Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Table of Contents

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Section 1 -- Short Title

Section 2 -- Necessity for Regulation

Section 3 -- Definitions and Application

Section 3A -- Swap Agreements

Section 4 -- Securities and Exchange Commission

Section 4A -- Delegation of Functions by Commission

Section 4B -- Transfer of Functions with Respect to Assignment of Personnel to Chairman

Section 4C -- Appearance and Practice Before the Commission

Section 5 -- Transactions on Unregistered Exchanges

Section 6 -- National Securities Exchanges

Section 7 -- Margin Requirements

Section 8 -- Restrictions on Borrowing and Lending by Members, Brokers, and Dealers

Section 9 -- Manipulation of Security Prices

Section 10 -- Manipulative and Deceptive Devices

Section l0A -- Audit Requirements

Section 11 -- Trading by Members of Exchanges, Brokers, and Dealers

Section 11A -- National Market System for Securities; Securities Information Processors

Section 12 -- Registration Requirements for Securities

Section 13 -- Periodical and Other Reports

Section 14 -- Proxies

Section 15 -- Registration and Regulation of Brokers and Dealers

Section 15A -- Registered Securities Associations

Section 15B -- Municipal Securities

Section 15C -- Government Securities Brokers and Dealers

Section 15D -- Securities Analysts and Research Reports

Section 15E -- Registration of Nationally Recognized Statistical Rating Organizations

Section 16 -- Directors, Officers, and Principal Stockholders

Section 17 -- Records and Reports

Section 17A -- National System for Clearance and Settlement of Securities Transactions

Section 17B -- Automated Quotation Systems for Penny Stocks

Section 18 -- Liability for Misleading Statements

Section 19 -- Registration, Responsibilities, and Oversight of Self-Regulatory Organizations

Section 20 -- Liability of Controlling Persons and Persons Who Aid and Abet Violations

Section 20A -- Liability to Contemporaneous Traders for Insider Trading

Section 21 -- Investigations and Actions

Section 21A -- Civil Penalties for Insider Trading

Section 21B -- Civil Remedies In Administrative Proceedings

Section 21C -- Cease-and-Desist Proceedings

Section 21D -- Private Securities Litigation

Section 21E -- Application of Safe Harbor for Forward-Looking Statements

Section 22 -- Hearings by Commission

Section 23 -- Rules, Regulations, and Orders; Annual Reports

Section 24 -- Public Availability of Information

Section 25 -- Court Review of Orders and Rules

Section 26 -- Unlawful Representations

Section 27 -- Jurisdiction of Offenses and Suits

Section 27A -- Special Provision Relating to Statute of Limitations on Private Causes of Action

Section 28 -- Effect on Existing Law

Section 29 -- Validity of Contracts

Section 30 -- Foreign Securities Exchanges

Section 30A -- Prohibited Foreign Trade Practices by Issuers

Section 31 -- Transaction Fees

Section 32 -- Penalties

Section 33 -- Separability

Section 34 -- Effective Date

Section 35 -- Authorization of Appropriations

Section 35A -- Requirements for the EDGAR system

Section 36 -- General Exemptive Authority

	Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.   © Copyright 1998-2008, University of Cincinnati, All Rights Reserved  Contact: joseph.hodnicki@uc.edu