Federal (United States) · Statute compilation
Title IX
17 sections
17 sections
- Pub. L. 111-203, tit. IX, subtit. A, sec. 913 (as amended)STUDY AND RULEMAKING REGARDING OBLIGATIONS OF BROKERS, DEALERS, AND INVESTMENT ADVISERS
- Pub. L. 111-203, tit. IX, subtit. C, sec. 938 (as amended)UNIVERSAL RATINGS SYMBOLS.
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939B (as amended)ELIMINATION OF EXEMPTION FROM FAIR DISCLOSURE RULE.
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939F (as amended)STUDY AND RULEMAKING ON ASSIGNED CREDIT RATINGS.
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939G (as amended)EFFECT OF RULE 436(G).
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939H (as amended)SENSE OF CONGRESS.
- Pub. L. 111-203, tit. IX, subtit. D, sec. 943 (as amended)REPRESENTATIONS AND WARRANTIES IN ASSET-BACKED OFFERINGS.
- Pub. L. 111-203, tit. IX, subtit. E, sec. 953 (as amended)EXECUTIVE COMPENSATION DISCLOSURES.
- Pub. L. 111-203, tit. IX, subtit. E, sec. 956 (as amended)ENHANCED COMPENSATION STRUCTURE REPORTING.
- Pub. L. 111-203, tit. IX, subtit. F, sec. 961 (as amended)REPORT AND CERTIFICATION OF INTERNAL SUPERVISORY CONTROLS.
- Pub. L. 111-203, tit. IX, subtit. F, sec. 962 (as amended)TRIENNIAL REPORT ON PERSONNEL MANAGEMENT.
- Pub. L. 111-203, tit. IX, subtit. F, sec. 963 (as amended)ANNUAL FINANCIAL CONTROLS AUDIT.
- Pub. L. 111-203, tit. IX, subtit. F, sec. 964 (as amended)REPORT ON OVERSIGHT OF NATIONAL SECURITIES ASSOCIATIONS.
- Pub. L. 111-203, tit. IX, subtit. H, sec. 979 (as amended)COMMISSION OFFICE OF MUNICIPAL SECURITIES.
- Pub. L. 111-203, tit. IX, subtit. I, sec. 989A (as amended)SENIOR INVESTOR PROTECTIONS.
- Pub. L. 111-203, tit. IX, subtit. I, sec. 989E (as amended)ADDITIONAL OVERSIGHT OF FINANCIAL REGULATORY SYSTEM.
- Pub. L. 111-203, tit. IX, subtit. I, sec. 989J (as amended)FURTHER PROMOTING THE ADOPTION OF THE NAIC MODEL REGULATIONS THAT ENHANCE PROTECTION OF SENIORS AND OTHER CONSUMERS.