by a shell company (other than a business combination related shell company).
2042. PART 211 INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS
2043. Subpart A Financial Reporting Releases
2044. Subpart B Staff Accounting Bulletins
2045. Subpart C Accounting and Auditing Enforcement Releases
2046. PART 227 REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS
2047. Subpart A General
2048. § 227.100 Crowdfunding exemption and requirements.
2049. Subpart B Requirements for Issuers
2050. § 227.201 Disclosure requirements.
2051. § 227.202 Ongoing reporting requirements.
2052. § 227.203 Filing requirements and form.
2053. § 227.204 Advertising.
2054. § 227.205 Promoter compensation.
2055. § 227.206 Solicitations of interest and other communications.
2056. Subpart C Requirements for Intermediaries
2057. § 227.300 Intermediaries.
2058. § 227.301 Measures to reduce risk of fraud.
2059. § 227.302 Account opening.
2060. § 227.303 Requirements with respect to transactions.
2061. § 227.304 Completion of offerings, cancellations and reconfirmations.
2062. § 227.305 Payments to third parties.
2063. Subpart D Funding Portal Regulation
2064. § 227.400 Registration of funding portals.
2065. § 227.401 Exemption.
2066. § 227.402 Conditional safe harbor.
2067. § 227.403 Compliance.
2068. § 227.404 Records to be made and kept by funding portals.
2069. Subpart E Miscellaneous Provisions
2070. § 227.501 Restrictions on resales.
2071. § 227.502 Insignificant deviations from a term, condition or requirement of this part (Regulation Crowdfunding).
2072. § 227.503 Disqualification provisions.
2073. § 227.504 Definition of “qualified purchaser”.
2074. 228 PART 228 [RESERVED]
2075. PART 229 STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K
2076. Subpart 229.1 General
2077. § 229.10 (Item 10) General.
2078. Subpart 229.100 Business
2079. § 229.101 (Item 101) Description of business.
2080. § 229.102 (Item 102) Description of property.
2081. § 229.103 (Item 103) Legal proceedings.
2082. § 229.104 (Item 104) Mine safety disclosure.
2083. § 229.105 (Item 105) Risk factors.
2084. § 229.106 (Item 106) Cybersecurity.
2085. Subpart 229.200 Securities of the Registrant
2086. § 229.201 (Item 201) Market price of and dividends on the registrant's common equity and related stockholder matters.
2087. § 229.202 (Item 202) Description of registrant's securities.
2088. Subpart 229.300 Financial Information
2089. § 229.301 [Reserved]
2090. § 229.302 (Item 302) Supplementary financial information.
2091. § 229.303 (Item 303) Management's discussion and analysis of financial condition and results of operations.
2092. § 229.304 (Item 304) Changes in and disagreements with accountants on accounting and financial disclosure.
2093. § 229.305 (Item 305) Quantitative and qualitative disclosures about market risk.
2094. § 229.306 [Reserved]
2095. § 229.307 (Item 307) Disclosure controls and procedures.
2096. § 229.308 (Item 308) Internal control over financial reporting.
2097. Subpart 229.400 Management and Certain Security Holders
2098. § 229.401 (Item 401) Directors, executive officers, promoters and control persons.
2099. § 229.402 (Item 402) Executive compensation.
2100. § 229.403 (Item 403) Security ownership of certain beneficial owners and management.
2101. § 229.404 (Item 404) Transactions with related persons, promoters and certain control persons.
2102. § 229.405 (Item 405) Compliance with Section 16(a) of the Exchange Act.
2103. § 229.406 (Item 406) Code of ethics.
2104. § 229.407 (Item 407) Corporate governance.
2105. § 229.408 (Item 408) Insider trading arrangements and policies.
2106. Subpart 229.500 Registration Statement and Prospectus Provisions
2107. § 229.501 (Item 501) Forepart of Registration Statement and Outside Front Cover Page of Prospectus.
2108. § 229.502 (Item 502) Inside front and outside back cover pages of prospectus.
2109. § 229.503 (Item 503) Prospectus summary.
2110. § 229.504 (Item 504) Use of proceeds.
2111. § 229.505 (Item 505) Determination of offering price.
2112. § 229.506 (Item 506) Dilution.
2113. § 229.507 (Item 507) Selling security holders.
2114. § 229.508 (Item 508) Plan of distribution.
2115. § 229.509 (Item 509) Interests of named experts and counsel.
2116. § 229.510 (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities.
2117. § 229.511 (Item 511) Other expenses of issuance and distribution.
2118. § 229.512 (Item 512) Undertakings.
2119. Subpart 229.600 Exhibits
2120. § 229.601 (Item 601) Exhibits.
2121. Subpart 229.700 Miscellaneous
2122. § 229.701 (Item 701) Recent sales of unregistered securities; use of proceeds from registered securities.
2123. § 229.702 (Item 702) Indemnification of directors and officers.
2124. § 229.703 (Item 703) Purchases of equity securities by the issuer and affiliated purchasers.
2125. Subpart 229.800 List of Industry Guides
2126. § 229.801 Securities Act industry guides.
2127. § 229.802 Exchange Act industry guides.
2128. Subpart 229.900 Roll-Up Transactions
2129. § 229.901 (Item 901) Definitions.
2130. § 229.902 (Item 902) Individual partnership supplements.
2131. § 229.903 (Item 903) Summary.
2132. § 229.904 (Item 904) Risk factors and other considerations.
2133. § 229.905 (Item 905) comparative information.
2134. § 229.906 (Item 906) Allocation of roll-up consideration.
2135. § 229.907 (Item 907) Background of the roll-up transaction.
2136. § 229.908 (Item 908) Reasons for and alternatives to the roll-up transaction.
2137. § 229.909 (Item 909) Conflicts of interest.
2138. § 229.910 (Item 910) Fairness of the transaction.
2139. § 229.911 (Item 911) Reports, opinions and appraisals.
2140. § 229.912 (Item 912) Source and amount of funds and transactional expenses.
2141. § 229.913 (Item 913) Other provisions of the transaction.
2142. § 229.914 (Item 914) Pro forma financial statements: selected financial data.
2143. § 229.915 (Item 915) Federal income tax consequences.
2144. Subpart 229.1000 Mergers and Acquisitions (Regulation M-A)
2145. § 229.1000 (Item 1000) Definitions.
2146. § 229.1001 (Item 1001) Summary term sheet.
2147. § 229.1002 (Item 1002) Subject company information.
2148. § 229.1003 (Item 1003) Identity and background of filing person.
2149. § 229.1004 (Item 1004) Terms of the transaction.
2150. § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements.
2151. § 229.1006 (Item 1006) Purposes of the transaction and plans or proposals.
2152. § 229.1007 (Item 1007) Source and amount of funds or other consideration.
2153. § 229.1008 (Item 1008) Interest in securities of the subject company.
2154. § 229.1009 (Item 1009) Persons/assets, retained, employed, compensated or used.
2155. § 229.1010 (Item 1010) Financial statements.
2156. § 229.1011 (Item 1011) Additional information.
2157. § 229.1012 (Item 1012) The solicitation or recommendation.
2158. § 229.1013 (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.
2159. § 229.1014 (Item 1014) Fairness of the going-private transaction.
2160. § 229.1015 (Item 1015) Reports, opinions, appraisals and negotiations.
2161. § 229.1016 (Item 1016) Exhibits.
2162. Subpart 229.1100 Asset-Backed Securities (Regulation AB)
2163. § 229.1100 (Item 1100) General.
2164. § 229.1101 (Item 1101) Definitions.
2165. § 229.1102 (Item 1102) Forepart of registration statement and outside cover page of the prospectus.
2166. § 229.1103 (Item 1103) Transaction summary and risk factors.
2167. § 229.1104 (Item 1104) Sponsors.
2168. § 229.1105 (Item 1105) Static pool information.
2169. § 229.1106 (Item 1106) Depositors.
2170. § 229.1107 (Item 1107) Issuing entities.
2171. § 229.1108 (Item 1108) Servicers.
2172. § 229.1109 (Item 1109) Trustees and other transaction parties.
2173. § 229.1110 (Item 1110) Originators.
2174. § 229.1111 (Item 1111) Pool assets.
2175. § 229.1112 (Item 1112) Significant obligors of pool assets.
2176. § 229.1113 (Item 1113) Structure of the transaction.
2177. § 229.1114 (Item 1114) Credit enhancement and other support, except for certain derivatives instruments.
2178. § 229.1115 (Item 1115) Certain derivatives instruments.
2179. § 229.1116 (Item 1116) Tax matters.
2180. § 229.1117 (Item 1117) Legal proceedings.
2181. § 229.1118 (Item 1118) Reports and additional information.
2182. § 229.1119 (Item 1119) Affiliations and certain relationships and related transactions.
2183. § 229.1120 (Item 1120) Ratings.
2184. § 229.1121 (Item 1121) Distribution and pool performance information.
2185. § 229.1122 (Item 1122) Compliance with applicable servicing criteria.
2186. § 229.1123 (Item 1123) Servicer compliance statement.
2187. § 229.1124 (Item 1124) Sponsor interest in the securities.
2188. § 229.1125 (Item 1125) Schedule AL—Asset-level information.
2189. Subpart 229.1200 Disclosure by Registrants Engaged in Oil and Gas Producing Activities
2190. § 229.1201 (Item 1201) General instructions to oil and gas industry-specific disclosures.
2191. § 229.1202 (Item 1202) Disclosure of reserves.
2192. § 229.1203 (Item 1203) Proved undeveloped reserves.
2193. § 229.1204 (Item 1204) Oil and gas production, production prices and production costs.
2194. § 229.1205 (Item 1205) Drilling and other exploratory and development activities.
2195. § 229.1206 (Item 1206) Present activities.
2196. § 229.1207 (Item 1207) Delivery commitments.
2197. § 229.1208 (Item 1208) Oil and gas properties, wells, operations, and acreage.
2198. Subpart 229.1300 Disclosure by Registrants Engaged in Mining Operations
2199. § 229.1300 (Item 1300) Definitions.
2200. § 229.1301 (Item 1301) General instructions.
2201. § 229.1302 (Item 1302) Qualified person, technical report summary, and technical studies.
2202. § 229.1303 (Item 1303) Summary disclosure.
2203. § 229.1304 (Item 1304) Individual property disclosure.
2204. § 229.1305 (Item 1305) Internal controls disclosure.
2205. Subpart 229.1400 Disclosure by Bank and Savings and Loan Registrants
2206. § 229.1401 (Item 1401) General instructions.
2207. § 229.1402 (Item 1402) Distribution of assets, liabilities and stockholders' equity; interest rates and interest differential.
2208. § 229.1403 (Item 1403) Investments in debt securities.
2209. § 229.1404 (Item 1404) Loan portfolio.
2210. § 229.1405 (Item 1405) Allowance for Credit Losses.
2211. § 229.1406 (Item 1406) Deposits.
2212. 1500 Subpart 1500-XXX
2213. Subpart 229.1600 Special Purpose Acquisition Companies
2214. § 229.1601 (Item 1601) Definitions.
2215. § 229.1602 (Item 1602) Registered offerings by special purpose acquisition companies.
2216. § 229.1603 (Item 1603) SPAC sponsor; conflicts of interest.
2217. § 229.1604 (Item 1604) De-SPAC transactions.
2218. § 229.1605 (Item 1605) Background of and reasons for the de-SPAC transaction; terms of the de-SPAC transaction; effects.
2219. § 229.1606 (Item 1606) Board determination about the de-SPAC transaction.
2220. § 229.1607 (Item 1607) Reports, opinions, appraisals, and negotiations.
2221. § 229.1608 (Item 1608) Tender offer filing obligations.
2222. § 229.1609 (Item 1609) Projections in de-SPAC transactions.
2223. § 229.1610 (Item 1610) Structured data requirement.
2224. PART 230 GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
2225. 36 General
2226. § 230.100 Definitions of terms used in the rules and regulations.
2227. § 230.110 Business hours of the Commission.
2228. § 230.111 Payment of filing fees.
2229. § 230.120 Inspection of registration statements.
2230. § 230.122 Non-disclosure of information obtained in the course of examinations and investigations.
2231. § 230.130 Definition of “rules and regulations” as used in certain sections of the Act.
2232. § 230.131 Definition of security issued under governmental obligations.
2233. § 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act.
2234. § 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
2235. § 230.134 Communications not deemed a prospectus.
2236. § 230.134a Options material not deemed a prospectus.
2237. § 230.134b Statements of additional information.
2238. § 230.135 Notice of proposed registered offerings.
2239. § 230.135a Generic advertising.
2240. § 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.
2241. § 230.135c Notice of certain proposed unregistered offerings.
2242. § 230.135d Communications involving security-based swaps.
2243. § 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
2244. § 230.136 Definition of certain terms in relation to assessable stock.
2245. § 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
2246. § 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
2247. § 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
2248. § 230.139a Publications by brokers or dealers distributing asset-backed securities.
2249. § 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
2250. § 230.140 Definition of “distribution” in section 2(11) for certain transactions.
2251. § 230.141 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 2(11), for certain transactions.
2252. § 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
2253. § 230.143 Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain transactions of foreign governments for war purposes.
2254. § 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
2255. § 230.144A Private resales of securities to institutions.
2256. § 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
2257. § 230.145a Business combinations with reporting shell companies.
2258. § 230.146 Rules under section 18 of the Act.
2259. § 230.147 Intrastate offers and sales.
2260. § 230.147A Intrastate sales exemption.
2261. § 230.148 Exemption from general solicitation or general advertising.
2262. § 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions.
2263. § 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
2264. § 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
2265. § 230.152 Integration.
2266. § 230.152a Offer or sale of certain fractional interests.
2267. § 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
2268. § 230.153a Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders.
2269. § 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
2270. § 230.154 Delivery of prospectuses to investors at the same address.
2271. § 230.155 [Reserved]
2272. § 230.156 Investment company and registered non-variable annuity sales literature.
2273. § 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
2274. § 230.158 Definitions of certain terms in the last paragraph of section 11(a).
2275. § 230.159 Information available to purchaser at time of contract of sale.
2276. § 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
2277. § 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
2278. § 230.161 Amendments to rules and regulations governing exemptions.
2279. § 230.162 Submission of tenders in registered exchange offers.
2280. § 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
2281. § 230.163A Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.
2282. § 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
2283. § 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
2284. § 230.165 Offers made in connection with a business combination transaction.
2285. § 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.
2286. § 230.167 Communications in connection with certain registered offerings of asset-backed securities.
2287. § 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
2288. § 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
2289. § 230.170 Prohibition of use of certain financial statements.
2290. § 230.171 Disclosure detrimental to the national defense or foreign policy.
2291. § 230.172 Delivery of prospectuses.
2292. § 230.173 Notice of registration.
2293. § 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
2294. § 230.175 Liability for certain statements by issuers.
2295. § 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
2296. § 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
2297. § 230.190 Registration of underlying securities in asset-backed securities transactions.
2298. § 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
2299. § 230.192 Conflicts of interest relating to certain securitizations.
2300. § 230.193 Review of underlying assets in asset-backed securities transactions.
2301. § 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.
2302. § 230.215 Accredited investor.
2303. Regulation A-R Special Exemptions
2304. § 230.236 Exemption of shares offered in connection with certain transactions.
2305. § 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
2306. § 230.238 Exemption for standardized options.
2307. § 230.239 Exemption for offers and sales of certain security-based swaps.
2308. § 230.240 Exemption for certain security-based swaps.
2309. § 230.241 Solicitations of interest.
2310. Regulation A Conditional Small Issues Exemption
2311. § 230.251 Scope of exemption.
2312. § 230.252 Offering statement.
2313. § 230.253 Offering circular.
2314. § 230.254 Preliminary offering circular.
2315. § 230.255 Solicitations of interest and other communications.
2316. § 230.256 Definition of “qualified purchaser”.
2317. § 230.257 Periodic and current reporting; exit report.
2318. § 230.258 Suspension of the exemption.
2319. § 230.259 Withdrawal or abandonment of offering statements.
2320. § 230.260 Insignificant deviations from a term, condition or requirement of Regulation A.
2321. § 230.261 Definitions.
2322. § 230.262 Disqualification provisions.
2323. § 230.263 Consent to service of process.
2324. §§ 230.300-230.346 [Reserved]
2325. Regulation C Registration
2326. § 230.400 Application of §§ 230.400 to 230.494, inclusive.
2327. 40 general requirements
2328. § 230.401 Requirements as to proper form.
2329. § 230.401a Requirements as to proper form.
2330. § 230.402 Number of copies; binding; signatures.
2331. § 230.403 Requirements as to paper, printing, language and pagination.
2332. § 230.404 Preparation of registration statement.
2333. § 230.405 Definitions of terms.
2334. § 230.406 Confidential treatment of information filed with the Commission.
2335. § 230.408 Additional information.
2336. § 230.409 Information unknown or not reasonably available.
2337. § 230.410 Disclaimer of control.
2338. § 230.411 Incorporation by reference.
2339. § 230.412 Modified or superseded documents.
2340. § 230.413 Registration of additional securities and additional classes of securities.
2341. § 230.414 Registration by certain successor issuers.
2342. § 230.415 Delayed or continuous offering and sale of securities.
2343. § 230.416 Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans.
2344. § 230.417 Date of financial statements.
2345. § 230.418 Supplemental information.
2346. § 230.419 Offerings by blank check companies.
2347. 41 form and content of prospectuses
2348. § 230.420 Legibility of prospectus.
2349. § 230.421 Presentation of information in prospectuses.
2350. § 230.423 Date of prospectuses.
2351. § 230.424 Filing of prospectuses, number of copies.
2352. § 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
2353. § 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
2354. § 230.427 Contents of prospectus used after nine months.
2355. § 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8.
2356. § 230.429 Prospectus relating to several registration statements.
2357. § 230.430 Prospectus for use prior to effective date.
2358. § 230.430A Prospectus in a registration statement at the time of effectiveness.
2359. § 230.430B Prospectus in a registration statement after effective date.
2360. § 230.430C Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
2361. § 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
2362. § 230.431 Summary prospectuses.
2363. § 230.432 Additional information required to be included in prospectuses relating to tender offers.
2364. § 230.433 Conditions to permissible post-filing free writing prospectuses.
2365. 42 written consents
2366. § 230.436 Consents required in special cases.
2367. § 230.437 Application to dispense with consent.
2368. § 230.437a Written consents.
2369. § 230.438 Consents of persons about to become directors.
2370. § 230.439 Consent to use of material incorporated by reference.
2371. §§ 230.445-230.447 [Reserved]
2372. 43 filings; fees; effective date
2373. § 230.455 Place of filing.
2374. § 230.456 Date of filing; timing of fee payment.
2375. § 230.457 Computation of fee.
2376. § 230.459 Calculation of effective date.
2377. § 230.460 Distribution of preliminary prospectus.
2378. § 230.461 Acceleration of effective date.
2379. § 230.462 Immediate effectiveness of certain registration statements and post-effective amendments.
2380. § 230.463 Report of offering of securities and use of proceeds therefrom.
2381. § 230.464 Effective date of post-effective amendments to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2 and F-3.
2382. § 230.466 Effective date of certain registration statements on Form F-6.
2383. § 230.467 Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80.
2384. 44 amendments; withdrawals
2385. § 230.470 Formal requirements for amendments.
2386. § 230.471 Signatures to amendments.
2387. § 230.472 Filing of amendments; number of copies.
2388. § 230.473 Delaying amendments.
2389. § 230.474 Date of filing of amendments.
2390. § 230.475 Amendment filed with consent of Commission.
2391. § 230.475a Certain pre-effective amendments deemed filed with the consent of the Commission.
2392. § 230.476 Amendment filed pursuant to order of Commission.
2393. § 230.477 Withdrawal of registration statement or amendment.
2394. § 230.478 Powers to amend or withdraw registration statement.
2395. § 230.479 Procedure with respect to abandoned registration statements and post-effective amendments.
2396. 45 investment companies; business development companies
2397. § 230.480 Title of securities.
2398. § 230.481 Information required in prospectuses.
2399. § 230.482 Advertising by an investment company as satisfying requirements of section 10.
2400. § 230.483 Exhibits for certain registration statements.
2401. § 230.484 Undertaking required in certain registration statements.
2402. § 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
2403. § 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
2404. § 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
2405. § 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
2406. § 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
2407. 46 registration by foreign governments or political subdivisions thereof
2408. § 230.490 Information to be furnished under paragraph (3) of Schedule B.
2409. § 230.491 Information to be furnished under paragraph (6) of Schedule B.
2410. § 230.492 Omissions from prospectuses.
2411. § 230.493 Additional Schedule B disclosure and filing requirements.
2412. § 230.494 Newspaper prospectuses.
2413. § 230.495 Preparation of registration statement.
2414. § 230.496 Contents of prospectus and statement of additional information used after nine months.
2415. § 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
2416. § 230.498 Summary Prospectuses for open-end management investment companies.
2417. § 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
2418. Regulation D Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933
2419. § 230.500 Use of Regulation D.
2420. § 230.501 Definitions and terms used in Regulation D.
2421. § 230.502 General conditions to be met.
2422. § 230.503 Filing of notice of sales.
2423. § 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000.
2424. § 230.505 [Reserved]
2425. § 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
2426. § 230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.
2427. § 230.508 Insignificant deviations from a term, condition or requirement of Regulation D.
2428. Regulation E Exemption for Securities of Small Business Investment Companies
2429. § 230.601 Definitions of terms used in §§ 230.601 to 230.610a.
2430. § 230.602 Securities exempted.
2431. § 230.603 Amount of securities exempted.
2432. § 230.604 Filing of notification on Form 1-E.
2433. § 230.605 Filing and use of the offering circular.
2434. § 230.606 Offering not in excess of $100,000.
2435. § 230.607 Sales material to be filed.
2436. § 230.608 Prohibition of certain statements.
2437. § 230.609 Reports of sales hereunder.
2438. § 230.610 Suspension of exemption.
2439. § 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
2440. §§ 230.651-230.656 [Reserved]
2441. § 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
2442. §§ 230.702(T)-230.703(T) [Reserved]
2443. 49 Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations
2444. § 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
2445. § 230.801 Exemption in connection with a rights offering.
2446. § 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
2447. Regulation S Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
2448. § 230.901 General statement.
2449. § 230.902 Definitions.
2450. § 230.903 Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities.
2451. § 230.904 Offshore resales.
2452. § 230.905 Resale limitations.
2453. Regulation CE Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law
2454. § 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.
2455. PART 231 INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER
2456. PART 232 REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
2457. 52 General
2458. § 232.10 Application of part 232.
2459. § 232.11 Definition of terms used in this part.
2460. § 232.12 Business hours of the Commission.
2461. § 232.13 Date of filing; adjustment of filing date.
2462. § 232.14 Paper filings not accepted without exemption.
2463. § 232.15 Administration of EDGAR.
2464. 53 Electronic Filing Requirements
2465. § 232.100 Persons and entities subject to mandated electronic filing.
2466. § 232.101 Mandated electronic submissions and exceptions.
2467. § 232.102 Exhibits.
2468. § 232.103 Liability for transmission errors or omissions in documents filed via EDGAR.
2469. § 232.104 Unofficial PDF copies included in an electronic submission.
2470. § 232.105 Use of HTML and hyperlinks.
2471. § 232.106 Prohibition against electronic submissions containing executable code.
2472. 54 Hardship Exemptions
2473. § 232.201 Temporary hardship exemption.
2474. § 232.202 Continuing hardship exemption.
2475. 55 Preparation of Electronic Submissions
2476. § 232.301 EDGAR Filer Manual.
2477. § 232.302 Signatures.
2478. § 232.303 Incorporation by reference.
2479. § 232.304 Graphic, image, audio and video material.
2480. § 232.305 Number of characters per line; tabular and columnar information.
2481. § 232.306 Foreign language documents and symbols.
2482. § 232.307 Bold face type.
2483. § 232.308 Type size and font; legibility.
2484. § 232.309 Paper size; binding; sequential numbering; number of copies.
2485. § 232.310 Marking changed material.
2486. § 232.311 Documents submitted in paper under cover of Form SE.
2487. § 232.312 [Reserved]
2488. § 232.313 Identification of investment company type and series and/or class (or contract).
2489. § 232.314 Accommodation for certain securitizers of asset-backed securities.
2490. 56 Interactive Data
2491. §§ 232.401-232.404 [Reserved]
2492. § 232.405 Interactive Data File submissions.
2493. § 232.406 Cover Page XBRL Data Tagging.
2494. § 232.407 Interactive data financial report filings.
2495. § 232.408 Filing fee exhibit interactive data.
2496. 57 EDGAR Functions
2497. § 232.501 Modular submissions and segmented filings.
2498. 58 Foreign Private Issuers and Foreign Governments
2499. §§ 232.600-232.903 [Reserved]
2500. PART 239 FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
2501. § 239.0-1 Availability of forms.
2502. Subpart A Forms for Registration Statements
2503. §§ 239.4-239.10 [Reserved]
2504. § 239.11 Form S-1, registration statement under the Securities Act of 1933.
2505. § 239.12 [Reserved]
2506. § 239.13 Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.
2507. § 239.14 Form N-2 for closed end management investment companies registered on Form N-8A.
2508. § 239.15 [Reserved]
2509. § 239.15A Form N-1A, registration statement of open-end management investment companies.
2510. § 239.16 Form S-6, for unit investment trusts registered on Form N-8B-2.
2511. § 239.16b Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.
2512. § 239.17 [Reserved]
2513. § 239.17a Form N-3, registration statement for separate accounts organized as management investment companies.
2514. § 239.17b Form N-4, registration statement for separate accounts organized as unit investment trusts.
2515. § 239.17c Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.
2516. § 239.18 Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.
2517. § 239.19 [Reserved]
2518. § 239.20 Form S-20, for standardized options.
2519. § 239.23 Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.
2520. § 239.24 Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
2521. § 239.25 Form S-4, for the registration of securities issued in business combination transactions.
2522. §§ 239.26-239.30 [Reserved]
2523. § 239.31 Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.
2524. § 239.32 [Reserved]
2525. § 239.33 Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.
2526. § 239.34 Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions.
2527. § 239.35 [Reserved]
2528. § 239.36 Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts.
2529. § 239.37 Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.
2530. § 239.38 Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
2531. § 239.39 [Reserved]
2532. § 239.40 Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers.
2533. § 239.41 Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
2534. § 239.42 Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 et seq. of this chapter) on Form 1-A (§ 239.90), or by any non-U.S. issuer providing Form CB (§ 249.480 of this chapter) to the Commission in connection with a tender offer, rights offering or business combination.
2535. § 239.43 Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.
2536. § 239.44 Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.
2537. § 239.45 Form SF-3, for registration under the Securities Act of 1933 for offerings of asset-backed issuers offered pursuant to certain types of transactions.
2538. §§ 239.46-239.62 [Reserved]
2539. § 239.63 Form ID, application for EDGAR access.
2540. § 239.64 Form SE, form for submission of paper format exhibits by electronic filers.
2541. § 239.65 Form TH—Notification of reliance on temporary hardship exemption.
2542. § 239.66 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
2543. Subpart B Forms Pertaining to Exemptions
2544. § 239.90 Form 1-A, offering statement under Regulation A.
2545. § 239.91 Form 1-K.
2546. § 239.92 Form 1-SA.
2547. § 239.93 Form 1-U.
2548. § 239.94 Form 1-Z.
2549. §§ 239.95-239.143 [Reserved]
2550. § 239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.
2551. §§ 239.145-239.199 [Reserved]
2552. § 239.200 Form 1-E, notification under Regulation E.
2553. § 239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E.
2554. §§ 239.202-239.300 [Reserved]
2555. § 239.500 Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.
2556. § 239.701 [Reserved]
2557. § 239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering.
2558. § 239.900 Form C.
2559. CHAPTER II SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
2560. PART 240 GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
2561. Subpart A Rules and Regulations Under the Securities Exchange Act of 1934
2562. 59 Rules of General Application
2563. § 240.0-1 Definitions.
2564. § 240.0-2 Business hours of the Commission.
2565. § 240.0-3 Filing of material with the Commission.
2566. § 240.0-4 Nondisclosure of information obtained in examinations and investigations.
2567. § 240.0-5 Reference to rule by obsolete designation.
2568. § 240.0-6 Disclosure detrimental to the national defense or foreign policy.
2569. § 240.0-8 Application of rules to registered broker-dealers.
2570. § 240.0-9 Payment of filing fees.
2571. § 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
2572. § 240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions.
2573. § 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
2574. § 240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
2575. § 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
2576. § 240.3a4-1 Associated persons of an issuer deemed not to be brokers.
2577. §§ 240.3a4-2--240.3a4-6 [Reserved]
2578. § 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
2579. § 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
2580. § 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
2581. § 240.3a5-4 Further definition of “as a part of a regular business” in connection with certain liquidity providers.
2582. 60 Definition of “Equity Security” as Used in Sections 12(g) and 16
2583. § 240.3a11-1 Definition of the term “equity security.”
2584. 61 Miscellaneous Exemptions
2585. § 240.3a12-1 Exemption of certain mortgages and interests in mortgages.
2586. § 240.3a12-2 [Reserved]
2587. § 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
2588. § 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
2589. § 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
2590. § 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
2591. § 240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
2592. § 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
2593. § 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
2594. § 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
2595. § 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
2596. § 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
2597. § 240.3a40-1 Designation of financial responsibility rules.
2598. § 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.
2599. § 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
2600. § 240.3a44-2 Further definition of “as a part of a regular business” in connection with certain liquidity providers.
2601. § 240.3a51-1 Definition of “penny stock”.
2602. § 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.
2603. § 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
2604. § 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
2605. § 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
2606. 62 Security-Based Swap Dealer and Participant Definitions
2607. § 240.3a67-1 Definition of “major security-based swap participant.”
2608. § 240.3a67-2 Categories of security-based swaps.
2609. § 240.3a67-3 Definition of “substantial position.”
2610. § 240.3a67-4 Definition of “hedging or mitigating commercial risk.”
2611. § 240.3a67-5 Definition of “substantial counterparty exposure.”
2612. § 240.3a67-6 Definition of “financial entity.”
2613. § 240.3a67-7 Definition of “highly leveraged.”
2614. § 240.3a67-8 Timing requirements, reevaluation period, and termination of status.
2615. § 240.3a67-9 Calculation of major participant status by certain persons.
2616. § 240.3a67-10 Foreign major security-based swap participants.
2617. 63 Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
2618. § 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.
2619. § 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
2620. § 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
2621. § 240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
2622. § 240.3a68-4 Regulation of mixed swaps.
2623. § 240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt.
2624. § 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.
2625. § 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
2626. § 240.3a69-3 Books and records requirements for security-based swap agreements.
2627. § 240.3a71-1 Definition of “security-based swap dealer.”
2628. § 240.3a71-2 De minimis exception.
2629. § 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).
2630. § 240.3a71-3 Cross-border security-based swap dealing activity.
2631. § 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
2632. § 240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
2633. § 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
2634. 64 Definitions
2635. § 240.3b-1 Definition of “listed”.
2636. § 240.3b-2 Definition of “officer”.
2637. § 240.3b-3 [Reserved]
2638. § 240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
2639. § 240.3b-5 Non-exempt securities issued under governmental obligations.
2640. § 240.3b-6 Liability for certain statements by issuers.
2641. § 240.3b-7 Definition of “executive officer”.
2642. § 240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
2643. §§ 240.3b-9--240.3b-10 [Reserved]
2644. § 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).
2645. § 240.3b-12 Definition of OTC derivatives dealer.
2646. § 240.3b-13 Definition of eligible OTC derivative instrument.
2647. § 240.3b-14 Definition of cash management securities activities.
2648. § 240.3b-15 Definition of ancillary portfolio management securities activities.
2649. § 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act.
2650. § 240.3b-17 [Reserved]
2651. § 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act.
2652. § 240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
2653. 65 Clearing of Security-Based Swaps
2654. § 240.3Ca-1 Stay of clearing requirement and review by the Commission.
2655. § 240.3Ca-2 Submission of security-based swaps for clearing.
2656. 66 Registration and Exemption of Exchanges
2657. § 240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.
2658. § 240.6a-2 Amendments to application.
2659. § 240.6a-3 Supplemental material to be filed by exchanges.
2660. § 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.
2661. § 240.6h-1 Settlement and regulatory halt requirements for security futures products.
2662. § 240.6h-2 Security future based on note, bond, debenture, or evidence of indebtedness.
2663. § 240.7c2-1 [Reserved]
2664. 67 Hypothecation of Customers' Securities
2665. § 240.8c-1 Hypothecation of customers' securities.
2666. § 240.9b-1 Options disclosure document.
2667. 68 Manipulative and Deceptive Devices and Contrivances
2668. § 240.9j-1 Prohibition against fraud, manipulation, or deception in connection with security-based swaps.
2669. §§ 240.10a-1--240.10a-2 [Reserved]
2670. § 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
2671. § 240.10b-2 [Reserved]
2672. § 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers.
2673. § 240.10b-4 [Reserved]
2674. § 240.10b-5 Employment of manipulative and deceptive devices.
2675. § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
2676. § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.
2677. §§ 240.10b-6--240.10b-8 [Reserved]
2678. § 240.10b-9 Prohibited representations in connection with certain offerings.
2679. § 240.10b-10 Confirmation of transactions.
2680. § 240.10b-13 [Reserved]
2681. § 240.10b-16 Disclosure of credit terms in margin transactions.
2682. § 240.10b-17 Untimely announcements of record dates.
2683. § 240.10b-18 Purchases of certain equity securities by the issuer and others.
2684. § 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
2685. § 240.10c-1a Securities lending transparency.
2686. 69 Reports Under Section 10A
2687. § 240.10A-1 Notice to the Commission Pursuant to Section 10A of the Act.
2688. § 240.10A-2 Auditor independence.
2689. § 240.10A-3 Listing standards relating to audit committees.
2690. 70 Requirements Under Section 10C
2691. § 240.10C-1 Listing standards relating to compensation committees.
2692. 71 Requirements Under Section 10D
2693. § 240.10D-1 Listing standards relating to recovery of erroneously awarded compensation.
2694. 72 Adoption of Floor Trading Regulation (Rule 11a-1)
2695. § 240.11a-1 Regulation of floor trading.
2696. § 240.11a1-1(T) Transactions yielding priority, parity, and precedence.
2697. § 240.11a1-2 Transactions for certain accounts of associated persons of members.
2698. § 240.11a1-3(T) Bona fide hedge transactions in certain securities.
2699. § 240.11a1-4(T) Bond transactions on national securities exchanges.
2700. § 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
2701. § 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
2702. § 240.11a2-2(T) Transactions effected by exchange members through other members.
2703. 73 Adoption of Regulation on Conduct of Specialists
2704. § 240.11b-1 Regulation of specialists.
2705. 74 Exemption of Certain Securities From Section 11(d)(1)
2706. § 240.11d1-1 Exemption of certain securities from section 11(d)(1).
2707. § 240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
2708. § 240.11d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
2709. 75 Securities Exempted From Registration
2710. § 240.12a-4 Exemption of certain warrants from section 12(a).
2711. § 240.12a-5 Temporary exemption of substituted or additional securities.
2712. § 240.12a-6 Exemption of securities underlying certain options from section 12(a).
2713. § 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
2714. § 240.12a-8 Exemption of depositary shares.
2715. § 240.12a-9 Exemption of standardized options from section 12(a) of the Act.
2716. § 240.12a-10 Exemption of security-based swaps from section 12(a) of the Act.
2717. § 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.
2718. 76 Regulation 12B: Registration and Reporting
2719. 77 General
2720. § 240.12b-1 Scope of regulation.
2721. § 240.12b-2 Definitions.
2722. § 240.12b-3 Title of securities.
2723. § 240.12b-4 Supplemental information.
2724. § 240.12b-5 Determination of affiliates of banks.
2725. § 240.12b-6 When securities are deemed to be registered.
2726. § 240.12b-7 [Reserved]
2727. 78 Formal Requirements
2728. § 240.12b-10 Requirements as to proper form.
2729. § 240.12b-11 Number of copies; signatures; binding.
2730. § 240.12b-12 Requirements as to paper, printing and language.
2731. § 240.12b-13 Preparation of statement or report.
2732. § 240.12b-14 Riders; inserts.
2733. § 240.12b-15 Amendments.
2734. 79 General Requirements as to Contents
2735. § 240.12b-20 Additional information.
2736. § 240.12b-21 Information unknown or not available.
2737. § 240.12b-22 Disclaimer of control.
2738. § 240.12b-23 Incorporation by reference.
2739. § 240.12b-24 [Reserved]
2740. § 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.
2741. 80 Exhibits
2742. § 240.12b-30 Additional exhibits.
2743. § 240.12b-31 Omission of substantially identical documents.
2744. § 240.12b-32 [Reserved]
2745. § 240.12b-33 Annual reports to other Federal agencies.
2746. 81 Special Provisions
2747. § 240.12b-35 [Reserved]
2748. § 240.12b-36 Use of financial statements filed under other acts.
2749. § 240.12b-37 Satisfaction of filing requirements.
2750. 82 Certification by Exchanges and Effectiveness of Registration
2751. § 240.12d1-1 Registration effective as to class or series.
2752. § 240.12d1-2 Effectiveness of registration.
2753. § 240.12d1-3 Requirements as to certification.
2754. § 240.12d1-4 Date of receipt of certification by Commission.
2755. § 240.12d1-5 Operation of certification on subsequent amendments.
2756. § 240.12d1-6 Withdrawal of certification.
2757. 83 Suspension of Trading, Withdrawal, and Striking From Listing and Registration
2758. § 240.12d2-1 Suspension of trading.
2759. § 240.12d2-2 Removal from listing and registration.
2760. 84 Unlisted Trading
2761. § 240.12f-1 Applications for permission to reinstate unlisted trading privileges.
2762. § 240.12f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.
2763. § 240.12f-3 Termination or suspension of unlisted trading privileges.
2764. § 240.12f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
2765. § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended.
2766. § 240.12f-6 [Reserved]
2767. 85 Extensions and Temporary Exemptions; Definitions
2768. § 240.12g-1 Registration of securities; exemption from section 12(g).
2769. § 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).
2770. § 240.12g-3 Registration of securities of successor issuers under section 12(b) or 12(g).
2771. § 240.12g-4 Certifications of termination of registration under section 12(g).
2772. § 240.12g-6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
2773. § 240.12g3-2 Exemptions for American depositary receipts and certain foreign securities.
2774. § 240.12g5-1 Definition of securities “held of record”.
2775. § 240.12g5-2 Definition of “total assets”.
2776. § 240.12h-1 Exemptions from registration under section 12(g) of the Act.
2777. § 240.12h-2 [Reserved]
2778. § 240.12h-3 Suspension of duty to file reports under section 15(d).
2779. § 240.12h-4 Exemption from duty to file reports under section 15(d).
2780. § 240.12h-5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
2781. § 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).
2782. § 240.12h-7 Exemption for issuers of securities that are subject to insurance regulation.
2783. 86 Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
2784. 87 Annual Reports
2785. § 240.13a-1 Requirements of annual reports.
2786. § 240.13a-2 [Reserved]
2787. § 240.13a-3 Reporting by Form 40-F registrant.
2788. 88 Other Reports
2789. § 240.13a-10 Transition reports.
2790. § 240.13a-11 Current reports on Form 8-K (§ 249.308 of this chapter).
2791. § 240.13a-13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
2792. § 240.13a-14 Certification of disclosure in annual and quarterly reports.
2793. § 240.13a-15 Controls and procedures.
2794. § 240.13a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
2795. § 240.13a-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
2796. § 240.13a-18 Compliance with servicing criteria for asset-backed securities.
2797. § 240.13a-19 Reports by shell companies on Form 20-F.
2798. § 240.13a-20 Plain English presentation of specified information.
2799. § 240.13a-21 [Reserved]
2800. 89 Regulation 13b-2: Maintenance of Records and Preparation of Required Reports
2801. § 240.13b2-1 Falsification of accounting records.
2802. § 240.13b2-2 Representations and conduct in connection with the preparation of required reports and documents.
2803. 90 Regulation 13D-G
2804. § 240.13d-1 Filing of Schedules 13D and 13G.
2805. § 240.13d-2 Filing of amendments to Schedules 13D or 13G.
2806. § 240.13d-3 Determination of beneficial owner.
2807. § 240.13d-4 Disclaimer of beneficial ownership.
2808. § 240.13d-5 Acquisition of beneficial ownership.
2809. § 240.13d-6 Exemption of certain acquisitions.
2810. § 240.13d-7 [Reserved]
2811. § 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).
2812. § 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.
2813. § 240.13e-1 Purchase of securities by the issuer during a third-party tender offer.
2814. § 240.13e-2 [Reserved]
2815. § 240.13e-3 Going private transactions by certain issuers or their affiliates.
2816. § 240.13e-4 Tender offers by issuers.
2817. § 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.
2818. § 240.13e-101 [Reserved]
2819. § 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.
2820. § 240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
2821. § 240.13f-2 Reporting by institutional investment managers regarding gross short position and activity information.
2822. § 240.13h-1 Large trader reporting.
2823. § 240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).
2824. § 240.13n-1 Registration of security-based swap data repository.
2825. § 240.13n-2 Withdrawal from registration; revocation and cancellation.
2826. § 240.13n-3 Registration of successor to registered security-based swap data repository.
2827. § 240.13n-4 Duties and core principles of security-based swap data repository.
2828. § 240.13n-5 Data collection and maintenance.
2829. § 240.13n-6 Automated systems.
2830. § 240.13n-7 Recordkeeping of security-based swap data repository.
2831. § 240.13n-8 Reports to be provided to the Commission.
2832. § 240.13n-9 Privacy requirements of security-based swap data repository.
2833. § 240.13n-10 Disclosure requirements of security-based swap data repository.
2834. § 240.13n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
2835. § 240.13n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
2836. § 240.13p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
2837. § 240.13q-1 Disclosure of payments made by resource extraction issuers.
2838. 91 Regulation 14A: Solicitation of Proxies
2839. § 240.14a-1 Definitions.
2840. § 240.14a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
2841. § 240.14a-3 Information to be furnished to security holders.
2842. § 240.14a-4 Requirements as to proxy.
2843. § 240.14a-5 Presentation of information in proxy statement.
2844. § 240.14a-6 Filing requirements.
2845. § 240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
2846. § 240.14a-8 Shareholder proposals.
2847. § 240.14a-9 False or misleading statements.
2848. § 240.14a-10 Prohibition of certain solicitations.
2849. § 240.14a-12 Solicitation before furnishing a proxy statement.
2850. § 240.14a-13 Obligation of registrants in communicating with beneficial owners.
2851. § 240.14a-14 Modified or superseded documents.
2852. § 240.14a-15 Differential and contingent compensation in connection with roll-up transactions.
2853. § 240.14a-16 Internet availability of proxy materials.
2854. § 240.14a-17 Electronic shareholder forums.
2855. § 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.
2856. § 240.14a-19 Solicitation of proxies in support of director nominees other than the registrant's nominees.
2857. § 240.14a-20 Shareholder approval of executive compensation of TARP recipients.
2858. § 240.14a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
2859. § 240.14a-101 Schedule 14A. Information required in proxy statement.
2860. § 240.14a-102 [Reserved]
2861. § 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).
2862. § 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-6(n).
2863. § 240.14Ad-1 Report of proxy voting record.
2864. § 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
2865. § 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.
2866. 92 Regulation 14C: Distribution of Information Pursuant to Section 14(c)
2867. § 240.14c-1 Definitions.
2868. § 240.14c-2 Distribution of information statement.
2869. § 240.14c-3 Annual report to be furnished security holders.
2870. § 240.14c-4 Presentation of information in information statement.
2871. § 240.14c-5 Filing requirements.
2872. § 240.14c-6 False or misleading statements.
2873. § 240.14c-7 Providing copies of material for certain beneficial owners.
2874. § 240.14c-101 Schedule 14C. Information required in information statement.
2875. 93 Regulation 14D
2876. § 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E.
2877. § 240.14d-2 Commencement of a tender offer.
2878. § 240.14d-3 Filing and transmission of tender offer statement.
2879. § 240.14d-4 Dissemination of tender offers to security holders.
2880. § 240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
2881. § 240.14d-6 Disclosure of tender offer information to security holders.
2882. § 240.14d-7 Additional withdrawal rights.
2883. § 240.14d-8 Exemption from statutory pro rata requirements.
2884. § 240.14d-9 Recommendation or solicitation by the subject company and others.
2885. § 240.14d-10 Equal treatment of security holders.
2886. § 240.14d-11 Subsequent offering period.
2887. § 240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
2888. § 240.14d-101 Schedule 14D-9.
2889. § 240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
2890. § 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.
2891. 94 Regulation 14E
2892. § 240.14e-1 Unlawful tender offer practices.
2893. § 240.14e-2 Position of subject company with respect to a tender offer.
2894. § 240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
2895. § 240.14e-4 Prohibited transactions in connection with partial tender offers.
2896. § 240.14e-5 Prohibiting purchases outside of a tender offer.
2897. § 240.14e-6 Repurchase offers by certain closed-end registered investment companies.
2898. § 240.14e-7 Unlawful tender offer practices in connection with roll-ups.
2899. § 240.14e-8 Prohibited conduct in connection with pre-commencement communications.
2900. § 240.14f-1 Change in majority of directors.
2901. 95 Regulation 14N: Filings Required by Certain Nominating Shareholders
2902. § 240.14n-1 Filing of Schedule 14N.
2903. § 240.14n-2 Filing of amendments to Schedule 14N.
2904. § 240.14n-3 Dissemination.
2905. § 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.
2906. 96 Exemption of Certain OTC Derivatives Dealers
2907. § 240.15a-1 Securities activities of OTC derivatives dealers.
2908. 97 Exemption of Certain Securities From Section 15(a)
2909. § 240.15a-2 Exemption of certain securities of cooperative apartment houses from section 15(a).
2910. § 240.15a-3 [Reserved]
2911. § 240.15a-4 Forty-five day exemption from registration for certain members of national securities exchanges.
2912. § 240.15a-5 Exemption of certain nonbank lenders.
2913. 98 Registration of Brokers and Dealers
2914. § 240.15a-6 Exemption of certain foreign brokers or dealers.
2915. §§ 240.15a-7--240.15a-9 [Reserved]
2916. § 240.15a-10 Exemption of certain brokers or dealers with respect to security futures products.
2917. § 240.15a-11 [Reserved]
2918. § 240.15a-12 Exemption for certain security-based swap execution facilities from certain broker requirements.
2919. § 240.15b1-1 Application for registration of brokers or dealers.
2920. § 240.15b1-2 [Reserved]
2921. § 240.15b1-3 Registration of successor to registered broker or dealer.
2922. § 240.15b1-4 Registration of fiduciaries.
2923. § 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.
2924. § 240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
2925. § 240.15b2-2 Inspection of newly registered brokers and dealers.
2926. § 240.15b3-1 Amendments to application.
2927. § 240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
2928. § 240.15b6-1 Withdrawal from registration.
2929. § 240.15b7-1 Compliance with qualification requirements of self-regulatory organizations.
2930. § 240.15b7-3T Operational capability in a Year 2000 environment.
2931. § 240.15b9-1 Exemption for certain exchange members.
2932. § 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers.
2933. § 240.15b11-1 Registration by notice of security futures product broker-dealers.
2934. 99 Rules Relating to Over-the-Counter Markets
2935. § 240.15c1-1 Definitions.
2936. § 240.15c1-2 Fraud and misrepresentation.
2937. § 240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
2938. § 240.15c1-4 [Reserved]
2939. § 240.15c1-5 Disclosure of control.
2940. § 240.15c1-6 Disclosure of interest in distribution.
2941. § 240.15c1-7 Discretionary accounts.
2942. § 240.15c1-8 Sales at the market.
2943. § 240.15c1-9 Use of pro forma balance sheets.
2944. § 240.15c2-1 Hypothecation of customers' securities.
2945. § 240.15c2-3 [Reserved]
2946. § 240.15c2-4 Transmission or maintenance of payments received in connection with underwritings.
2947. § 240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
2948. § 240.15c2-6 [Reserved]
2949. § 240.15c2-7 Identification of quotations.
2950. § 240.15c2-8 Delivery of prospectus.
2951. § 240.15c2-11 Publication or submission of quotations without specified information.
2952. § 240.15c2-12 Municipal securities disclosure.
2953. § 240.15c3-1 Net capital requirements for brokers or dealers.
2954. § 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
2955. § 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
2956. § 240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
2957. § 240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
2958. § 240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
2959. § 240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
2960. § 240.15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
2961. § 240.15c3-2 [Reserved]
2962. § 240.15c3-3 Customer protection—reserves and custody of securities.
2963. § 240.15c3-3a Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
2964. § 240.15c3-3b Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
2965. § 240.15c3-4 Internal risk management control systems for OTC derivatives dealers.
2966. § 240.15c3-5 Risk management controls for brokers or dealers with market access.
2967. § 240.15c6-1 Settlement cycle.
2968. § 240.15c6-2 Same-day allocation, confirmation, and affirmation.
2969. 100 Regulation 15D: Reports of Registrants Under the Securities Act of 1933
2970. 101 Annual Reports
2971. § 240.15d-1 Requirement of annual reports.
2972. § 240.15d-2 Special financial report.
2973. § 240.15d-3 Reports for depositary shares registered on Form F-6.
2974. § 240.15d-4 Reporting by Form 40-F registrants.
2975. § 240.15d-5 Reporting by successor issuers.
2976. § 240.15d-6 Suspension of duty to file reports.
2977. 102 Other Reports
2978. § 240.15d-10 Transition reports.
2979. § 240.15d-11 Current reports on Form 8-K (§ 249.308 of this chapter).
2980. § 240.15d-13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
2981. § 240.15d-14 Certification of disclosure in annual and quarterly reports.
2982. § 240.15d-15 Controls and procedures.
2983. § 240.15d-16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
2984. § 240.15d-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
2985. § 240.15d-18 Compliance with servicing criteria for asset-backed securities.
2986. § 240.15d-19 Reports by shell companies on Form 20-F.
2987. § 240.15d-20 Plain English presentation of specified information.
2988. 103 Exemption of Certain Issuers From Section 15(d) of the Act
2989. § 240.15d-21 Reports for employee stock purchase, savings and similar plans.
2990. § 240.15d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.
2991. § 240.15d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
2992. § 240.15g-1 Exemptions for certain transactions.
2993. § 240.15g-2 Penny stock disclosure document relating to the penny stock market.
2994. § 240.15g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
2995. § 240.15g-4 Disclosure of compensation to brokers or dealers.
2996. § 240.15g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.
2997. § 240.15g-6 Account statements for penny stock customers.
2998. § 240.15g-8 Sales of escrowed securities of blank check companies.
2999. § 240.15g-9 Sales practice requirements for certain low-priced securities.
3000. § 240.15g-100 Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
3001. § 240.15l-1 Regulation best interest.
3002. 104 National and Affiliated Securities Associations
3003. § 240.15aa-1 Registration of a national or an affiliated securities association.
3004. § 240.15aa-2 Amendments and supplements to registration statements of securities associations.
3005. § 240.15Al2-1 [Reserved]
3006. § 240.15Ba1-1 Definitions.
3007. § 240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons.
3008. § 240.15Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
3009. § 240.15Ba1-4 Withdrawal from municipal advisor registration.
3010. § 240.15Ba1-5 Amendments to Form MA and Form MA-I.
3011. § 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.
3012. § 240.15Ba1-7 Registration of successor to municipal advisor.
3013. § 240.15Ba1-8 Books and records to be made and maintained by municipal advisors.
3014. § 240.15Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
3015. § 240.15Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
3016. § 240.15Ba2-4 Registration of successor to registered municipal securities dealer.
3017. § 240.15Ba2-5 Registration of fiduciaries.
3018. § 240.15Ba2-6 [Reserved]
3019. § 240.15Bc3-1 Withdrawal from registration of municipal securities dealers.
3020. § 240.15Bc4-1 Persons associated with municipal advisors.
3021. § 240.15Bc7-1 Availability of examination reports.
3022. 105 Registration of Government Securities Brokers and Government Securities Dealers
3023. § 240.15Ca1-1 Notice of government securities broker-dealer activities.
3024. § 240.15Ca2-1 Application for registration as a government securities broker or government securities dealer.
3025. § 240.15Ca2-2 [Reserved]
3026. § 240.15Ca2-3 Registration of successor to registered government securities broker or government securities dealer.
3027. § 240.15Ca2-4 Registration of fiduciaries.
3028. § 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.
3029. § 240.15Cc1-1 Withdrawal from registration of government securities brokers or government securities dealers.
3030. 106 Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
3031. § 240.15Fb1-1. Signatures.
3032. § 240.15Fb2-1 Registration of security-based swap dealers and major security-based swap participants.
3033. § 240.15Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
3034. § 240.15Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.
3035. § 240.15Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
3036. § 240.15Fb2-6 Registration of fiduciaries.
3037. § 240.15Fb3-1 Duration of registration.
3038. § 240.15Fb3-2 Withdrawal from registration.
3039. § 240.15Fb3-3 Cancellation and revocation of registration.
3040. § 240.15Fb6-1 [Reserved]
3041. § 240.15Fb6-2 Associated person certification.
3042. § 240.15Fh-1 Scope and reliance on representations.
3043. § 240.15Fh-2 Definitions.
3044. § 240.15Fh-3 Business conduct requirements.
3045. § 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.
3046. § 240.15Fh-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
3047. § 240.15Fh-6 Political contributions by certain security-based swap dealers.
3048. § 240.15Fi-1 Definitions.
3049. § 240.15Fi-2 Acknowledgment and verification of security-based swap transactions.
3050. § 240.15fi-3 Security-based swap portfolio reconciliation.
3051. § 240.15Fi-4 Security-based swap portfolio compression.
3052. § 240.15Fi-5 Security-based swap trading relationship documentation.
3053. § 240.15fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
3054. § 240.15Ga-1 Repurchases and replacements relating to asset-backed securities.
3055. § 240.15Ga-2 Findings and conclusions of third-party due diligence reports.
3056. 107 Reports of Directors, Officers, and Principal Shareholders
3057. § 240.16a-1 Definition of terms.
3058. § 240.16a-2 Persons and transactions subject to section 16.
3059. § 240.16a-3 Reporting transactions and holdings.
3060. § 240.16a-4 Derivative securities.
3061. § 240.16a-5 Odd-lot dealers.
3062. § 240.16a-6 Small acquisitions.
3063. § 240.16a-7 Transactions effected in connection with a distribution.
3064. § 240.16a-8 Trusts.
3065. § 240.16a-9 Stock splits, stock dividends, and pro rata rights.
3066. § 240.16a-10 Exemptions under section 16(a).
3067. § 240.16a-11 Dividend or interest reinvestment plans.
3068. § 240.16a-12 Domestic relations orders.
3069. § 240.16a-13 Change in form of beneficial ownership.
3070. 108 Exemption of Certain Transactions From Section 16(b)
3071. § 240.16b-1 Transactions approved by a regulatory authority.
3072. § 240.16b-2 [Reserved]
3073. § 240.16b-3 Transactions between an issuer and its officers or directors.
3074. § 240.16b-4 [Reserved]
3075. § 240.16b-5 Bona fide gifts and inheritance.
3076. § 240.16b-6 Derivative securities.
3077. § 240.16b-7 Mergers, reclassifications, and consolidations.
3078. § 240.16b-8 Voting trusts.
3079. 109 Exemption of Certain Transactions From Section 16(c)
3080. § 240.16c-1 Brokers.
3081. § 240.16c-2 Transactions effected in connection with a distribution.
3082. § 240.16c-3 Exemption of sales of securities to be acquired.
3083. § 240.16c-4 Derivative securities.
3084. 110 Arbitrage Transactions
3085. § 240.16e-1 Arbitrage transactions under section 16.
3086. 111 Preservation of Records and Reports of Certain Stabilizing Activities
3087. § 240.17a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
3088. § 240.17a-2 Recordkeeping requirements relating to stabilizing activities.
3089. § 240.17a-3 Records to be made by certain exchange members, brokers and dealers.
3090. § 240.17a-4 Records to be preserved by certain exchange members, brokers and dealers.
3091. § 240.17a-5 Reports to be made by certain brokers and dealers.
3092. § 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.
3093. § 240.17a-7 Records of non-resident brokers and dealers.
3094. § 240.17a-8 Financial recordkeeping and reporting of currency and foreign transactions.
3095. § 240.17a-9T Records to be made and retained by certain exchange members, brokers and dealers.
3096. § 240.17a-10 Report on revenue and expenses.
3097. § 240.17a-11 Notification provisions for brokers and dealers.
3098. § 240.17a-12 Reports to be made by certain OTC derivatives dealers.
3099. § 240.17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
3100. § 240.17a-14 Form CRS, for preparation, filing and delivery of Form CRS.
3101. § 240.17a-18 [Reserved]
3102. § 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.
3103. § 240.17a-21 Reports of the Municipal Securities Rulemaking Board.
3104. § 240.17a-22 Supplemental material of registered clearing agencies.
3105. § 240.17a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
3106. § 240.17d-1 Examination for compliance with applicable financial responsibility rules.
3107. § 240.17d-2 Program for allocation of regulatory responsibility.
3108. § 240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
3109. § 240.17f-2 Fingerprinting of securities industry personnel.
3110. 112 Nationally Recognized Statistical Rating Organizations
3111. § 240.17g-1 Application for registration as a nationally recognized statistical rating organization.
3112. § 240.17g-2 Records to be made and retained by nationally recognized statistical rating organizations.
3113. § 240.17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
3114. § 240.17g-4 Prevention of misuse of material nonpublic information.
3115. § 240.17g-5 Conflicts of interest.
3116. § 240.17g-6 Prohibited acts and practices.
3117. § 240.17g-7 Disclosure requirements.
3118. § 240.17g-8 Policies, procedures, and internal controls.
3119. § 240.17g-9 Standards of training, experience, and competence for credit analysts.
3120. § 240.17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
3121. § 240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
3122. § 240.17h-2T Risk assessment reporting requirements for brokers and dealers.
3123. § 240.17ab2-1 Registration of clearing agencies.
3124. § 240.17Ab2-2 Determinations affecting covered clearing agencies.
3125. § 240.17Ac2-1 Application for registration of transfer agents.
3126. § 240.17Ac2-2 Annual reporting requirement for registered transfer agents.
3127. § 240.17Ac3-1 Withdrawal from registration with the Commission.
3128. § 240.17Ad-1 Definitions.
3129. § 240.17Ad-2 Turnaround, processing, and forwarding of items.
3130. § 240.17Ad-3 Limitations on expansion.
3131. § 240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
3132. § 240.17Ad-5 Written inquiries and requests.
3133. § 240.17Ad-6 Recordkeeping.
3134. § 240.17ad-7 (Rule 17Ad-7) Record retention.
3135. § 240.17Ad-8 Securities position listings.
3136. § 240.17Ad-9 Definitions.
3137. § 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.
3138. § 240.17Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
3139. § 240.17Ad-12 Safeguarding of funds and securities.
3140. § 240.17Ad-13 Annual study and evaluation of internal accounting control.
3141. § 240.17Ad-14 Tender agents.
3142. § 240.17Ad-15 Signature guarantees.
3143. § 240.17Ad-16 Notice of assumption or termination of transfer agent services.
3144. § 240.17Ad-17 Lost securityholders and unresponsive payees.
3145. § 240.17Ad-18 Year 2000 Reports to be made by certain transfer agents.
3146. § 240.17Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
3147. § 240.17Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
3148. § 240.17Ad-21T Operational capability in a Year 2000 environment.
3149. § 240.17ad-22 Standards for clearing agencies.
3150. § 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 § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).
3151. § 240.17ad-25 Clearing agency boards of directors and conflicts of interest.
3152. § 240.17ad-26 Recovery and orderly wind-down plans of covered clearing agencies.
3153. § 240.17Ad-27 Straight-through processing by clearing agencies that provide a central matching service.
3154. 113 Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
3155. § 240.18a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
3156. § 240.18a-1a Options.
3157. § 240.18a-1b Adjustments to net worth for certain commodities transactions.
3158. § 240.18a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
3159. § 240.18a-1d Satisfactory Subordinated Loan Agreements.
3160. § 240.18a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
3161. § 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.
3162. § 240.18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
3163. § 240.18a-4a Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
3164. § 240.18a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.
3165. § 240.18a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
3166. § 240.18a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
3167. § 240.18a-8 Notification provisions for security-based swap dealers and major security-based swap participants.
3168. § 240.18a-9 Quarterly security counts to be made by certain security-based swap dealers.
3169. § 240.18a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
3170. 114 Suspension and Expulsion of Exchange Members
3171. § 240.19a3-1 [Reserved]
3172. § 240.19b-3 [Reserved]
3173. § 240.19b-4 Filings with respect to proposed rule changes by self-regulatory organizations.
3174. § 240.19b-5 Temporary exemption from the filing requirements of Section 19(b) of the Act.
3175. § 240.19b-7 Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
3176. § 240.19c-1 Governing certain off-board agency transactions by members of national securities exchanges.
3177. § 240.19c-3 Governing off-board trading by members of national securities exchanges.
3178. § 240.19c-4 Governing certain listing or authorization determinations by national securities exchanges and associations.
3179. § 240.19c-5 Governing the multiple listing of options on national securities exchanges.
3180. § 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.
3181. § 240.19d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
3182. § 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.
3183. § 240.19d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
3184. § 240.19g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
3185. § 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.
3186. 115 Securities Whistleblower Incentives and Protections
3187. § 240.21F-1 General.
3188. § 240.21F-2 Whistleblower status, award eligibility, confidentiality, and retaliation protections.
3189. § 240.21F-3 Payment of awards.
3190. § 240.21F-4 Other definitions.
3191. § 240.21F-5 Amount of award.
3192. § 240.21F-6 Criteria for determining amount of award.
3193. § 240.21F-7 Confidentiality of submissions.
3194. § 240.21F-8 Eligibility and forms.
3195. § 240.21F-9 Procedures for submitting original information.
3196. § 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.
3197. § 240.21F-11 Procedures for determining awards based upon a related action.
3198. § 240.21F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.
3199. § 240.21F-13 Appeals.
3200. § 240.21F-14 Procedures applicable to the payment of awards.
3201. § 240.21F-15 No amnesty.
3202. § 240.21F-16 Awards to whistleblowers who engage in culpable conduct.
3203. § 240.21F-17 Staff communications with individuals reporting possible securities law violations.
3204. § 240.21F-18 Summary disposition.
3205. 116 Inspection and Publication of Information Filed Under the Act
3206. § 240.24b-1 Documents to be kept public by exchanges.
3207. § 240.24b-2 Nondisclosure of information filed with the Commission and with any exchange.
3208. § 240.24b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.
3209. § 240.24c-1 Access to nonpublic information.
3210. § 240.31 Section 31 transaction fees.
3211. § 240.31T Temporary rule regarding fiscal year 2004.
3212. § 240.36a1-1 Exemption from Section 7 for OTC derivatives dealers.
3213. § 240.36a1-2 Exemption from SIPA for OTC derivatives dealers.
3214. Subpart B Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
3215. CHAPTER II SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
3216. PART 241 INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER
3217. PART 242 REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
3218. 1 Regulation M
3219. § 242.100 Preliminary note; definitions.
3220. § 242.101 Activities by distribution participants.
3221. § 242.102 Activities by issuers and selling security holders during a distribution.
3222. § 242.103 Nasdaq passive market making.
3223. § 242.104 Stabilizing and other activities in connection with an offering.
3224. § 242.105 Short selling in connection with a public offering.
3225. Regulation SHO Regulation of Short Sales
3226. § 242.200 Definition of “short sale” and marking requirements.
3227. § 242.201 Circuit breaker.
3228. § 242.203 Borrowing and delivery requirements.
3229. § 242.204 Close-out requirement.
3230. Regulation ATS Alternative Trading Systems
3231. § 242.300 Definitions.
3232. § 242.301 Requirements for alternative trading systems.
3233. § 242.302 Recordkeeping requirements for alternative trading systems.
3234. § 242.303 Record preservation requirements for alternative trading systems.
3235. § 242.304 NMS Stock ATSs.
3236. 4 Customer Margin Requirements for Security Futures
3237. § 242.400 Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
3238. § 242.401 Definitions.
3239. § 242.402 General provisions.
3240. § 242.403 Required margin.
3241. § 242.404 Type, form and use of margin.
3242. § 242.405 Withdrawal of margin.
3243. § 242.406 Undermargined accounts.
3244. Regulation AC Analyst Certification
3245. § 242.500 Definitions.
3246. § 242.501 Certifications in connection with research reports.
3247. § 242.502 Certifications in connection with public appearances.
3248. § 242.503 Certain foreign research reports.
3249. § 242.504 Notification to associated persons.
3250. § 242.505 Exclusion for news media.
3251. Regulation NMS Regulation of the National Market System
3252. § 242.600 NMS security designation and definitions.
3253. § 242.601 Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
3254. § 242.602 Dissemination of quotations in NMS securities.
3255. § 242.603 Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.
3256. § 242.604 Display of customer limit orders.
3257. § 242.605 Disclosure of order execution information.
3258. § 242.606 Disclosure of order routing information.
3259. § 242.607 Customer account statements.
3260. § 242.608 Filing and amendment of national market system plans.
3261. § 242.609 Registration of securities information processors: form of application and amendments.
3262. § 242.610 Access to quotations.
3263. § 242.611 Order protection rule.
3264. § 242.612 Minimum pricing increment.
3265. § 242.613 Consolidated audit trail.
3266. § 242.614 Registration and responsibilities of competing consolidators.
3267. Regulation SE Registration and Regulation of Security-Based Swap Execution Facilities
3268. § 242.800 Scope.
3269. § 242.801 Applicable provisions.
3270. § 242.802 Definitions.
3271. § 242.803 Requirements and procedures for registration.
3272. § 242.804 Listing products for trading by certification.
3273. § 242.805 Voluntary submission of new products for Commission review and approval.
3274. § 242.806 Voluntary submission of rules for Commission review and approval.
3275. § 242.807 Self-certification of rules.
3276. § 242.808 Availability of public information.
3277. § 242.809 Staying of certification and tolling of review period pending jurisdictional determination.
3278. § 242.810 Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
3279. § 242.811 Information relating to security-based swap execution facility compliance.
3280. § 242.812 Enforceability.
3281. § 242.813 Prohibited use of data collected for regulatory purposes.
3282. § 242.814 Entity operating both a national securities exchange and security-based swap execution facility.
3283. § 242.815 Methods of execution for Required and Permitted Transactions.
3284. § 242.816 Trade execution requirement and exemptions therefrom.
3285. § 242.817 Trade execution compliance schedule.
3286. § 242.818 Core Principle 1—Compliance with core principles.
3287. § 242.819 Core Principle 2—Compliance with rules.
3288. § 242.820 Core Principle 3—Security-based swaps not readily susceptible to manipulation.
3289. § 242.821 Core Principle 4—Monitoring of trading and trade processing.
3290. § 242.822 Core Principle 5—Ability to obtain information.
3291. § 242.823 Core Principle 6—Financial integrity of transactions.
3292. § 242.824 Core Principle 7—Emergency authority.
3293. § 242.825 Core Principle 8—Timely publication of trading information.
3294. § 242.826 Core Principle 9—Recordkeeping and reporting.
3295. § 242.827 Core Principle 10—Antitrust considerations.
3296. § 242.828 Core Principle 11—Conflicts of interest.
3297. § 242.829 Core Principle 12—Financial resources.
3298. § 242.830 Core Principle 13—System safeguards.
3299. § 242.831 Core Principle 14—Designation of chief compliance officer.
3300. § 242.832 Application of the trade execution requirement to cross-border security-based swap transactions.
3301. § 242.833 Cross-border exemptions.
3302. § 242.834 Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
3303. § 242.835 Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.
3304. Regulation SBSR Regulatory Reporting and Public Dissemination of Security-Based Swap Information
3305. § 242.900 Definitions.
3306. § 242.901 Reporting obligations.
3307. § 242.902 Public dissemination of transaction reports.
3308. § 242.903 Coded information.
3309. § 242.904 Operating hours of registered security-based swap data repositories.
3310. § 242.905 Correction of errors in security-based swap information.
3311. § 242.906 Other duties of participants.
3312. § 242.907 Policies and procedures of registered security-based swap data repositories.
3313. § 242.908 Cross-border matters.
3314. § 242.909 Registration of security-based swap data repository as a securities information processor.
3315. Regulation SCI Systems Compliance and Integrity
3316. § 242.1000 Definitions.
3317. § 242.1001 Obligations related to policies and procedures of SCI entities.
3318. § 242.1002 Obligations related to SCI events.
3319. § 242.1003 Obligations related to systems changes; SCI review.
3320. § 242.1004 SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
3321. § 242.1005 Recordkeeping requirements related to compliance with Regulation SCI.
3322. § 242.1006 Electronic filing and submission.
3323. § 242.1007 Requirements for service bureaus.
3324. PART 243 REGULATION FD
3325. § 243.100 General rule regarding selective disclosure.
3326. § 243.101 Definitions.
3327. § 243.102 No effect on antifraud liability.
3328. § 243.103 No effect on Exchange Act reporting status.
3329. PART 244 REGULATION G
3330. § 244.100 General rules regarding disclosure of non-GAAP financial measures.
3331. § 244.101 Definitions.
3332. § 244.102 No effect on antifraud liability.
3333. PART 245 REGULATION BLACKOUT TRADING RESTRICTION
3334. § 245.100 Definitions.
3335. § 245.101 Prohibition of insider trading during pension fund blackout periods.
3336. § 245.102 Exceptions to definition of blackout period.
3337. § 245.103 Issuer right of recovery; right of action by equity security owner.
3338. § 245.104 Notice.
3339. PART 246 CREDIT RISK RETENTION
3340. Subpart A Authority, Purpose, Scope and Definitions
3341. § 246.1 Purpose, scope, and authority.
3342. § 246.2 Definitions.
3343. Subpart B Credit Risk Retention
3344. § 246.3 Base risk retention requirement.
3345. § 246.4 Standard risk retention.
3346. § 246.5 Revolving pool securitizations.
3347. § 246.6 Eligible ABCP conduits.
3348. § 246.7 Commercial mortgage-backed securities.
3349. § 246.8 Federal National Mortgage Association and Federal Home Loan Mortgage Corporation ABS.
3350. § 246.9 Open market CLOs.
3351. § 246.10 Qualified tender option bonds.
3352. Subpart C Transfer of Risk Retention
3353. § 246.11 Allocation of risk retention to an originator.
3354. § 246.12 Hedging, transfer and financing prohibitions.
3355. Subpart D Exceptions and Exemptions
3356. § 246.13 Exemption for qualified residential mortgages.
3357. § 246.14 Definitions applicable to qualifying commercial loans, qualifying commercial real estate loans, and qualifying automobile loans.
3358. § 246.15 Qualifying commercial loans, commercial real estate loans, and automobile loans.
3359. § 246.16 Underwriting standards for qualifying commercial loans.
3360. § 246.17 Underwriting standards for qualifying CRE loans.
3361. § 246.18 Underwriting standards for qualifying automobile loans.
3362. § 246.19 General exemptions.
3363. § 246.20 Safe harbor for certain foreign-related transactions.
3364. § 246.21 Additional exemptions.
3365. § 246.22 Periodic review of the QRM definition, exempted three-to-four unit residential mortgage loans, and community-focused residential mortgage exemption
3366. PART 247 REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
3367. § 247.100 Definition.
3368. § 247.700 Defined terms relating to the networking exception from the definition of “broker.”
3369. § 247.701 Exemption from the definition of “broker” for certain institutional referrals.
3370. § 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
3371. § 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
3372. § 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
3373. § 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
3374. § 247.741 Exemption for banks effecting transactions in money market funds.
3375. § 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
3376. § 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
3377. § 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
3378. § 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
3379. § 247.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
3380. § 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
3381. § 247.781 Exemption from the definition of “broker” for banks for a limited period of time.
3382. PART 248 REGULATIONS S-P, S-AM, AND S-ID
3383. Subpart A Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
3384. § 248.1 Purpose and scope.
3385. § 248.2 Model privacy form: rule of construction.
3386. § 248.3 Definitions.
3387. 13 Privacy and Opt Out Notices
3388. § 248.4 Initial privacy notice to consumers required.
3389. § 248.5 Annual privacy notice to customers required.
3390. § 248.6 Information to be included in privacy notices.
3391. § 248.7 Form of opt out notice to consumers; opt out methods.
3392. § 248.8 Revised privacy notices.
3393. § 248.9 Delivering privacy and opt out notices.
3394. 14 Limits on Disclosures
3395. § 248.10 Limits on disclosure of nonpublic personal information to nonaffiliated third parties.
3396. § 248.11 Limits on redisclosure and reuse of information.
3397. § 248.12 Limits on sharing account number information for marketing purposes.
3398. 15 Exceptions
3399. § 248.13 Exception to opt out requirements for service providers and joint marketing.
3400. § 248.14 Exceptions to notice and opt out requirements for processing and servicing transactions.
3401. § 248.15 Other exceptions to notice and opt out requirements.
3402. 16 Relation to Other Laws; Effective Date
3403. § 248.16 Protection of Fair Credit Reporting Act.
3404. § 248.17 Relation to State laws.
3405. § 248.18 Effective date; transition rule.
3406. §§ 248.19-248.29 [Reserved]
3407. § 248.30 Procedures to safeguard customer information, including response programs for unauthorized access to customer information and customer notice; disposal of customer information and consumer information.
3408. §§ 248.31-248.100 [Reserved]
3409. Appendix A to Subpart A of Part 248 Forms
3410. Subpart B Regulation S-AM: Limitations on Affiliate Marketing
3411. § 248.101 Purpose and scope.
3412. § 248.102 Examples.
3413. §§ 248.103-248.119 [Reserved]
3414. § 248.120 Definitions.
3415. § 248.121 Affiliate marketing opt out and exceptions.
3416. § 248.122 Scope and duration of opt out.
3417. § 248.123 Contents of opt out notice; consolidated and equivalent notices.
3418. § 248.124 Reasonable opportunity to opt out.
3419. § 248.125 Reasonable and simple methods of opting out.
3420. § 248.126 Delivery of opt out notices.
3421. § 248.127 Renewal of opt out elections.
3422. § 248.128 Effective date, compliance date, and prospective application.
3423. Appendix to Subpart B of Part 248 Model Forms
3424. Subpart C Regulation S-ID: Identity Theft Red Flags
3425. § 248.201 Duties regarding the detection, prevention, and mitigation of identity theft.
3426. § 248.202 Duties of card issuers regarding changes of address.
3427. Appendix A to Subpart C of Part 248 Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation
3428. PART 249 FORMS, SECURITIES EXCHANGE ACT OF 1934
3429. § 249.0-1 Availability of forms.
3430. Subpart A Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
3431. § 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
3432. § 249.10 Form 1-N for notice registration as a national securities exchange.
3433. § 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
3434. § 249.25 Form 25, for notification of removal from listing and/or registration.
3435. § 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).
3436. Subpart B Forms for Reports To Be Filed by Officers, Directors, and Security Holders
3437. § 249.103 Form 3, initial statement of beneficial ownership of securities.
3438. § 249.104 Form 4, statement of changes in beneficial ownership of securities.
3439. § 249.105 Form 5, annual statement of beneficial ownership of securities.
3440. Subpart C Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
3441. § 249.208 [Reserved]
3442. § 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
3443. §§ 249.208b-249.208c [Reserved]
3444. § 249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.
3445. § 249.210b [Reserved]
3446. § 249.218 Form 18, for foreign governments and political subdivisions thereof.
3447. § 249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).
3448. § 249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).
3449. § 249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.
3450. Subpart D Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 1934
3451. § 249.306 Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.
3452. § 249.308 Form 8-K, for current reports.
3453. § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
3454. § 249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
3455. §§ 249.310b-249.310c [Reserved]
3456. § 249.311 Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.
3457. § 249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
3458. § 249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
3459. § 249.322 Form 12b-25—Notification of late filing.
3460. § 249.323 Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.
3461. § 249.324 Form 15F, 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).
3462. § 249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
3463. § 249.326 Form N-PX, annual report of proxy voting record.
3464. § 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
3465. § 249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.
3466. § 249.330 Form N-CEN, annual report of registered investment companies.
3467. § 249.331 Form N-CSR, certified shareholder report.
3468. § 249.332 Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.
3469. § 249.333 [Reserved]
3470. § 249.444 Form SE, form for submission of paper format exhibits by electronic filers.
3471. § 249.445 [Reserved]
3472. § 249.446 Form ID, application for EDGAR access.
3473. § 249.447 Form TH—Notification of reliance on temporary hardship exemption.
3474. Subpart E Forms for Statements Made in Connection With Exempt Tender Offers
3475. § 249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
3476. Subpart F Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
3477. § 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
3478. § 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
3479. § 249.501b Form BD-N for notice registration as a broker-dealer.
3480. § 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
3481. § 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
3482. § 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
3483. § 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
3484. Subpart G Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
3485. § 249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
3486. § 249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
3487. § 249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
3488. §§ 249.620-249.634 [Reserved]
3489. § 249.635 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.
3490. § 249.636 [Reserved]
3491. § 249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
3492. § 249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
3493. § 249.639 Form custody.
3494. § 249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
3495. § 249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.
3496. Subpart H Forms For Reports as to Stabilization
3497. § 249.709 [Reserved]
3498. Subpart I Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
3499. § 249.801 Form 15A, for application for registration as a national securities association or affiliated securities association.
3500. §§ 249.802-249.803 [Reserved]
3501. § 249.819 Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
3502. § 249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).
3503. § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
3504. § 249.822 Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
3505. J Subpart J [Reserved]
3506. Subpart K Form for Registration of, and Reporting by Securities Information Processors
3507. § 249.1001 Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
3508. § 249.1002 Form CC, for application for registration as a competing consolidator or to amend such an application or registration.
3509. Subpart L Forms for Registration of Municipal Securities Dealers
3510. § 249.1100 Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.
3511. § 249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
3512. Subpart M Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
3513. § 249.1200 Form X-17F-1A—Report for missing, lost, stolen or counterfeit securities.
3514. Subpart N Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
3515. § 249.1300 Form MA, for registration as a municipal advisor, and for amendments to registration.
3516. § 249.1300T Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
3517. § 249.1310 Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
3518. § 249.1320 Form MA-W, for withdrawal from registration as a municipal advisor.
3519. § 249.1330 Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.
3520. Subpart O Forms for Asset-Backed Securities
3521. § 249.1400 Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.
3522. § 249.1401 Form ABS-EE, for submission of the asset-data file exhibits and related documents.
3523. Subpart P Forms for Registration of Security-Based Swap Data Repositories
3524. § 249.1500 Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
3525. Subpart Q Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
3526. § 249.1600 Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
3527. § 249.1600a Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.
3528. § 249.1600b Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.
3529. § 249.1600c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
3530. § 249.1601 Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
3531. Subpart R Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities
3532. § 249.1701 Form SBSEF, for application for registration as a security-based swap execution facility or to amend such application or registration.
3533. § 249.1702 Submission cover sheet, for rule and product submissions.
3534. S Subpart S [Reserved]
3535. Subpart T Form SCI, for filing notices and reports as required by Regulation SCI.
3536. § 249.1900. Form SCI, for filing notices and reports as required by Regulation SCI.
3537. Subpart U Forms for Registration of Funding Portals
3538. § 249.2000 Form Funding Portal.
3539. PART 249a FORMS, SECURITIES INVESTOR PROTECTION ACT OF 1970 [RESERVED]
3540. PART 249b FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
3541. §§ 249b.1-249b.99 [Reserved]
3542. § 249b.100 Form TA-1, 1 uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
3543. § 249b.101 Form TA-W, notice of withdrawal from registration as transfer agent.
3544. § 249b.102 Form TA-2, 1 form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
3545. § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
3546. § 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and § 240.17g-1 of this chapter.
3547. § 249b.400 Form SD, specialized disclosure report.
3548. PART 250 CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY
3549. § 250.1 Cross-border antifraud law-enforcement authority.
3550. 251-254 PARTS 251-254 [RESERVED]
3551. PART 255 PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
3552. Subpart A Authority and Definitions
3553. § 255.1 Authority, purpose, scope, and relationship to other authorities.
3554. § 255.2 Definitions.
3555. Subpart B Proprietary Trading
3556. § 255.3 Prohibition on proprietary trading.
3557. § 255.4 Permitted underwriting and market making-related activities.
3558. § 255.5 Permitted risk-mitigating hedging activities.
3559. § 255.6 Other permitted proprietary trading activities.
3560. § 255.7 Limitations on permitted proprietary trading activities.
3561. §§ 255.8-255.9 [Reserved]
3562. Subpart C Covered Funds Activities and Investments
3563. § 255.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
3564. § 255.11 Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
3565. § 255.12 Permitted investment in a covered fund.
3566. § 255.13 Other permitted covered fund activities and investments.
3567. § 255.14 Limitations on relationships with a covered fund.
3568. § 255.15 Other limitations on permitted covered fund activities.
3569. § 255.16 Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
3570. §§ 255.17-255.19 [Reserved]
3571. Subpart D Compliance Program Requirement; Violations
3572. § 255.20 Program for compliance; reporting.
3573. § 255.21 Termination of activities or investments; penalties for violations.
3574. 0
3575. Appendix A to Part 255 Reporting and Recordkeeping Requirements for Covered Trading Activities
3576. PART 256 FINANCIAL DATA TRANSPARENCY
3577. § 256.1 Definitions.
3578. § 256.2 Establishment of standards.
3579. 257-259 PARTS 257-259 [RESERVED]
3580. PART 260 GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
3581. 17 Terms Used in the Rules and Regulations
3582. § 260.0-1 Application of definitions contained in the act.
3583. § 260.0-2 Definitions of terms used in the rules and regulations.
3584. § 260.0-3 Definition of “rules and regulations” as used in certain sections of the Act.
3585. § 260.0-4 Sequential numbering of documents filed with the Commission.
3586. 18 Office of the Commission
3587. § 260.0-5 Business hours of the Commission.
3588. § 260.0-6 Nondisclosure of information obtained in the course of examinations and investigations.
3589. § 260.0-7 Small entities for purposes of the Regulatory Flexibility Act.
3590. § 260.0-11 Liability for certain statements by issuers.
3591. 19 Rules Under Section 303
3592. § 260.3(4)-1 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions.
3593. § 260.3(4)-2 Definition of “distribution” in section 303(4) for certain transactions.
3594. § 260.3(4)-3 Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
3595. 20 Rules Under Section 304
3596. § 260.4a-1 Exempted securities under section 304(a)(8).
3597. § 260.4a-2 Exempted securities under section 304(d).
3598. § 260.4a-3 Exempted securities under section 304(a)(9).
3599. § 260.4c-1 Form for applications under section 304(c).
3600. § 260.4c-2 General requirements as to form and content of applications.
3601. § 260.4c-3 Number of copies; filing; signatures; binding.
3602. § 260.4c-4 Applications under section 304(c)(1).
3603. § 260.4c-5 Applications under section 304(c)(2).
3604. § 260.4d-7 Application for exemption from one or more provisions of the Act.
3605. § 260.4d-8 Content.
3606. § 260.4d-9 Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
3607. § 260.4d-10 Exemption for securities issued pursuant to § 230.802 of this chapter.
3608. § 260.4d-11 Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
3609. § 260.4d-12 Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240).
3610. 21 Rules Under Section 305
3611. § 260.5a-1 Forms for statements of eligibility and qualification.
3612. § 260.5a-2 General requirements as to form and content of statements of eligibility and qualification.
3613. § 260.5a-3 Number of copies; filing; signatures; binding.
3614. § 260.5b-1 Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
3615. § 260.5b-2 General requirements as to form and content of applications.
3616. § 260.5b-3 Number of copies—Filing—Signatures.
3617. 22 Rules Under Section 307
3618. 23 Applications for Qualification of Indentures
3619. § 260.7a-1 Form for application.
3620. § 260.7a-2 Powers of agent for service named in application.
3621. § 260.7a-3 Number of copies; filing; signatures; binding.
3622. § 260.7a-4 Calculation of time.
3623. § 260.7a-5 Filing of amendments; number of copies.
3624. § 260.7a-6 Telegraphic delaying amendments.
3625. § 260.7a-7 Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
3626. § 260.7a-8 Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
3627. § 260.7a-9 Delaying amendments.
3628. 24 General Requirements as to Form and Content of Applications, Statements and Reports
3629. 25 General
3630. § 260.7a-15 Scope of §§ 260.7a-15 to 260.7a-37.
3631. 26 Formal Requirements
3632. § 260.7a-16 Inclusion of items, differentiation between items and answers, omission of instructions.
3633. § 260.7a-17 Quality, color and size of paper.
3634. § 260.7a-18 Legibility.
3635. § 260.7a-19 Margin for binding.
3636. § 260.7a-20 Riders; inserts.
3637. 27 General Requirements as to Contents
3638. § 260.7a-21 Clarity.
3639. § 260.7a-22 Information unknown or not reasonably available.
3640. § 260.7a-23 Statements required where item is inapplicable or where answer is “none”.
3641. § 260.7a-24 Words relating to periods of time in the past.
3642. § 260.7a-25 Words relating to the future.
3643. § 260.7a-26 Disclaimer of control.
3644. § 260.7a-27 Title of securities.
3645. 28 Incorporation by Reference
3646. § 260.7a-28 Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
3647. § 260.7a-29 Incorporation of exhibits as such.
3648. § 260.7a-30 Identification of material incorporated; form of incorporation.
3649. § 260.7a-31 Incorporation by reference of contested material.
3650. § 260.7a-32 Incorporation by reference rendering document incomplete, unclear, or confusing.
3651. 29 Exhibits
3652. § 260.7a-33 Additional exhibits.
3653. § 260.7a-34 Omission of substantially identical documents.
3654. 30 Amendments
3655. § 260.7a-35 Formal requirements as to amendments.
3656. § 260.7a-36 Signatures to amendments.
3657. 31 Inspection and Publication of Applications, Statements and Reports
3658. § 260.7a-37 Inspection of applications, statements and reports.
3659. 32 Rule Under Section 310
3660. § 260.10a-1 Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
3661. § 260.10a-2 General requirements as to form and content of applications.
3662. § 260.10a-3 Number of copies—Filing—Signatures.
3663. § 260.10a-4 Consent of trustee to service of process.
3664. § 260.10a-5 Eligibility of Canadian Trustees.
3665. § 260.10b-1 Calculation of percentages.
3666. § 260.10b-2 Applications under section 310(b)(1)(ii).
3667. § 260.10b-3 Applications relative to affiliations between trustees and underwriters.
3668. § 260.10b-4 Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
3669. § 260.10b-5 Content.
3670. § 260.10b-6 Notices—Exemptive Application Procedure.
3671. 33 Rules Under Section 311
3672. § 260.11b-4 Definition of “cash transaction” in section 311(b)(4).
3673. § 260.11b-6 Definition of “self-liquidating paper” in section 311(b)(6).
3674. 34 Rules Under Section 314
3675. 35 Periodic Reports
3676. § 260.14a-1 Application of §§ 260.7a-15 to 260.7a-38.
3677. § 260.19a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
3678. PART 261 INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER
3679. PART 269 FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
3680. § 269.0-1 Availability of forms.
3681. § 269.1 Form T-1, for statement of eligibility and qualification for corporate trustees.
3682. § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees.
3683. § 269.3 Form T-3, for application for qualification of trust indentures.
3684. § 269.4 Form T-4, for application for exemption pursuant to section 304(c) of the Act.
3685. § 269.5 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§§ 239.38, 239.39, 239.40 or 239.41 of this chapter) , or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter) , or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37 of this chapter) , F-8, F-9, F-10 or F-80.
3686. § 269.6 [Reserved]
3687. § 269.7 Form ID, application for EDGAR access.
3688. § 269.8 Form SE, form for submission of paper format exhibits by electronic filers.
3689. § 269.9 Form T-6 for application under section 310(a)(1) of the Trust Indenture Act for determination of the eligibility of a foreign person to act as institutional trustee.
3690. § 269.10 Form TH—Notification of reliance on temporary hardship exemption.
3691. PART 270 RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
3692. § 270.0-1 Definition of terms used in this part.
3693. § 270.0-2 General requirements of papers and applications.
3694. § 270.0-3 Amendments to registration statements and reports.
3695. § 270.0-4 Incorporation by reference.
3696. § 270.0-5 Procedure with respect to applications and other matters.
3697. § 270.0-8 Payment of filing fees.
3698. § 270.0-9 [Reserved]
3699. § 270.0-10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
3700. § 270.0-11 Customer identification programs.
3701. § 270.2a-1 Valuation of portfolio securities in special cases.
3702. § 270.2a-2 Effect of eliminations upon valuation of portfolio securities.
3703. § 270.2a3-1 Investment company limited partners not deemed affiliated persons.
3704. § 270.2a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
3705. § 270.2a-5 Fair value determination and readily available market quotations.
3706. § 270.2a-6 Certain transactions not deemed assignments.
3707. § 270.2a-7 Money market funds.
3708. § 270.2a19-2 Investment company general partners not deemed interested persons.
3709. § 270.2a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
3710. § 270.2a41-1 Valuation of standby commitments by registered investment companies.
3711. § 270.2a-46 Certain issuers as eligible portfolio companies.
3712. § 270.2a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
3713. § 270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
3714. § 270.2a51-3 Certain companies as qualified purchasers.
3715. § 270.3a-1 Certain prima facie investment companies.
3716. § 270.3a-2 Transient investment companies.
3717. § 270.3a-3 Certain investment companies owned by companies which are not investment companies.
3718. § 270.3a-4 Status of investment advisory programs.
3719. § 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
3720. § 270.3a-6 Foreign banks and foreign insurance companies.
3721. § 270.3a-7 Issuers of asset-backed securities.
3722. § 270.3a-8 Certain research and development companies.
3723. § 270.3a-9 Crowdfunding vehicle.
3724. § 270.3c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
3725. § 270.3c-2 Definition of beneficial ownership in small business investment companies.
3726. § 270.3c-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
3727. § 270.3c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
3728. § 270.3c-5 Beneficial ownership by knowledgeable employees and certain other persons.
3729. § 270.3c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
3730. § 270.3c-7 Inflation-adjusted definition of qualifying venture capital fund.
3731. § 270.5b-1 Definition of “total assets.”
3732. § 270.5b-2 Exclusion of certain guarantees as securities of the guarantor.
3733. § 270.5b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
3734. § 270.6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
3735. § 270.6b-1 Exemption of employees' securities company pending determination of application.
3736. § 270.6c-3 Exemptions for certain registered variable life insurance separate accounts.
3737. § 270.6c-6 Exemption for certain registered separate accounts and other persons.
3738. § 270.6c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.
3739. § 270.6c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
3740. § 270.6c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
3741. § 270.6c-11 Exchange-traded funds.
3742. § 270.6d-1 Exemption for certain closed-end investment companies.
3743. § 270.6e-2 Exemptions for certain variable life insurance separate accounts.
3744. § 270.6e-3 Exemptions for flexible premium variable life insurance separate accounts.
3745. § 270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
3746. § 270.7d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
3747. § 270.8b-1 Scope of §§ 270.8b-1 through 270.8b-31.
3748. § 270.8b-2 Definitions.
3749. § 270.8b-3 Title of securities.
3750. § 270.8b-4 Interpretation of requirements.
3751. § 270.8b-5 Time of filing original registration statement.
3752. § 270.8b-6 [Reserved]
3753. § 270.8b-10 Requirements as to proper form.
3754. § 270.8b-11 Number of copies; signatures; binding.
3755. § 270.8b-12 Requirements as to paper, printing and language.
3756. § 270.8b-13 Preparation of registration statement or report.
3757. § 270.8b-14 Riders; inserts.
3758. § 270.8b-15 Amendments.
3759. § 270.8b-16 Amendments to registration statement.
3760. § 270.8b-20 Additional information.
3761. § 270.8b-21 Information unknown or not available.
3762. § 270.8b-22 Disclaimer of control.
3763. §§ 270.8b-23--270.8b-24 [Reserved]
3764. § 270.8b-25 Extension of time for furnishing information.
3765. § 270.8b-30 Additional exhibits.
3766. § 270.8b-31 Omission of substantially identical documents.
3767. § 270.8b-32 [Reserved]
3768. § 270.8f-1 Deregistration of certain registered investment companies.
3769. § 270.10b-1 Definition of regular broker or dealer.
3770. § 270.10e-1 Death, disqualification, or bona fide resignation of directors.
3771. § 270.10f-1 Conditional exemption of certain underwriting transactions.
3772. § 270.10f-2 Exercise of warrants or rights received on portfolio securities.
3773. § 270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
3774. § 270.11a-1 Definition of “exchange” for purposes of section 11 of the Act.
3775. § 270.11a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
3776. § 270.11a-3 Offers of exchange by open-end investment companies other than separate accounts.
3777. § 270.12b-1 Distribution of shares by registered open-end management investment company.
3778. § 270.12d1-1 Exemptions for investments in money market funds.
3779. § 270.12d1-2 [Reserved]
3780. § 270.12d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
3781. § 270.12d1-4 Exemptions for investments in certain investment companies.
3782. § 270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
3783. § 270.12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
3784. § 270.13a-1 Exemption for change of status by temporarily diversified company.
3785. § 270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
3786. § 270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
3787. § 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
3788. § 270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
3789. § 270.15a-2 Annual continuance of contracts.
3790. § 270.15a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
3791. § 270.15a-4 Temporary exemption for certain investment advisers.
3792. § 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
3793. § 270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
3794. § 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.
3795. § 270.17a-3 Exemption of transactions with fully owned subsidiaries.
3796. § 270.17a-4 Exemption of transactions pursuant to certain contracts.
3797. § 270.17a-5 Pro rata distribution neither “sale” nor “purchase.”
3798. § 270.17a-6 Exemption for transactions with portfolio affiliates.
3799. § 270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
3800. § 270.17a-8 Mergers of affiliated companies.
3801. § 270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
3802. § 270.17a-10 Exemption for transactions with certain subadvisory affiliates.
3803. § 270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
3804. § 270.17d-2 Form for report by small business investment company and affiliated bank.
3805. § 270.17d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
3806. § 270.17e-1 Brokerage transactions on a securities exchange.
3807. § 270.17f-1 Custody of securities with members of national securities exchanges.
3808. § 270.17f-2 Custody of investments by registered management investment company.
3809. § 270.17f-3 Free cash accounts for investment companies with bank custodians.
3810. § 270.17f-4 Custody of investment company assets with a securities depository.
3811. § 270.17f-5 Custody of investment company assets outside the United States.
3812. § 270.17f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
3813. § 270.17f-7 Custody of investment company assets with a foreign securities depository.
3814. § 270.17g-1 Bonding of officers and employees of registered management investment companies.
3815. § 270.17j-1 Personal investment activities of investment company personnel.
3816. § 270.18c-1 Exemption of privately held indebtedness.
3817. § 270.18c-2 Exemptions of certain debentures issued by small business investment companies.
3818. § 270.18f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
3819. § 270.18f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
3820. § 270.18f-3 Multiple class companies.
3821. § 270.18f-4 Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
3822. § 270.19a-1 Written statement to accompany dividend payments by management companies.
3823. § 270.19b-1 Frequency of distribution of capital gains.
3824. § 270.20a-1 Solicitation of proxies, consents and authorizations.
3825. §§ 270.20a-2--270.20a-4 [Reserved]
3826. § 270.22c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
3827. § 270.22c-2 Redemption fees for redeemable securities.
3828. § 270.22d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
3829. § 270.22d-2 Exemption from section 22(d) for certain registered separate accounts.
3830. § 270.22e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
3831. § 270.22e-2 Pricing of redemption requests in accordance with Rule 22c-1.
3832. § 270.22e-3 Exemption for liquidation of money market funds.
3833. § 270.22e-4 Liquidity risk management programs.
3834. § 270.23c-1 Repurchase of securities by closed-end companies.
3835. § 270.23c-2 Call and redemption of securities issued by registered closed-end companies.
3836. § 270.23c-3 Repurchase offers by closed-end companies.
3837. § 270.24b-1 Definitions.
3838. § 270.24b-2 Filing copies of sales literature.
3839. § 270.24b-3 Sales literature deemed filed.
3840. § 270.24b-4 Filing copies of covered investment fund research reports.
3841. § 270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
3842. § 270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.
3843. § 270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
3844. § 270.27c-1 [Reserved]
3845. § 270.27d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
3846. § 270.27d-2 [Reserved]
3847. § 270.27e-1 [Reserved]
3848. § 270.27f-1 [Reserved]
3849. § 270.27g-1 [Reserved]
3850. § 270.27h-1 [Reserved]
3851. § 270.27i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
3852. § 270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
3853. § 270.30a-1 Annual report for registered investment companies.
3854. § 270.30a-2 Certification of Form N-CSR.
3855. § 270.30a-3 Controls and procedures.
3856. § 270.30a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
3857. §§ 270.30b1-1--270.30b1-3 [Reserved]
3858. § 270.30b1-4 Report of proxy voting record.
3859. § 270.30b1-5 [Reserved]
3860. § 270.30b1-7 Monthly report for money market funds.
3861. § 270.30b1-8 Current report for money market funds.
3862. § 270.30b1-9 Monthly report.
3863. § 270.30b1-10 Current report for open-end and closed-end management investment companies.
3864. § 270.30b2-1 Filing of reports to stockholders.
3865. § 270.30d-1 Filing of copies of reports to shareholders.
3866. § 270.30e-1 Reports to stockholders of management companies.
3867. § 270.30e-2 Reports to shareholders of unit investment trusts.
3868. § 270.30e-3 Internet availability of reports to shareholders.
3869. § 270.30h-1 Applicability of section 16 of the Exchange Act to section 30(h).
3870. § 270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
3871. § 270.31a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
3872. § 270.31a-3 Records prepared or maintained by other than person required to maintain and preserve them.
3873. § 270.31a-4 Records to be maintained and preserved by registered investment companies relating to fair value determinations.
3874. § 270.32a-1 Exemption of certain companies from affiliation provisions of section 32(a).
3875. § 270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
3876. § 270.32a-3 Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
3877. § 270.32a-4 Independent audit committees.
3878. § 270.34b-1 Sales literature deemed to be misleading.
3879. § 270.35d-1 Investment company names.
3880. § 270.38a-1 Compliance procedures and practices of certain investment companies.
3881. § 270.45a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
3882. § 270.55a-1 Investment activities of business development companies.
3883. § 270.57b-1 Exemption for downstream affiliates of business development companies.
3884. § 270.60a-1 Exemption for certain business development companies.
3885. PART 271 INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT COMPANY ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
3886. PART 274 FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
3887. § 274.0-1 Availability of forms.
3888. Subpart A Registration Statements
3889. § 274.5 Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
3890. § 274.10 Form N-8A, for notification of registration.
3891. § 274.11 [Reserved]
3892. § 274.11A Form N-1A, registration statement of open-end management investment companies.
3893. § 274.11a-1 Form N-2, registration statement of closed end management investment companies.
3894. § 274.11b Form N-3, registration statement of separate accounts organized as management investment companies.
3895. § 274.11c Form N-4, registration statement of separate accounts organized as unit investment trusts.
3896. § 274.11d Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
3897. § 274.12 Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
3898. § 274.13 Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
3899. § 274.14 Form N-8B-4, registration statements of face-amount certificate companies.
3900. § 274.15 Form N-6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940.
3901. § 274.24 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
3902. § 274.51 Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.
3903. § 274.53 Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.
3904. § 274.54 Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940.
3905. Subpart B Forms for Reports
3906. § 274.101 Form N-CEN, annual report of registered investment companies.
3907. §§ 274.102-274.126 [Reserved]
3908. § 274.127d-1 Form N-27D-1 accounting of segregated trust account.
3909. § 274.128 Form N-CSR, certified shareholder report.
3910. § 274.129 Form N-PX, annual report of proxy voting record.
3911. § 274.130 [Reserved]
3912. § 274.150 Form N-PORT, Monthly portfolio holdings report.
3913. § 274.200 Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of § 270.17d-1 of this chapter.
3914. Subpart C Forms for Other Statements
3915. § 274.201 Form N-MFP, portfolio holdings of money market funds.
3916. § 274.202 Form 3, initial statement of beneficial ownership of securities.
3917. § 274.203 Form 4, statement of changes in beneficial ownership of securities.
3918. § 274.218 Form N-8F, application for deregistration of certain registered investment companies.
3919. § 274.219 Form N-17f-1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f-1.
3920. § 274.220 Form N-17f-2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f-2.
3921. § 274.221 Form N-23c-3, Notification of repurchase offer.
3922. § 274.222 Form N-CR, Current report of money market fund material events.
3923. § 274.223 Form N-RN, Current report, open- and closed-end investment company reporting.
3924. Subpart D Forms for Exemptions
3925. § 274.301 Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.
3926. Subpart E Forms for Electronic Filing
3927. § 274.401 [Reserved]
3928. § 274.402 Form ID, uniform application for access codes to file on EDGAR.
3929. § 274.403 Form SE, form for submission of paper format exhibits by electronic filers.
3930. § 274.404 Form TH—Notification of reliance on temporary hardship exemption.
3931. PART 275 RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
3932. § 275.0-2 General procedures for serving non-residents.
3933. § 275.0-3 References to rules and regulations.
3934. § 275.0-4 General requirements of papers and applications.
3935. § 275.0-5 Procedure with respect to applications and other matters.
3936. § 275.0-6 Incorporation by reference in applications.
3937. § 275.0-7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
3938. § 275.202(a)(1)-1 Certain transactions not deemed assignments.
3939. § 275.202(a)(11)(G)-1 Family offices.
3940. § 275.202(a)(30)-1 Foreign private advisers.
3941. § 275.203-1 Application for investment adviser registration.
3942. § 275.203-2 Withdrawal from investment adviser registration.
3943. § 275.203-3 Hardship exemptions.
3944. § 275.203(l)-1 Venture capital fund defined.
3945. § 275.203(m)-1 Private fund adviser exemption.
3946. § 275.203A-1 Eligibility for SEC registration; Switching to or from SEC registration.
3947. § 275.203A-2 Exemptions from prohibition on Commission registration.
3948. § 275.203A-3 Definitions.
3949. §§ 275.203A-4--275.203A-6 [Reserved]
3950. § 275.204-1 Amendments to Form ADV.
3951. § 275.204-2 Books and records to be maintained by investment advisers.
3952. § 275.204-3 Delivery of brochures and brochure supplements.
3953. § 275.204-4 Reporting by exempt reporting advisers.
3954. § 275.204-5 Delivery of Form CRS.
3955. § 275.204(b)-1 Reporting by investment advisers to private funds.
3956. § 275.204A-1 Investment adviser codes of ethics.
3957. § 275.205-1 Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
3958. § 275.205-2 Definition of “specified period” over which the asset value of the company or fund under management is averaged.
3959. § 275.205-3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
3960. § 275.206(3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
3961. § 275.206(3)-2 Agency cross transactions for advisory clients.
3962. § 275.206(4)-1 Investment adviser marketing.
3963. § 275.206(4)-2 Custody of funds or securities of clients by investment advisers.
3964. §§ 275.206(4)-(3)--275.206(4)-4 [Reserved]
3965. § 275.206(4)-5 Political contributions by certain investment advisers.
3966. § 275.206(4)-6 Proxy voting.
3967. § 275.206(4)-7 Compliance procedures and practices.
3968. § 275.206(4)-8 Pooled investment vehicles.
3969. § 275.222-1 Definitions.
3970. § 275.222-2 Definition of “client” for purposes of the national de minimis standard.
3971. PART 276 INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
3972. PART 279 FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
3973. § 279.0-1 Availability of forms.
3974. § 279.1 Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
3975. § 279.2 Form ADV-W, notice of withdrawal from registration as investment adviser.
3976. § 279.3 Form ADV-H, application for a temporary or continuing hardship exemption.
3977. § 279.4 Form ADV-NR, appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser.
3978. §§ 279.5-279.7 [Reserved]
3979. § 279.8 Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
3980. § 279.9 Form PF, reporting by investment advisers to private funds.
3981. PART 281 INTERPRETATIVE RELEASES RELATING TO CORPORATE REORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY ACT
3982. PART 285 RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT
3983. § 285.1 Applicability of part.
3984. § 285.2 Periodic reports.
3985. § 285.3 Reports with respect to proposed distribution of primary obligations.
3986. § 285.4 Preparation and filing of reports.
3987. 36 Schedule A to Part 285
3988. PART 286 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE INTER-AMERICAN DEVELOPMENT BANK ACT
3989. § 286.1 Applicability of this part.
3990. § 286.2 Periodic reports.
3991. § 286.3 Reports with respect to proposed distribution of primary obligations.
3992. § 286.4 Preparation and filing of reports.
3993. Schedule A to Part 286
3994. PART 287 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT
3995. § 287.1 Applicability of this part.
3996. § 287.2 Periodic reports.
3997. § 287.3 Reports with respect to proposed distribution of primary obligations.
3998. § 287.4 Preparation and filing of reports.
3999. § 287.101 Schedule A—Information required in reports pursuant to § 287.3.
4000. PART 288 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE AFRICAN DEVELOPMENT BANK ACT
4001. § 288.1 Applicability of this part.
4002. § 288.2 Periodic reports.
4003. § 288.3 Reports with respect to proposed distribution of primary obligations.
4004. § 288.4 Preparation and filing of reports.
4005. § 288.101 Schedule A. Information required in reports pursuant to § 288.3.
4006. PART 289 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 13(a) OF THE INTERNATIONAL FINANCE CORPORATION ACT
4007. § 289.1 Applicability of this part.
4008. § 289.2 Periodic reports.
4009. § 289.3 Reports with respect to proposed distribution of primary obligations.
4010. § 289.4 Preparation and filing of reports.
4011. § 289.101 Schedule A. Information required in reports pursuant to § 289.3.
4012. PART 290 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ACT
4013. § 290.1 Applicability of this part.
4014. § 290.2 Periodic reports.
4015. § 290.3 Reports with respect to proposed distribution of obligations.
4016. § 290.4 Preparation and filing of reports.
4017. § 290.101 Schedule A. Information required in reports pursuant to § 290.3.
4018. PART 300 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
4019. 37 Accounts of “Separate” Customers of SIPC Members
4020. § 300.100 General.
4021. § 300.101 Individual accounts.
4022. § 300.102 Accounts held by executors, administrators, guardians, etc.
4023. § 300.103 Accounts held by a corporation, partnership or unincorporated association.
4024. § 300.104 Trust accounts.
4025. § 300.105 Joint accounts.
4026. 38 Accounts Introduced by Other Brokers or Dealers
4027. § 300.200 General.
4028. § 300.201 Accounts introduced by same or different broker or dealer.
4029. 39 Closeout or Completion of Open Contractual Commitments
4030. § 300.300 Definitions.
4031. § 300.301 Contracts to be closed out or completed.
4032. § 300.302 Mechanics of closeout or completion.
4033. § 300.303 Report to trustee.
4034. § 300.304 Retained rights of brokers or dealers.
4035. § 300.305 Excluded contracts.
4036. § 300.306 Completion or closeout pursuant to SIPC direction.
4037. § 300.307 Completion with cash or securities of customer.
4038. § 300.400 Satisfaction of customer claims for standardized options.
4039. 40 Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities”
4040. § 300.500 General.
4041. § 300.501 Claim for cash.
4042. § 300.502 Claim for securities.
4043. § 300.503 Voidable securities transactions.
4044. 41 Rules Relating to Supplemental Report on SIPC Membership
4045. § 300.600 Rules relating to supplemental report on SIPC membership.
4046. PART 301 FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
4047. § 301.0-1 Availability of forms.
4048. 42 Forms for Closeout or Completion of Open Contractual Commitments
4049. § 301.300a Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.
4050. § 301.300b Form 300-B, for report of all fails to deliver.
4051. § 301.300c Form 300-C, for report of all fails to receive.
4052. PART 302 ORDERLY LIQUIDATION OF COVERED BROKERS OR DEALERS
4053. § 302.100 Definitions.
4054. § 302.101 Appointment of receiver and trustee for covered broker or dealer.
4055. § 302.102 Notice and application for protective decree for covered broker or dealer.
4056. § 302.103 Bridge broker or dealer.
4057. § 302.104 Claims of customers and other creditors of a covered broker or dealer.
4058. § 302.105 Priorities for unsecured claims against a covered broker or dealer.
4059. § 302.106 Administrative expenses of SIPC.
4060. § 302.107 Qualified Financial Contracts.
4061. 303-399 PARTS 303-399 [RESERVED]
4062. CHAPTER IV DEPARTMENT OF THE TREASURY
4063. SUBCHAPTER A REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
4064. PART 400 RULES OF GENERAL APPLICATION
4065. § 400.1 Scope of regulations.
4066. § 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials.
4067. § 400.3 Definitions.
4068. § 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers.
4069. § 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer.
4070. § 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution.
4071. PART 401 EXEMPTIONS
4072. § 401.1 Exemption for organizations handling transactions in United States Savings Bonds.
4073. § 401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities.
4074. § 401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities.
4075. § 401.4 Exemption for financial institutions engaged in limited government securities dealer activities.
4076. § 401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions.
4077. § 401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore.
4078. § 401.7 Exemption for certain foreign government securities brokers or dealers.
4079. PART 402 FINANCIAL RESPONSIBILITY
4080. § 402.1 Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date.
4081. § 402.2 Capital requirements for registered government securities brokers and dealers.
4082. § 402.2a Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2).
4083. § 402.2b [Reserved]
4084. § 402.2c Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates.
4085. § 402.2d Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2.
4086. PART 403 PROTECTION OF CUSTOMER SECURITIES AND BALANCES
4087. § 403.1 Application of part to registered brokers and dealers.
4088. § 403.2 Hypothecation of customer securities.
4089. § 403.3 Use of customers' free credit balances.
4090. § 403.4 Customer protection—reserves and custody of securities.
4091. § 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.
4092. § 403.6 Compliance with part by futures commission merchants.
4093. § 403.7 Effective dates.
4094. PART 404 RECORDKEEPING AND PRESERVATION OF RECORDS
4095. § 404.1 Application of part to registered brokers and dealers.
4096. § 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
4097. § 404.3 Records to be preserved by registered government securities brokers and dealers.
4098. § 404.4 Records to be made and preserved by government securities brokers and dealers that are financial institutions.
4099. § 404.5 Securities counts by registered government securities brokers and dealers.
4100. PART 405 REPORTS AND AUDIT
4101. § 405.1 Application of part to registered brokers and dealers and to financial institutions; transition rule.
4102. § 405.2 Reports to be made by registered government securities brokers and dealers.
4103. § 405.3 Notification provisions for certain registered government securities brokers and dealers.
4104. § 405.4 Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers.
4105. § 405.5 Risk assessment reporting requirements for registered government securities brokers and dealers.
4106. PART 420 LARGE POSITION REPORTING
4107. § 420.1 Applicability.
4108. § 420.2 Definitions.
4109. § 420.3 Reporting.
4110. § 420.4 Recordkeeping.
4111. § 420.5 Applicability date.
4112. Appendix A to Part 420 Separate Reporting Entity
4113. Appendix B to Part 420 Sample Large Position Report
4114. PART 449 FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
4115. § 449.1 Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934.
4116. § 449.2 Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter.
4117. § 449.3 Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
4118. § 449.4 Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter.
4119. § 449.5 Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.
4120. SUBCHAPTER B REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986
4121. PART 450 CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS
4122. § 450.1 Scope of regulations; office responsible.
4123. § 450.2 Definitions.
4124. § 450.3 Exemption for holdings subject to fiduciary standards.
4125. § 450.4 Custodial holdings of government securities.
4126. § 450.5 Effective date.
4127. 451-499 PARTS 451-499 [RESERVED]