Federal (United States) · Regulations

Subpart A — Rules and Regulations Under the Securities Exchange Act of 1934

553 sections

17 C.F.R. § 240.0-1Definitions.
17 C.F.R. § 240.0-2Business hours of the Commission.
17 C.F.R. § 240.0-3Filing of material with the Commission.
17 C.F.R. § 240.0-4Nondisclosure of information obtained in examinations and investigations.
17 C.F.R. § 240.0-5Reference to rule by obsolete designation.
17 C.F.R. § 240.0-6Disclosure detrimental to the national defense or foreign policy.
17 C.F.R. § 240.0-8Application of rules to registered broker-dealers.
17 C.F.R. § 240.0-9Payment of filing fees.
17 C.F.R. § 240.0-10Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
17 C.F.R. § 240.0-11Filing fees for certain acquisitions, dispositions and similar transactions.
17 C.F.R. § 240.0-12Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
17 C.F.R. § 240.0-13Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
17 C.F.R. § 240.3a1-1Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
17 C.F.R. § 240.3a4-1Associated persons of an issuer deemed not to be brokers.
17 C.F.R. § 240.3a5-1Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
17 C.F.R. § 240.3a5-2Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
17 C.F.R. § 240.3a5-3Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
17 C.F.R. § 240.3a5-4Further definition of “as a part of a regular business” in connection with certain liquidity providers.
17 C.F.R. § 240.3a11-1Definition of the term “equity security.”
17 C.F.R. § 240.3a12-1Exemption of certain mortgages and interests in mortgages.
17 C.F.R. § 240.3a12-3Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
17 C.F.R. § 240.3a12-4Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
17 C.F.R. § 240.3a12-5Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
17 C.F.R. § 240.3a12-6Definition of “common trust fund” as used in section 3(a)(12) of the Act.
17 C.F.R. § 240.3a12-7Exemption for certain derivative securities traded otherwise than on a national securities exchange.
17 C.F.R. § 240.3a12-8Exemption for designated foreign government securities for purposes of futures trading.
17 C.F.R. § 240.3a12-9Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
17 C.F.R. § 240.3a12-10Exemption of certain securities issued by the Resolution Funding Corporation.
17 C.F.R. § 240.3a12-11Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
17 C.F.R. § 240.3a12-12Exemption from certain provisions of section 16 of the Act for asset-backed securities.
17 C.F.R. § 240.3a40-1Designation of financial responsibility rules.
17 C.F.R. § 240.3a43-1Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
17 C.F.R. § 240.3a44-1Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
17 C.F.R. § 240.3a44-2Further definition of “as a part of a regular business” in connection with certain liquidity providers.
17 C.F.R. § 240.3a51-1Definition of “penny stock”.
17 C.F.R. § 240.3a55-1Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
17 C.F.R. § 240.3a55-2Indexes underlying futures contracts trading for fewer than 30 days.
17 C.F.R. § 240.3a55-3Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17 C.F.R. § 240.3a55-4Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17 C.F.R. § 240.3a67-1Definition of “major security-based swap participant.”
17 C.F.R. § 240.3a67-2Categories of security-based swaps.
17 C.F.R. § 240.3a67-3Definition of “substantial position.”
17 C.F.R. § 240.3a67-4Definition of “hedging or mitigating commercial risk.”
17 C.F.R. § 240.3a67-5Definition of “substantial counterparty exposure.”
17 C.F.R. § 240.3a67-6Definition of “financial entity.”
17 C.F.R. § 240.3a67-7Definition of “highly leveraged.”
17 C.F.R. § 240.3a67-8Timing requirements, reevaluation period, and termination of status.
17 C.F.R. § 240.3a67-9Calculation of major participant status by certain persons.
17 C.F.R. § 240.3a67-10Foreign major security-based swap participants.
17 C.F.R. § 240.3a68-1aMeaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
17 C.F.R. § 240.3a68-1bMeaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
17 C.F.R. § 240.3a68-2Requests for interpretation of swaps, security-based swaps, and mixed swaps.
17 C.F.R. § 240.3a68-3Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
17 C.F.R. § 240.3a68-4Regulation of mixed swaps.
17 C.F.R. § 240.3a68-5Regulation of certain futures contracts on foreign sovereign debt.
17 C.F.R. § 240.3a69-1Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance.
17 C.F.R. § 240.3a69-2Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
17 C.F.R. § 240.3a69-3Books and records requirements for security-based swap agreements.
17 C.F.R. § 240.3a71-1Definition of “security-based swap dealer.”
17 C.F.R. § 240.3a71-2De minimis exception.
17 C.F.R. § 240.3a71-2AReport regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
17 C.F.R. § 240.3a71-3Cross-border security-based swap dealing activity.
17 C.F.R. § 240.3a71-4Exception from aggregation for affiliated groups with registered security-based swap dealers.
17 C.F.R. § 240.3a71-5Exception for cleared transactions executed on a swap execution facility.
17 C.F.R. § 240.3a71-6Substituted compliance for security-based swap dealers and major security-based swap participants.
17 C.F.R. § 240.3b-1Definition of “listed”.
17 C.F.R. § 240.3b-2Definition of “officer”.
17 C.F.R. § 240.3b-4Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
17 C.F.R. § 240.3b-5Non-exempt securities issued under governmental obligations.
17 C.F.R. § 240.3b-6Liability for certain statements by issuers.
17 C.F.R. § 240.3b-7Definition of “executive officer”.
17 C.F.R. § 240.3b-8Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
17 C.F.R. § 240.3b-11Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
17 C.F.R. § 240.3b-12Definition of OTC derivatives dealer.
17 C.F.R. § 240.3b-13Definition of eligible OTC derivative instrument.
17 C.F.R. § 240.3b-14Definition of cash management securities activities.
17 C.F.R. § 240.3b-15Definition of ancillary portfolio management securities activities.
17 C.F.R. § 240.3b-16Definitions of terms used in Section 3(a)(1) of the Act.
17 C.F.R. § 240.3b-18Definitions of terms used in Section 3(a)(5) of the Act.
17 C.F.R. § 240.3b-19Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
17 C.F.R. § 240.3Ca-1Stay of clearing requirement and review by the Commission.
17 C.F.R. § 240.3Ca-2Submission of security-based swaps for clearing.
17 C.F.R. § 240.6a-1Application for registration as a national securities exchange or exemption from registration based on limited volume.
17 C.F.R. § 240.6a-2Amendments to application.
17 C.F.R. § 240.6a-3Supplemental material to be filed by exchanges.
17 C.F.R. § 240.6a-4Notice 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.
17 C.F.R. § 240.6h-1Settlement and regulatory halt requirements for security futures products.
17 C.F.R. § 240.6h-2Security future based on note, bond, debenture, or evidence of indebtedness.
17 C.F.R. § 240.8c-1Hypothecation of customers' securities.
17 C.F.R. § 240.9b-1Options disclosure document.
17 C.F.R. § 240.9j-1Prohibition against fraud, manipulation, or deception in connection with security-based swaps.
17 C.F.R. § 240.10A-1Notice to the Commission Pursuant to Section 10A of the Act.
17 C.F.R. § 240.10A-2Auditor independence.
17 C.F.R. § 240.10A-3Listing standards relating to audit committees.
17 C.F.R. § 240.10b-1Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
17 C.F.R. § 240.10b-3Employment of manipulative and deceptive devices by brokers or dealers.
17 C.F.R. § 240.10b-5Employment of manipulative and deceptive devices.
17 C.F.R. § 240.10b-9Prohibited representations in connection with certain offerings.
17 C.F.R. § 240.10b-10Confirmation of transactions.
17 C.F.R. § 240.10b-16Disclosure of credit terms in margin transactions.