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Title 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION--Continued
PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
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 | 240.0-1 | Definitions. |
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| 240.0-2 | Business hours of the Commission. |
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| 240.0-3 | Filing of material with the Commission. |
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| 240.0-4 | Nondisclosure of information obtained in examinations and investigations. |
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| 240.0-5 | Reference to rule by obsolete designation. |
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| 240.0-6 | Disclosure detrimental to the national defense or foreign policy. |
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| 240.0-8 | Application of rules to registered broker-dealers. |
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| 240.0-9 | Payment of fees. |
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| 240.0-10 | Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act. |
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| 240.0-11 | Filing fees for certain acquisitions, dispositions and similar transactions. |
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| 240.0-12 | Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act. |
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| 240.3a1-1 | Exemption from the definition of ``Exchange'' under Section 3(a)(1) of the Act. |
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| 240.3a4-1 | Associated persons of an issuer deemed not to be brokers. |
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| 240.3a11-1 | Definition of the term ``equity security''. |
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| 240.3a12-1 | Exemption of certain mortgages and interests in mortgages. |
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| 240.3a12-3 | Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers. |
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| 240.3a12-4 | Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities. |
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| 240.3a12-5 | Exemption of certain investment contract securities from sections 7(c) and 11(d)(1). |
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| 240.3a12-6 | Definition of ``common trust fund'' as used in section 3(a)(12) of the Act. |
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| 240.3a12-7 | Exemption for certain derivative securities traded otherwise than on a national securities exchange. |
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| 240.3a12-8 | Exemption for designated foreign government securities for purposes of futures trading. |
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| 240.3a12-9 | Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1). |
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| 240.3a12-10 | Exemption of certain securities issued by the Resolution Funding Corporation. |
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| 240.3a12-11 | Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange. |
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| 240.3a40-1 | Designation of financial responsibility rules. |
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| 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. |
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| 240.3a44-1 | Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. |
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| 240.3a51-1 | Definition of ``penny stock''. |
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| 240.3b-1 | Definition of ``listed''. |
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| 240.3b-2 | Definition of ``officer''. |
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| 240.3b-3 | Definition of ``short sale''. |
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| 240.3b-4 | Definition of ``foreign government,'' ``foreign issuer'' and ``foreign private issuer''. |
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| 240.3b-5 | Non-exempt securities issued under governmental obligations. |
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| 240.3b-6 | Liability for certain statements by issuers. |
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| 240.3b-7 | Definition of ``executive officer''. |
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| 240.3b-8 | Definitions of ``Qualified OTC Market Maker, Qualified Third Market Maker'' and ``Qualified Block Positioner''. |
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| 240.3b-9 | Definition of ``bank'' for purposes of section 3(a) (4) and (5) of the Act. |
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| 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). |
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| 240.3b-12 | Definition of OTC derivatives dealer. |
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| 240.3b-13 | Definition of eligible OTC derivative instrument. |
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| 240.3b-14 | Definition of cash management securities activities. |
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| 240.3b-15 | Definition of ancillary portfolio management securities activities. |
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| 240.3b-16 | Definitions of terms used in Section 3(a)(1) of the Act. |
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| 240.6a-1 | Application for registration as a national securities exchange or exemption from registration based on limited volume. |
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| 240.6a-2 | Amendments to application. |
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| 240.6a-3 | Supplemental material to be filed by exchanges. |
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| 240.8c-1 | Hypothecation of customers' securities. |
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| 240.9b-1 | Options disclosure document. |
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| 240.10a-1 | Short sales. |
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| 240.10a-2 | Requirements for covering purchases. |
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| 240.10b-1 | Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration. |
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| 240.10b-3 | Employment of manipulative and deceptive devices by brokers or dealers. |
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| 240.10b-5 | Employment of manipulative and deceptive devices. |
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| 240.10b5-1 | Trading ``on the basis of'' material nonpublic information in insider trading cases. |
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| 240.10b5-2 | Duties of trust or confidence in misappropriation insider trading cases. |
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| 240.10b-9 | Prohibited representations in connection with certain offerings. |
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| 240.10b-10 | Confirmation of transactions. |
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| 240.10b-16 | Disclosure of credit terms in margin transactions. |
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| 240.10b-17 | Untimely announcements of record dates. |
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| 240.10b-18 | Purchases of certain equity securities by the issuer and others. |
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| 240.10A-1 | Notice to the Commission Pursuant to Section 10A of the Act. |
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| 240.11a-1 | Regulation of floor trading. |
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| 240.11a1-1(T) | Transactions yielding priority, parity, and precedence. |
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| 240.11a1-2 | Transactions for certain accounts of associated persons of members. |
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| 240.11a1-3(T) | Bona fide hedge transactions in certain securities. |
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| 240.11a1-4(T) | Bond transactions on national securities exchanges. |
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| 240.11a1-5 | Transactions by registered competitive market makers and registered equity market makers. |
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| 240.11a1-6 | Transactions for certain accounts of OTC derivatives dealers. |
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| 240.11a2-2(T) | Transactions effected by exchange members through other members. |
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| 240.11b-1 | Regulation of specialists. |
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| 240.11d1-1 | Exemption of certain securities from section 11(d)(1). |
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| 240.11d1-2 | Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts. |
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| 240.11Aa2-1 | Designation of national market system securities. |
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| 240.11Aa3-1 | Dissemination of transaction reports and last sale data with respect to transactions in reported securities. |
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| 240.11Aa3-2 | Filing and amendment of national market system plans. |
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| 240.11Ab2-1 | Registration of securities information processors: Form of application and amendments. |
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| 240.11Ac1-1 | Dissemination of quotations. |
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| 240.11Ac1-2 | Display of transaction reports, last sale data and quotation information. |
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| 240.11Ac1-3 | Customer account statements. |
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| 240.11Ac1-4 | Display of customer limit orders. |
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| 240.11Ac1-5 | Disclosure of order execution information. |
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| 240.11Ac1-6 | Disclosure of order routing information. |
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| 240.11Ac1-7 | Trade-through disclosure rule. |
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| 240.12a-4 | Exemption of certain warrants from section 12(a). |
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| 240.12a-5 | Temporary exemption of substituted or additional securities. |
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| 240.12a-6 | Exemption of securities underlying certain options from section 12(a). |
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| 240.12a-7 | Exemption of stock contained in standardized market baskets from section 12(a) of the Act. |
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| 240.12a-8 | Exemption of depositary shares. |
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| 240.12b-1 | Scope of regulation. |
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| 240.12b-2 | Definitions. |
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| 240.12b-3 | Title of securities. |
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| 240.12b-4 | Supplemental information. |
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| 240.12b-5 | Determination of affiliates of banks. |
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| 240.12b-6 | When securities are deemed to be registered. |
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| 240.12b-10 | Requirements as to proper form. |
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| 240.12b-11 | Number of copies; signatures; binding. |
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| 240.12b-12 | Requirements as to paper, printing and language. |
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| 240.12b-13 | Preparation of statement or report. |
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| 240.12b-14 | Riders; inserts. |
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| 240.12b-15 | Amendments. |
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| 240.12b-20 | Additional information. |
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| 240.12b-21 | Information unknown or not available. |
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| 240.12b-22 | Disclaimer of control. |
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| 240.12b-23 | Incorporation by reference. |
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| 240.12b-25 | Notification of inability to timely file all or any required portion of a Form 10-K, 10-KSB, 20-F, 11-K, N-SAR, Form 10-Q or Form 10-QSB. |
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| 240.12b-30 | Additional exhibits. |
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| 240.12b-31 | Omission of substantially identical documents. |
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| 240.12b-32 | Incorporation of exhibits by reference. |
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| 240.12b-33 | Annual reports to other Federal agencies. |
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| 240.12b-36 | Use of financial statements filed under other acts. |
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| 240.12d1-1 | Registration effective as to class or series. |
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| 240.12d1-2 | Effectiveness of registration. |
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| 240.12d1-3 | Requirements as to certification. |
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| 240.12d1-4 | Date of receipt of certification by Commission. |
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| 240.12d1-5 | Operation of certification on subsequent amendments. |
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| 240.12d1-6 | Withdrawal of certification. |
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| 240.12d2-1 | Suspension of trading. |
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| 240.12d2-2 | Removal from listing and registration. |
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| 240.12f-1 | Applications for permission to reinstate unlisted trading privileges. |
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| 240.12f-2 | Extending unlisted trading privileges to a security that is the subject of an initial public offering. |
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| 240.12f-3 | Termination or suspension of unlisted trading privileges. |
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| 240.12f-4 | Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16. |
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| 240.12f-5 | Exchange rules for securities to which unlisted trading privileges are extended. |
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| 240.12g-1 | Exemption from section 12(g). |
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| 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). |
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| 240.12g-3 | Registration of securities of successor issuers under section 12(b) or 12(g). |
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| 240.12g3-2 | Exemptions for American depositary receipts and certain foreign securities. |
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| 240.12g-4 | Certifications of termination of registration under section 12(g). |
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| 240.12g5-1 | Definition of securities ``held of record''. |
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| 240.12g5-2 | Definition of ``total assets''. |
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| 240.12h-1 | Exemptions from registration under section 12(g) of the Act. |
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| 240.12h-3 | Suspension of duty to file reports under section 15(d). |
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| 240.12h-4 | Exemption from duty to file reports under section 15(d). |
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| 240.12h-5 | Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors. |
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| 240.13a-1 | Requirements of annual reports. |
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| 240.13a-3 | Reporting by Form 40-F registrant. |
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| 240.13a-10 | Transition reports. |
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| 240.13a-11 | Current reports on Form 8-K (249.308 of this chapter). |
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| 240.13a-13 | Quarterly reports on Form 10-Q and Form 10-QSB (249.308a and 249.308b of this chapter). |
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| 240.13a-16 | Reports of foreign private issuers on Form 6-K (17 CFR 249.306). |
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| 240.13b2-1 | Falsification of accounting records. |
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| 240.13b2-2 | Issuer's representations in connection with the preparation of required reports and documents. |
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| 240.13d-1 | Filing of Schedules 13D and 13G. |
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| 240.13d-2 | Filing of amendments to Schedules 13D or 13G. |
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| 240.13d-3 | Determination of beneficial owner. |
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| 240.13d-4 | Disclaimer of beneficial ownership. |
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| 240.13d-5 | Acquisition of securities. |
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| 240.13d-6 | Exemption of certain acquisitions. |
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| 240.13d-7 | Dissemination. |
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| 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). |
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| 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. |
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| 240.13e-1 | Purchase of securities by the issuer during a third-party tender offer. |
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| 240.13e-3 | Going private transactions by certain issuers or their affiliates. |
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| 240.13e-4 | Tender offers by issuers. |
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| 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. |
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| 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. |
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| 240.13f-1 | Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion. |
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| 240.14a-1 | Definitions. |
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| 240.14a-2 | Solicitations to which 240.14a-3 to 240.14a-15 apply. |
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| 240.14a-3 | Information to be furnished to security holders. |
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| 240.14a-4 | Requirements as to proxy. |
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| 240.14a-5 | Presentation of information in proxy statement. |
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| 240.14a-6 | Filing requirements. |
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| 240.14a-7 | Obligations of registrants to provide a list of, or mail soliciting material to, security holders. |
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| 240.14a-8 | Shareholder proposals. |
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| 240.14a-9 | False or misleading statements. |
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| 240.14a-10 | Prohibition of certain solicitations. |
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| 240.14a-12 | Solicitation before furnishing a proxy statement. |
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| 240.14a-13 | Obligation of registrants in communicating with beneficial owners. |
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| 240.14a-14 | Modified or superseded documents. |
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| 240.14a-15 | Differential and contingent compensation in connection with roll-up transactions. |
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| 240.14a-101 | Schedule 14A. Information required in proxy statement. |
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| 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). |
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| 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). |
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| 240.14b-1 | Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners. |
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| 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. |
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| 240.14c-1 | Definitions. |
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| 240.14c-2 | Distribution of information statement. |
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| 240.14c-3 | Annual report to be furnished security holders. |
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| 240.14c-4 | Presentation of information in information statement. |
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| 240.14c-5 | Filing requirements. |
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| 240.14c-6 | False or misleading statements. |
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| 240.14c-7 | Providing copies of material for certain beneficial owners. |
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| 240.14c-101 | Schedule 14C. Information required in information statement. |
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| 240.14d-1 | Scope of and definitions applicable to Regulations 14D and 14E. |
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| 240.14d-2 | Commencement of a tender offer. |
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| 240.14d-3 | Filing and transmission of tender offer statement. |
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| 240.14d-4 | Dissemination of tender offers to security holders. |
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| 240.14d-5 | Dissemination of certain tender offers by the use of stockholder lists and security position listings. |
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| 240.14d-6 | Disclosure of tender offer information to security holders. |
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| 240.14d-7 | Additional withdrawal rights. |
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| 240.14d-8 | Exemption from statutory pro rata requirements. |
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| 240.14d-9 | Recommendation or solicitation by the subject company and others. |
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| 240.14d-10 | Equal treatment of security holders. |
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| 240.14d-11 | Subsequent offering period. |
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| 240.14d-100 | Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934. |
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| 240.14d-101 | Schedule 14D-9. |
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| 240.14d-102 | Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934. |
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| 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. |
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| 240.14e-1 | Unlawful tender offer practices. |
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| 240.14e-2 | Position of subject company with respect to a tender offer. |
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| 240.14e-3 | Transactions in securities on the basis of material, nonpublic information in the context of tender offers. |
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| 240.14e-4 | Prohibited transactions in connection with partial tender offers. |
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| 240.14e-5 | Prohibiting purchases outside of a tender offer. |
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| 240.14e-6 | Repurchase offers by certain closed-end registered investment companies. |
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| 240.14e-7 | Unlawful tender offer practices in connection with roll-ups. |
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| 240.14e-8 | Prohibited conduct in connection with pre-commencement communications. |
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| 240.14f-1 | Change in majority of directors. |
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| 240.15a-1 | Securities activities of OTC derivatives dealers. |
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| 240.15a-2 | Exemption of certain securities of cooperative apartment houses from section 15(a). |
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| 240.15a-4 | Forty-five day exemption from registration for certain members of national securities exchanges. |
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| 240.15a-5 | Exemption of certain nonbank lenders. |
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| 240.15a-6 | Exemption of certain foreign brokers or dealers. |
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| 240.15b1-1 | Application for registration of brokers or dealers. |
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| 240.15b1-3 | Registration of successor to registered broker or dealer. |
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| 240.15b1-4 | Registration of fiduciaries. |
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| 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. |
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| 240.15b2-2 | Inspection of newly registered brokers and dealers. |
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| 240.15b3-1 | Amendments to application. |
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| 240.15b5-1 | Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation. |
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| 240.15b6-1 | Withdrawal from registration. |
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| 240.15b7-1 | Compliance with qualification requirements of self-regulatory organizations. |
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| 240.15b7-3T | Operational capability in a Year 2000 environment. |
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| 240.15b9-1 | Exemption for certain exchange members. |
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| 240.15b9-2 | Exemption from SRO membership for OTC derivatives dealers. |
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| 240.15c1-1 | Definitions. |
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| 240.15c1-2 | Fraud and misrepresentation. |
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| 240.15c1-3 | Misrepresentation by brokers, dealers and municipal securities dealers as to registration. |
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| 240.15c1-5 | Disclosure of control. |
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| 240.15c1-6 | Disclosure of interest in distribution. |
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| 240.15c1-7 | Discretionary accounts. |
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| 240.15c1-8 | Sales at the market. |
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| 240.15c1-9 | Use of pro forma balance sheets. |
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| 240.15c2-1 | Hypothecation of customers' securities. |
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| 240.15c2-4 | Transmission or maintenance of payments received in connection with underwritings. |
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| 240.15c2-5 | Disclosure and other requirements when extending or arranging credit in certain transactions. |
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| 240.15c2-7 | Identification of quotations. |
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| 240.15c2-8 | Delivery of prospectus. |
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| 240.15c2-11 | Initiation or resumption of quotations without specific information. |
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| 240.15c2-12 | Municipal securities disclosure. |
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| 240.15c3-1 | Net capital requirements for brokers or dealers. |
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| 240.15c3-1a | Options (Appendix A to 17 CFR 240.15c3-1). |
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| 240.15c3-1b | Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to 17 CFR 240.15c3-1). |
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| 240.15c3-1c | Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (Appendix C to 17 CFR 240.15c3-1). |
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| 240.15c3-1d | Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1). |
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| 240.15c3-1e | Temporary Minimum Requirements (Appendix E to 17 CFR 240.15c3-1e). |
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| 240.15c3-1f | Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1). |
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| 240.15c3-2 | Customers' free credit balances. |
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| 240.15c3-3 | Customer protection--reserves and custody of securities. |
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| 240.15c3-3a | Exhibit A--formula for determination reserve requirement of brokers and dealers under 240.15c3-3. |
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| 240.15c3-4 | Internal risk management control systems for OTC derivatives dealers. |
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| 240.15c6-1 | Settlement cycle. |
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| 240.15d-1 | Requirement of annual reports. |
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| 240.15d-2 | Special financial report. |
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| 240.15d-3 | Reports for depositary shares registered on Form F-6. |
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| 240.15d-4 | Reporting by Form 40-F registrants. |
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| 240.15d-5 | Reporting by successor issuers. |
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| 240.15d-6 | Suspension of duty to file reports. |
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| 240.15d-10 | Transition reports. |
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| 240.15d-11 | Current reports on Form 8-K (249.308 of this chapter). |
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| 240.15d-13 | Quarterly reports on Form 10-Q and Form 10-QSB (249.308a and 249.308b of this chapter). |
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| 240.15d-16 | Reports of foreign private issuers on Form 6-K [17 CFR 249.306]. |
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| 240.15d-21 | Reports for employee stock purchase, savings and similar plans. |
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| 240.15g-1 | Exemptions for certain transactions. |
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| 240.15g-2 | Risk disclosure document relating to the penny stock market. |
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| 240.15g-3 | Broker or dealer disclosure of quotations and other information relating to the penny stock market. |
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| 240.15g-4 | Disclosure of compensation to brokers or dealers. |
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| 240.15g-5 | Disclosure of compensation of associated persons in connection with penny stock transactions. |
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| 240.15g-6 | Account statements for penny stock customers. |
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| 240.15g-8 | Sales of escrowed securities of blank check companies. |
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| 240.15g-9 | Sales practice requirements for certain low-priced securities. |
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| 240.15g-100 | Schedule 15G--Information to be included in the document distributed pursuant to 17 CFR 240.15g-2. |
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| 240.15Aa-1 | Registration of a national or an affiliated securities association. |
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| 240.15Aj-1 | Amendments and supplements to registration statements of securities associations. |
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| 240.15Ba2-1 | Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks. |
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| 240.15Ba2-2 | Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate. |
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| 240.15Ba2-4 | Registration of successor to registered municipal securities dealer. |
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| 240.15Ba2-5 | Registration of fiduciaries. |
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| 240.15Bc3-1 | Withdrawal from registration of municipal securities dealers. |
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| 240.15Bc7-1 | Availability of examination reports. |
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| 240.15Ca1-1 | Notice of government securities broker-dealer activities. |
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| 240.15Ca2-1 | Application for registration as a government securities broker or government securities dealer. |
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| 240.15Ca2-3 | Registration of successor to registered government securities broker or government securities dealer. |
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| 240.15Ca2-4 | Registration of fiduciaries. |
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| 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. |
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| 240.15Cc1-1 | Withdrawal from registration of government securities brokers or government securities dealers. |
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| 240.16a-1 | Definition of terms. |
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| 240.16a-2 | Persons and transactions subject to section 16. |
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| 240.16a-3 | Reporting transactions and holdings. |
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| 240.16a-4 | Derivative securities. |
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| 240.16a-5 | Odd-lot dealers. |
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| 240.16a-6 | Small acquisitions. |
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| 240.16a-7 | Transactions effected in connection with a distribution. |
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| 240.16a-8 | Trusts. |
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| 240.16a-9 | Stock splits, stock dividends, and pro rata rights. |
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| 240.16a-10 | Exemptions under section 16(a). |
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| 240.16a-11 | Dividend or interest reinvestment plans. |
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| 240.16a-12 | Domestic relations orders. |
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| 240.16a-13 | Change in form of beneficial ownership. |
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| 240.16b-1 | Transactions approved by a regulatory authority. |
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| 240.16b-3 | Transactions between an issuer and its officers or directors. |
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| 240.16b-5 | Bona fide gifts and inheritance. |
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| 240.16b-6 | Derivative securities. |
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| 240.16b-7 | Mergers, reclassifications, and consolidations. |
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| 240.16b-8 | Voting trusts. |
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| 240.16c-1 | Brokers. |
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| 240.16c-2 | Transactions effected in connection with a distribution. |
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| 240.16c-3 | Exemption of sales of securities to be acquired. |
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| 240.16c-4 | Derivative securities. |
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| 240.16e-1 | Arbitrage transactions under section 16. |
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| 240.17a-1 | Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board. |
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| 240.17a-2 | Recordkeeping requirements relating to stabilizing activities. |
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| 240.17a-3 | Records to be made by certain exchange members, brokers and dealers. |
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| 240.17a-4 | Records to be preserved by certain exchange members, brokers and dealers. |
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| 240.17a-5 | Reports to be made by certain brokers and dealers. |
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| 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. |
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| 240.17a-7 | Records of non-resident brokers and dealers. |
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| 240.17a-8 | Financial recordkeeping and reporting of currency and foreign transactions. |
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| 240.17a-9T | Records to be made and retained by certain exchange members, brokers and dealers. |
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| 240.17a-10 | Report on revenue and expenses. |
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| 240.17a-11 | Notification provisions for brokers and dealers. |
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| 240.17a-12 | Reports to be made by certain OTC derivatives dealers. |
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| 240.17a-13 | Quarterly security counts to be made by certain exchange members, brokers, and dealers. |
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| 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. |
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| 240.17a-21 | Reports of the Municipal Securities Rulemaking Board. |
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| 240.17a-22 | Supplemental material of registered clearing agencies. |
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| 240.17a-23 | Recordkeeping and reporting requirements relating to broker-dealer trading systems. |
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| 240.17d-1 | Examination for compliance with applicable financial responsibility rules. |
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| 240.17d-2 | Program for allocation of regulatory responsibility. |
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| 240.17f-1 | Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities. |
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| 240.17f-2 | Fingerprinting of securities industry personnel. |
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| 240.17h-1T | Risk assessment recordkeeping requirements for associated persons of brokers and dealers. |
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| 240.17h-2T | Risk assessment reporting requirements for brokers and dealers. |
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| 240.17Ab2-1 | Registration of clearing agencies. |
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| 240.17Ac2-1 | Application for registration of transfer agents. |
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| 240.17Ac2-2 | Annual reporting requirement for registered transfer agents. |
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| 240.17Ac3-1 | Withdrawal from registration with the Commission. |
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| 240.17Ad-1 | Definitions. |
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| 240.17Ad-2 | Turnaround, processing, and forwarding of items. |
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| 240.17Ad-3 | Limitations on expansion. |
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| 240.17Ad-4 | Applicability of 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11). |
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| 240.17Ad-5 | Written inquiries and requests. |
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| 240.17Ad-6 | Recordkeeping. |
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| 240.17Ad-7 | Record retention. |
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| 240.17Ad-8 | Securities position listings. |
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| 240.17Ad-9 | Definitions. |
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| 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. |
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| 240.17Ad-11 | Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files. |
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| 240.17Ad-12 | Safeguarding of funds and securities. |
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| 240.17Ad-13 | Annual study and evaluation of internal accounting control. |
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| 240.17Ad-14 | Tender agents. |
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| 240.17Ad-15 | Signature guarantees. |
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| 240.17Ad-16 | Notice of assumption or termination of transfer agent services. |
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| 240.17Ad-17 | Transfer agents' obligation to search for lost securityholders. |
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| 240.17Ad-18 | Year 2000 Reports to be made by certain transfer agents. |
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| 240.17Ad-21T | Operational capability in a Year 2000 environment. |
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| 240.19b-4 | Filings with respect to proposed rule changes by self-regulatory organizations. |
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| 240.19b-5 | Temporary exemption from the filing requirements of Section 19(b) of the Act. |
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| 240.19c-1 | Governing certain off-board agency transactions by members of national securities exchanges. |
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| 240.19c-3 | Governing off-board trading by members of national securities exchanges. |
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| 240.19c-4 | Governing certain listing or authorization determinations by national securities exchanges and associations. |
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| 240.19c-5 | Governing the multiple listing of options on national securities exchanges. |
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| 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. |
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| 240.19d-2 | Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization. |
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| 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. |
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| 240.19g2-1 | Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder. |
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| 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. |
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| 240.24b-1 | Documents to be kept public by exchanges. |
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| 240.24b-2 | Nondisclosure of information filed with the Commission and with any exchange. |
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| 240.24b-3 | Information filed by issuers and others under sections 12, 13, 14, and 16. |
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| 240.24c-1 | Access to nonpublic information. |
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| 240.31-1 | Securities transactions exempt from transaction fees. |
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| 240.36a1-1 | Exemption from Section 7 for OTC derivatives dealers. |
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| 240.36a1-2 | Exemption from SIPA for OTC derivatives dealers. |
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