Title 17 C.F.R. — Commodity and Securities Exchanges

3525 sections

PART 1

• § 1.1 — [Reserved]
• § 1.2 — Liability of principal for act of agent
• § 1.3 — Definitions
• § 1.4 — Electronic signatures, acknowledgments and verifications
• § 1.6 — Anti-evasion
• § 1.7 — Books and records requirements for security-based swap agreements
• § 1.8 — Requests for interpretation of swaps, security-based swaps, and mixed swaps
• § 1.9 — Regulation of mixed swaps
• § 1.10 — Financial reports of futures commission merchants and introducing brokers
• § 1.11 — Risk Management Program for futures commission merchants
• § 1.12 — Maintenance of minimum financial requirements by futures commission merchants and introducing brokers
• § 1.13 — [Reserved]
• § 1.14 — Risk assessment recordkeeping requirements for futures commission merchants
• § 1.15 — Risk assessment reporting requirements for futures commission merchants
• § 1.16 — Qualifications and reports of accountants
• § 1.17 — Minimum financial requirements for futures commission merchants and introducing brokers
• § 1.18 — Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers
• § 1.19 — Prohibited trading in certain “puts” and “calls”
• § 1.20 — Futures customer funds to be segregated and separately accounted for
• § 1.21 — Care of money and equities accruing to futures customers
• § 1.22 — Use of futures customer funds restricted
• § 1.23 — Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals
• § 1.24 — Segregated funds; exclusions therefrom
• § 1.25 — Investment of customer funds
• § 1.26 — Deposit of instruments purchased with futures customer funds
• § 1.27 — Record of investments
• § 1.28 — Appraisal of instruments purchased with customer funds
• § 1.29 — Gains and losses resulting from investment of customer funds
• § 1.30 — Loans by futures commission merchants; treatment of proceeds
• § 1.31 — Regulatory records; retention and production
• § 1.32 — Reporting of segregated account computation and details regarding the holding of futures customer funds
• § 1.33 — Monthly and confirmation statements
• § 1.34 — Monthly record, “point balance”
• § 1.35 — Records of commodity interest and related cash or forward transactions
• § 1.36 — Record of securities and property received from customers
• § 1.37 — Customer's name, address, and occupation recorded; record of guarantor or controller of account
• § 1.38 — Execution of transactions
• § 1.39 — Simultaneous buying and selling orders of different principals; execution of, for and between principals
• § 1.40 — Crop, market information letters, reports; copies required
• § 1.41 — Designation of hedging accounts
• § 1.42 — Delivery accounts
• § 1.43 — Letters of credit as collateral
• § 1.44 — Margin adequacy and treatment of separate accounts
• § 1.45 — [Reserved]
• § 1.46 — Application and closing out of offsetting long and short positions
• § 1.47-1.48 — 1.47-1.48 [Reserved]
• § 1.49 — Denomination of customer funds and location of depositories
• § 1.50-1.51 — 1.50-1.51 [Reserved]
• § 1.52 — Self-regulatory organization adoption and surveillance of minimum financial requirements
• § 1.53 — [Reserved]
• § 1.54 — Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture
• § 1.55 — Public disclosures by futures commission merchants
• § 1.56 — Prohibition of guarantees against loss
• § 1.57 — Operations and activities of introducing brokers
• § 1.58 — Gross collection of exchange-set margins
• § 1.59 — Activities of self-regulatory organization employees, governing board members, committee members, and consultants
• § 1.60 — Pending legal proceedings
• § 1.61-1.62 — 1.61-1.62 [Reserved]
• § 1.63 — Service on self-regulatory organization governing boards or committees by persons with disciplinary histories
• § 1.64 — Composition of various self-regulatory organization governing boards and major disciplinary committees
• § 1.65 — Notice of bulk transfers and disclosure obligations to customers
• § 1.66 — No-action positions with respect to floor traders
• § 1.67 — Notification of final disciplinary action involving financial harm to a customer
• § 1.68 — [Reserved]
• § 1.69 — Voting by interested members of self-regulatory organization governing boards and various committees
• § 1.70 — Notification of State enforcement actions brought under the Commodity Exchange Act
• § 1.71 — Conflicts of interest policies and procedures by futures commission merchants and introducing brokers
• § 1.72 — Restrictions on customer clearing arrangements
• § 1.73 — Clearing futures commission merchant risk management
• § 1.74 — Futures commission merchant acceptance for clearing
• § 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

PART 2

• § 2.1 — Description
• § 2.2 — Authority to affix seal
• § 2.3 — Prohibitions against misuse of seal
• § 2.4 — Employee Recreation Association's use of Commission seal

PART 3

• § 3.1 — Definitions
• § 3.2 — Registration processing by the National Futures Association; notification and duration of registration
• § 3.3 — Chief compliance officer
• § 3.4 — Registration in one capacity not included in registration in any other capacity
• § 3.5-3.9 — 3.5-3.9 [Reserved]
• § 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
• § 3.11 — Registration of floor brokers and floor traders
• § 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
• § 3.13-3.20 — 3.13-3.20 [Reserved]
• § 3.21 — Exemption from fingerprinting requirement in certain cases
• § 3.22 — Supplemental filings
• § 3.23-3.29 — 3.23-3.29 [Reserved]
• § 3.30 — Current address for purpose of delivery of communications from the Commission or the National Futures Association
• § 3.31 — Deficiencies, inaccuracies, and changes, to be reported
• § 3.33 — Withdrawal from registration
• § 3.40 — Temporary licensing of applicants for associated person, floor broker or floor trader registration
• § 3.42 — Termination
• § 3.43 — Relationship to registration
• § 3.44 — Temporary licensing of applicants for guaranteed introducing broker registration
• § 3.45 — Restrictions upon activities
• § 3.46 — Termination
• § 3.47 — Relationship to registration
• § 3.50 — Service
• § 3.51 — Withdrawal of application for registration
• § 3.52-3.54 — 3.52-3.54 [Reserved]
• § 3.55 — Suspension and revocation of registration pursuant to section 8a(2) of the Act
• § 3.56 — Suspension or modification of registration pursuant to section 8a(11) of the Act
• § 3.57 — Proceedings under section 8a(2)(E) of the Act
• § 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
• § 3.61 — Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part
• § 3.62 — [Reserved]
• § 3.63 — Service of order issued by an Administrative Law Judge or the Commission
• § 3.64 — Procedure to lift or modify conditions or restrictions
• § 3.70 — Notification of certain information regarding associated persons
• § 3.75 — Delegation and reservation of authority

PART 4

• § 4.1 — Requirements as to form
• § 4.2-4.4 — 4.2-4.4 [Reserved]
• § 4.5 — Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
• § 4.6 — Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
• § 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
• § 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
• § 4.9 — [Reserved]
• § 4.10 — Definitions
• § 4.11 — Exemption from section 4n(3)(B)
• § 4.12 — Exemption from provisions of this part
• § 4.13 — Exemption from registration as a commodity pool operator
• § 4.14 — Exemption from registration as a commodity trading advisor
• § 4.15 — Continued applicability of antifraud section
• § 4.16 — Prohibited representations
• § 4.17 — Severability
• § 4.20 — Prohibited activities
• § 4.21 — Required delivery of pool Disclosure Document
• § 4.22 — Reporting to pool participants
• § 4.23 — Recordkeeping
• § 4.24 — General disclosures required
• § 4.25 — Performance disclosures
• § 4.26 — Use, amendment and filing of Disclosure Document
• § 4.27 — Additional reporting by commodity pool operators and commodity trading advisors
• § 4.30 — Prohibited activities
• § 4.31 — Required delivery of Disclosure Document to prospective clients
• § 4.32 — [Reserved]
• § 4.33 — Recordkeeping
• § 4.34 — General disclosures required
• § 4.35 — Performance disclosures
• § 4.36 — Use, amendment and filing of Disclosure Document
• § 4.40 — [Reserved]
• § 4.41 — Advertising by commodity pool operators, commodity trading advisors, and the principals thereof

PART 5

• § 5.1 — Definitions
• § 5.2 — Prohibited transactions
• § 5.3 — Registration of persons engaged in retail forex transactions
• § 5.4 — Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors
• § 5.5 — Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions
• § 5.6 — Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions
• § 5.7 — Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions
• § 5.8 — Aggregate retail forex assets
• § 5.9 — Security deposits for retail forex transactions
• § 5.10 — Risk assessment recordkeeping requirements for retail foreign exchange dealers
• § 5.11 — Risk assessment reporting requirements for retail foreign exchange dealers
• § 5.12 — Financial reports of retail foreign exchange dealers
• § 5.13 — Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements
• § 5.14 — Records to be kept by retail foreign exchange dealers and futures commission merchants
• § 5.15 — Unlawful representations
• § 5.16 — Prohibition of guarantees against loss
• § 5.17 — Authorization to trade
• § 5.18 — Trading and operational standards
• § 5.19 — Pending legal proceedings
• § 5.20 — Special calls for account and transaction information
• § 5.21 — Supervision
• § 5.22 — Registered futures association membership
• § 5.23 — Notice of bulk transfers and bulk liquidations
• § 5.24 — Applicability of other parts of this chapter
• § 5.25 — Applicability of the Act

PART 7

• § 7.1 — Scope of rules

PART 9

• § 9.1 — Scope of rules
• § 9.2 — Definitions
• § 9.3 — Provisions referenced
• § 9.4 — Filing and service; official docket
• § 9.5 — Motions
• § 9.6 — Sanctions for noncompliance
• § 9.7 — Settlement
• § 9.8 — Practice before the Commission
• § 9.9 — Waiver of rules; delegation of authority
• § 9.10 — [Reserved]
• § 9.11 — Form, contents and delivery of notice of disciplinary or access denial action
• § 9.12 — Effective date of disciplinary or access denial action
• § 9.13 — Publication of notice
• § 9.14-9.19 — 9.14-9.19 [Reserved]
• § 9.20 — Notice of appeal
• § 9.21 — Record of exchange proceeding
• § 9.22 — Appeal brief
• § 9.23 — Answering brief
• § 9.24 — Petition for stay pending review
• § 9.25 — Limited participation of interested persons
• § 9.26 — Participation of Commission staff
• § 9.27-9.29 — 9.27-9.29 [Reserved]
• § 9.30 — Scope of review
• § 9.31 — Commission review of disciplinary or access denial action on its own motion
• § 9.32 — Oral argument
• § 9.33 — Final decision by the Commission

PART 10

• § 10.1 — Scope and applicability of rules of practice
• § 10.2 — Definitions
• § 10.3 — Suspension, amendment, revocation and waiver of rules
• § 10.4 — Business address; hours
• § 10.5 — Computation of time
• § 10.6 — Changes in time permitted for filing
• § 10.7 — Date of entry of orders
• § 10.8 — Presiding officers
• § 10.9 — Separation of functions
• § 10.10 — Ex parte communications
• § 10.11 — Appearance in adjudicatory proceedings
• § 10.12 — Service and filing of documents; form and execution
• § 10.21 — Commencement of the proceeding
• § 10.22 — Complaint and notice of hearing
• § 10.23 — Answer
• § 10.24 — Amendments and supplemental pleadings
• § 10.25 — Form of pleadings
• § 10.26 — Motions and other papers
• § 10.31 — Parties
• § 10.32 — Substitution of parties
• § 10.33 — Intervention as a party
• § 10.34 — Limited participation
• § 10.35 — Permission to state views
• § 10.36 — Commission review of rulings
• § 10.41 — Prehearing conferences; procedural matters
• § 10.42 — Discovery
• § 10.43 — Stipulations
• § 10.44 — Depositions and interrogatories
• § 10.61 — Time and place of hearing
• § 10.62 — Appearances
• § 10.63 — Consolidation; separate hearings
• § 10.64 — Public hearings
• § 10.65 — Record of hearing
• § 10.66 — Conduct of the hearing
• § 10.67 — Evidence
• § 10.68 — Subpoenas
• § 10.69 — Reopening hearings
• § 10.81 — Filing the transcript of evidence
• § 10.82 — Proposed findings and conclusions; briefs
• § 10.83 — Oral arguments
• § 10.84 — Initial decision
• § 10.91 — Summary disposition
• § 10.92 — Shortened procedure
• § 10.93 — Obtaining default order
• § 10.94 — Setting aside of default
• § 10.101 — Interlocutory appeals
• § 10.102 — Review of initial decisions
• § 10.103 — Oral argument before the Commission
• § 10.104 — Scope of review; Commission decision
• § 10.105 — Review by Commission on its own initiative
• § 10.106 — Reconsideration; stay pending judicial review
• § 10.107 — Leave to adduce additional evidence
• § 10.108 — Settlements
• § 10.109 — Delegation of authority to Chief of the Opinions Section
• § 10.110 — Basis for issuance of restitution orders
• § 10.111 — Recommendation of procedure for implementing restitution
• § 10.112 — Administration of restitution
• § 10.113 — Right to challenge distribution of funds to customers
• § 10.114 — Acceleration of establishment of restitution procedure

PART 11

• § 11.1 — Scope and applicability of rules
• § 11.2 — Authority to conduct investigations
• § 11.3 — Confidentiality of investigations
• § 11.4 — Subpoenas
• § 11.5 — Transcripts
• § 11.6 — Oath; false statements
• § 11.7 — Rights of witnesses
• § 11.8 — Sequestration

PART 12

• § 12.1 — Scope and applicability of rules of practice relating to reparations
• § 12.2 — Definitions
• § 12.3 — Business address; hours
• § 12.4 — Suspension, amendment, revocation and waiver of rules
• § 12.5 — Computation of time
• § 12.6 — Extensions of time; adjournments; postponements
• § 12.7 — Ex parte communications in reparation proceedings
• § 12.8 — Separation of functions
• § 12.9 — Practice before the Commission
• § 12.10 — Service
• § 12.11 — Formalities of filing of documents with the Proceedings Clerk
• § 12.12 — Signature
• § 12.13 — Complaint; election of procedure
• § 12.14 — Withdrawal of complaint
• § 12.15 — Notification of complaint
• § 12.16 — Response to complaint
• § 12.17 — Satisfaction of complaint
• § 12.18 — Answer; election of procedure
• § 12.19 — Counterclaim
• § 12.20 — Response to counterclaim; reply; election of procedure
• § 12.21 — Voluntary dismissal
• § 12.22 — Default proceedings
• § 12.23 — Setting aside of default
• § 12.24 — Parallel proceedings
• § 12.25 — Filing fees
• § 12.26 — Commencement of a reparation proceeding
• § 12.27 — Termination of consideration of pleadings
• § 12.30 — Methods of discovery
• § 12.31 — Production of documents and tangible items
• § 12.32 — Depositions on written interrogatories
• § 12.33 — Admissions
• § 12.34 — Discovery by a decisionmaking official
• § 12.35 — Consequences of a party's failure to comply with a discovery order
• § 12.36 — Subpoenas to compel discovery
• § 12.100 — Scope and applicability of rules
• § 12.101 — Functions and responsibilities of the Administrative Judge
• § 12.102 — Disqualification of Administrative Judge
• § 12.103 — Filing of documents; subscription; service
• § 12.104 — Amendments to pleadings; motions
• § 12.105 — Submission of proof only in documentary or tangible form
• § 12.106 — Final decision and order
• § 12.200 — Scope and applicability of this subpart
• § 12.201 — Functions and responsibilities of the Administrative Judge
• § 12.202 — Disqualification of Administrative Judge
• § 12.203 — Filing of documents; subscription; service
• § 12.204 — Amended and supplemental pleadings
• § 12.205 — Motions
• § 12.206 — Pre-decision conferences
• § 12.207 — Summary disposition
• § 12.208 — Submissions of proof
• § 12.209 — Oral testimony
• § 12.210 — Initial decision
• § 12.300 — Scope and applicability of rules
• § 12.301-12.302 — 12.301-12.302 [Reserved]
• § 12.303 — Pre-decision conferences
• § 12.304 — Functions and responsibilities of the Administrative Law Judge
• § 12.305 — Disqualification of Administrative Law Judge
• § 12.306 — Filing of documents; subscription; service
• § 12.307 — Amended and supplemental pleadings
• § 12.308 — Motions
• § 12.309 — Interlocutory review by the Commission
• § 12.310 — Summary disposition
• § 12.311 — Disposing of proceeding or issues without oral hearing
• § 12.312 — Oral hearing
• § 12.313 — Subpoenas for attendance at an oral hearing
• § 12.314 — Initial decision
• § 12.315 — Consequences of overstating damages claims not in excess of $30,000
• § 12.400 — Scope and applicability of rules
• § 12.401 — Appeal to the Commission
• § 12.402 — Appeal of disposition of less than all claims or parties in a proceeding
• § 12.403 — Commission review on its own motion
• § 12.404 — The record of proceedings
• § 12.405 — Leave to adduce additional evidence
• § 12.406 — Final decision of the Commission
• § 12.407 — Satisfaction of reparation award; enforcement; sanctions
• § 12.408 — Delegation of authority to the General Counsel

PART 13

• § 13.1 — Petition for issuance, amendment, or repeal of a rule
• § 13.2 — [Reserved]

PART 14

• § 14.1 — Scope
• § 14.2 — Definitions of appearance and practice
• § 14.3 — Hearings
• § 14.4 — Violation of Commodity Exchange Act
• § 14.5 — Criminal conviction
• § 14.6 — Disbarment or suspension by licensing authority
• § 14.7 — Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding
• § 14.8 — Lack of requisite qualifications, character and integrity
• § 14.9 — Duty to file information concerning adverse judicial or administrative action
• § 14.10 — Reinstatement

PART 15

• § 15.00 — Definitions of terms used in parts 15 to 19, and 21 of this chapter
• § 15.01 — Persons required to report
• § 15.02 — Reporting forms
• § 15.03 — Reporting levels
• § 15.04 — Reportable trading volume level
• § 15.05 — Designation of agent for foreign persons
• § 15.06 — Delegations

PART 16

• § 16.00 — Clearing member reports
• § 16.01 — Publication of market data on futures, swaps and options thereon: trading volume, open contracts, prices, and critical dates
• § 16.02 — Daily trade and supporting data reports
• § 16.03-16.05 — 16.03-16.05 [Reserved]
• § 16.06 — Errors or omissions
• § 16.07 — Delegation of authority to the Director of the Division of Data and to the Director of the Division of Market Oversight

PART 17

• § 17.00 — Information to be furnished by futures commission merchants, clearing members and foreign brokers
• § 17.01 — Identification of special accounts, volume threshold accounts, and omnibus accounts
• § 17.02 — Form, manner and time of filing reports
• § 17.03 — Delegation of authority to the Director of the Division of Data or the Director of the Division of Market Oversight
• § 17.04 — Reporting omnibus accounts to reporting firms

PART 18

• § 18.00 — Information to be furnished by traders
• § 18.01 — Interest in or control of several accounts
• § 18.02 — [Reserved]
• § 18.03 — Delegation of authority
• § 18.04 — Statement of reporting trader
• § 18.05 — Maintenance of books and records
• § 18.06 — [Reserved]

PART 19

• § 19.00 — Who shall furnish information
• § 19.01 — [Reserved]
• § 19.02 — Reports pertaining to cotton on call purchases and sales
• § 19.03 — Delegation of authority to the Director of the Division of Enforcement
• § 19.04-19.10 — 19.04-19.10 [Reserved]

PART 20

• § 20.1 — Definitions
• § 20.2 — Covered contracts
• § 20.3 — Clearing organizations
• § 20.4 — Reporting entities
• § 20.5 — Series S filings
• § 20.6 — Maintenance of books and records
• § 20.7 — Form and manner of reporting and submitting information or filings
• § 20.8 — Delegation of authority
• § 20.9 — Sunset provision
• § 20.10 — Compliance schedule
• § 20.11 — Diversified commodity indices

PART 21

• § 21.00 — Preparation and transmission of information upon special call
• § 21.01 — Special calls for information on controlled accounts from futures commission merchants, clearing members and introducing brokers
• § 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
• § 21.03 — Selected special calls-duties of foreign brokers, domestic and foreign traders, futures commission merchants, clearing members, introducing brokers, and reporting markets
• § 21.04 — Special calls for information on customer accounts or related cleared positions
• § 21.05 — Delegation of authority
• § 21.06 — Delegation of authority to the Director of the Division of Clearing and Risk

PART 22

• § 22.1 — Definitions
• § 22.2 — Futures Commission Merchants: Treatment of Cleared Swaps and Associated Cleared Swaps Customer Collateral
• § 22.3 — Derivatives clearing organizations: Treatment of cleared swaps customer collateral
• § 22.4 — Futures Commission Merchants and derivatives clearing organizations: Permitted Depositories
• § 22.5 — Futures commission merchants and derivatives clearing organizations: Written acknowledgement
• § 22.6 — Futures commission merchants and derivatives clearing organizations: Naming of Cleared Swaps Customer Accounts
• § 22.7 — Permitted depositories: Treatment of Cleared Swaps Customer Collateral
• § 22.8 — Situs of Cleared Swaps Customer Accounts
• § 22.9 — Denomination of Cleared Swaps Customer Collateral and location of depositories
• § 22.10 — Application of other regulatory provisions
• § 22.11 — Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps
• § 22.12 — Information to be maintained regarding Cleared Swaps Customer Collateral
• § 22.13 — Additions to Cleared Swaps Customer Collateral
• § 22.14 — Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full
• § 22.15 — Treatment of Cleared Swaps Customer Collateral on an individual basis
• § 22.16 — Disclosures to Cleared Swaps Customers
• § 22.17 — Policies and procedures governing disbursements of Cleared Swaps Customer Collateral from Cleared Swaps Customer Accounts

PART 23

• § 23.1-23.20 — 23.1-23.20 [Reserved]
• § 23.21 — Registration of swap dealers and major swap participants
• § 23.22 — Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant
• § 23.23 — Cross-border application
• § 23.24-23.40 — 23.24-23.40 [Reserved]
• § 23.100 — Definitions applicable to capital requirements
• § 23.101 — Minimum financial requirements for swap dealers and major swap participants
• § 23.102 — Calculation of market risk exposure requirement and credit risk exposure requirement using internal models
• § 23.103 — Calculation of market risk exposure requirement and credit risk requirement when models are not approved
• § 23.104 — Equity Withdrawal Restrictions
• § 23.105 — Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants
• § 23.106 — Substituted compliance for swap dealer's and major swap participant's capital and financial reporting
• § 23.107-23.149 — 23.107-23.149 [Reserved]
• § 23.150 — Scope
• § 23.151 — Definitions applicable to margin requirements
• § 23.152 — Collection and posting of initial margin
• § 23.153 — Collection and posting of variation margin
• § 23.154 — Calculation of initial margin
• § 23.155 — Calculation of variation margin
• § 23.156 — Forms of margin
• § 23.157 — Custodial arrangements
• § 23.158 — Margin documentation
• § 23.159 — Special rules for affiliates
• § 23.160 — Cross-border application
• § 23.161 — Compliance dates
• § 23.162-23.199 — 23.162-23.199 [Reserved]
• § 23.200 — Definitions
• § 23.201 — Required records
• § 23.202 — Daily trading records
• § 23.203 — Records; retention and inspection
• § 23.204 — Reports to swap data repositories
• § 23.205 — Real-time public reporting
• § 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
• § 23.400 — Scope
• § 23.401 — Definitions
• § 23.402 — General provisions
• § 23.403-23.409 — 23.403-23.409 [Reserved]
• § 23.410 — Prohibition on fraud, manipulation, and other abusive practices
• § 23.411-23.429 — 23.411-23.429 [Reserved]
• § 23.430 — Verification of counterparty eligibility
• § 23.431 — Disclosures of material information
• § 23.432 — Clearing disclosures
• § 23.433 — Communications—fair dealing
• § 23.434 — Recommendations to counterparties—institutional suitability
• § 23.435-23.439 — 23.435-23.439 [Reserved]
• § 23.440 — Requirements for swap dealers acting as advisors to Special Entities
• § 23.441-23.449 — 23.441-23.449 [Reserved]
• § 23.450 — Requirements for swap entities acting as counterparties to Special Entities
• § 23.451 — Political contributions by certain swap dealers
• § 23.500 — Definitions
• § 23.501 — Swap confirmation
• § 23.502 — Portfolio reconciliation
• § 23.503 — Portfolio compression
• § 23.504 — Swap trading relationship documentation
• § 23.505 — End user exception documentation
• § 23.506 — Swap processing and clearing
• § 23.600 — Risk Management Program for swap dealers and major swap participants
• § 23.601 — Monitoring of position limits
• § 23.602 — Diligent supervision
• § 23.603 — Business continuity and disaster recovery
• § 23.604 — [Reserved]
• § 23.605 — Conflicts of interest policies and procedures
• § 23.606 — General information: availability for disclosure and inspection
• § 23.607 — Antitrust considerations
• § 23.608 — Restrictions on counterparty clearing relationships
• § 23.609 — Clearing member risk management
• § 23.610 — Clearing member acceptance for clearing
• § 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
• § 23.700 — Definitions
• § 23.701 — Notification of right to segregation
• § 23.702 — Requirements for segregated initial margin
• § 23.703 — Investment of segregated initial margin
• § 23.704 — Requirements for non-segregated margin

PART 30

• § 30.1 — Definitions
• § 30.2 — Applicability of the Act and rules
• § 30.3 — Prohibited transactions
• § 30.4 — Registration required
• § 30.5 — Alternative procedures for non-domestic persons
• § 30.6 — Disclosure
• § 30.7 — Treatment of foreign futures or foreign options secured amount
• § 30.8 — [Reserved]
• § 30.9 — Fraudulent transactions prohibited
• § 30.10 — Petitions for exemption
• § 30.11 — Applicability of state law
• § 30.12 — Direct foreign order transmittal
• § 30.13 — Commission certification

PART 31

• § 31.1-31.2 — 31.1-31.2 [Reserved]
• § 31.3 — Fraud in connection with certain transactions in silver or gold bullion or bulk coins, or other commodities
• § 31.4 — Definitions
• § 31.5 — Unlawful conduct
• § 31.6 — Registration of leverage commodities
• § 31.7 — Maintenance of minimum financial, cover and segregation requirements by leverage transaction merchants
• § 31.8 — Cover of leverage contracts
• § 31.9 — Minimum financial requirements
• § 31.10 — Repurchase and resale of leverage contracts by leverage transaction merchants
• § 31.11 — Disclosure
• § 31.12 — Segregation
• § 31.13 — Financial reports of leverage transaction merchants
• § 31.14 — Recordkeeping
• § 31.15 — Reporting to leverage customers
• § 31.16 — Monthly reporting requirements
• § 31.17 — Records of leverage transactions
• § 31.18 — Margin calls
• § 31.19 — Unlawful representations
• § 31.20 — Prohibition of guarantees against loss
• § 31.21 — Leverage contracts entered into prior to April 13, 1984; subsequent transactions
• § 31.22 — Prohibited trading in leverage contracts
• § 31.23 — Limited right to rescind first leverage contract
• § 31.24 — [Reserved]
• § 31.25 — Bid and ask prices; carrying charges
• § 31.26 — Quarterly reporting requirement
• § 31.27 — Registered futures association membership
• § 31.28 — Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements
• § 31.29 — Arbitration or other dispute settlement procedures

PART 32

• § 32.1 — Scope
• § 32.2 — Commodity option transactions; general authorization
• § 32.3 — Trade options
• § 32.4 — Fraud in connection with commodity option transactions
• § 32.5 — Option transactions entered into prior to the effective date of this part

PART 33

• § 33.1 — Definitions
• § 33.2 — Applicability of Act and rules; scope of part 33
• § 33.3 — Unlawful commodity option transactions
• § 33.4 — Designation as a contract market for the trading of commodity options
• § 33.5 — Application for designation as a contract market for the trading of commodity options
• § 33.6 — Suspension or revocation of designation as a contract market for the trading of commodity options
• § 33.7 — Disclosure
• § 33.8 — Promotional material
• § 33.9 — Unlawful activities
• § 33.10 — Fraud in connection with commodity option transactions
• § 33.11 — Exemptions

PART 34

• § 34.1 — Scope
• § 34.2 — Definitions
• § 34.3 — Hybrid instrument exemption

PART 35

• § 35.1 — Agricultural swaps, generally

PART 36

• § 36.1 — Exemptions to trade execution requirement

PART 37

• § 37.1 — Scope
• § 37.2 — Applicable provisions
• § 37.3 — Requirements and procedures for registration
• § 37.4 — Procedures for listing products and implementing rules
• § 37.5 — Information relating to swap execution facility compliance
• § 37.6 — Enforceability
• § 37.7 — Prohibited use of data collected for regulatory purposes
• § 37.8 — Boards of trade operating both a designated contract market and a swap execution facility
• § 37.9 — Methods of execution for required and permitted transactions
• § 37.10 — Process for a swap execution facility to make a swap available to trade
• § 37.11 — [Reserved]
• § 37.12 — Trade execution compliance schedule
• § 37.100 — Core Principle 1—Compliance with core principles
• § 37.200 — Core Principle 2—Compliance with rules
• § 37.201 — Operation of swap execution facility and compliance with rules
• § 37.202 — Access requirements
• § 37.203 — Rule enforcement program
• § 37.204 — Regulatory services provided by a third party
• § 37.205 — Audit trail
• § 37.206 — Disciplinary procedures and sanctions
• § 37.300 — Core Principle 3—Swaps not readily susceptible to manipulation
• § 37.301 — General requirements
• § 37.400 — Core Principle 4—Monitoring of trading and trade processing
• § 37.401 — General requirements
• § 37.402 — Additional requirements for physical-delivery swaps
• § 37.403 — Additional requirements for cash-settled swaps
• § 37.404 — Ability to obtain information
• § 37.405 — Risk controls for trading
• § 37.406 — Trade reconstruction
• § 37.407 — Regulatory service provider
• § 37.408 — Additional sources for compliance
• § 37.500 — Core Principle 5—Ability to obtain information
• § 37.501 — Establish and enforce rules
• § 37.502 — Collection of information
• § 37.503 — Provide information to the Commission
• § 37.504 — Information-sharing agreements
• § 37.600 — Core Principle 6—Position limits or accountability
• § 37.601 — Additional sources for compliance
• § 37.700 — Core Principle 7—Financial integrity of transactions
• § 37.701 — Required clearing
• § 37.702 — General financial integrity
• § 37.703 — Monitoring for financial soundness
• § 37.800 — Core Principle 8—Emergency authority
• § 37.801 — Additional sources for compliance
• § 37.900 — Core Principle 9—Timely publication of trading information
• § 37.901 — General requirements
• § 37.1000 — Core Principle 10—Recordkeeping and reporting
• § 37.1001 — Recordkeeping
• § 37.1100 — Core Principle 11—Antitrust considerations
• § 37.1101 — Additional sources for compliance
• § 37.1200 — Core Principle 12—Conflicts of interest
• § 37.1300 — Core Principle 13—Financial resources
• § 37.1301 — General requirements
• § 37.1302 — Types of financial resources
• § 37.1303 — Liquidity of financial resources
• § 37.1304 — Computation of costs to meet financial resources requirement
• § 37.1305 — Valuation of financial resources
• § 37.1306 — Reporting to the Commission
• § 37.1307 — Delegation of authority
• § 37.1400 — Core Principle 14—System safeguards
• § 37.1401 — Requirements
• § 37.1500 — Core Principle 15—Designation of chief compliance officer
• § 37.1501 — Chief compliance officer

PART 38

• § 38.1 — Scope
• § 38.2 — Exempt provisions
• § 38.3 — Procedures for designation
• § 38.4 — Procedures for listing products and implementing contract market rules
• § 38.5 — Information relating to contract market compliance
• § 38.6 — Enforceability
• § 38.7 — Prohibited use of data collected for regulatory purposes
• § 38.8 — Listing of swaps on a designated contract market
• § 38.9 — Boards of trade operating both a designated contract market and a swap execution facility
• § 38.10 — Reporting of swaps traded on a designated contract market
• § 38.11 — Trade execution compliance schedule
• § 38.12 — Process for a designated contract market to make a swap available to trade
• § 38.100 — Core Principle 1
• § 38.150 — Core Principle 2
• § 38.151 — Access requirements
• § 38.152 — Abusive trading practices prohibited
• § 38.153 — Capacity to detect and investigate rule violations
• § 38.154 — Regulatory services provided by a third party
• § 38.155 — Compliance staff and resources
• § 38.156 — Automated trade surveillance system
• § 38.157 — Real-time market monitoring
• § 38.158 — Investigations and investigation reports
• § 38.159 — Ability to obtain information
• § 38.160 — Additional sources for compliance
• § 38.200 — Core Principle 3
• § 38.201 — Additional sources for compliance
• § 38.250 — Core Principle 4
• § 38.251 — General requirements
• § 38.252 — Additional requirements for physical-delivery contracts
• § 38.253 — Additional requirements for cash-settled contracts
• § 38.254 — Ability to obtain information
• § 38.255 — Risk controls for trading
• § 38.256 — Trade reconstruction
• § 38.257 — Regulatory service provider
• § 38.258 — Additional sources for compliance
• § 38.300 — Core Principle 5
• § 38.301 — Position limitations and accountability
• § 38.350 — Core Principle 6
• § 38.351 — Additional sources for compliance
• § 38.400 — Core Principle 7
• § 38.401 — General requirements
• § 38.450 — Core Principle 8
• § 38.451 — Reporting of trade information
• § 38.500 — Core Principle 9
• § 38.550 — Core Principle 10
• § 38.551 — Audit trail required
• § 38.552 — Elements of an acceptable audit trail program
• § 38.553 — Enforcement of audit trail requirements
• § 38.600 — Core Principle 11
• § 38.601 — Mandatory clearing
• § 38.602 — General financial integrity
• § 38.603 — Protection of customer funds
• § 38.604 — Financial surveillance
• § 38.605 — Requirements for financial surveillance program
• § 38.606 — Financial regulatory services provided by a third party
• § 38.607 — Direct access
• § 38.650 — Core Principle 12
• § 38.651 — Protection of markets and market participants
• § 38.700 — Core Principle 13
• § 38.701 — Enforcement staff
• § 38.702 — Disciplinary panels
• § 38.703 — Notice of charges
• § 38.704 — Right to representation
• § 38.705 — Answer to charges
• § 38.706 — Denial of charges and right to hearing
• § 38.707 — Hearings
• § 38.708 — Decisions
• § 38.709 — Final decisions
• § 38.710 — Disciplinary sanctions
• § 38.711 — Warning letters
• § 38.712 — Additional sources for compliance
• § 38.750 — Core Principle 14
• § 38.751 — Additional sources for compliance
• § 38.800 — Core Principle 15
• § 38.801 — Additional sources for compliance
• § 38.850 — Core Principle 16
• § 38.851 — Additional sources for compliance
• § 38.900 — Core Principle 17
• § 38.950 — Core Principle 18
• § 38.951 — Additional sources for compliance
• § 38.1000 — Core Principle 19
• § 38.1001 — Additional sources for compliance
• § 38.1050 — Core Principle 20
• § 38.1051 — General requirements
• § 38.1100 — Core Principle 21
• § 38.1101 — General requirements
• § 38.1150 — Core Principle 22
• § 38.1200 — Core Principle 23
• § 38.1201 — Additional sources for compliance

PART 39

• § 39.1 — Scope
• § 39.2 — Definitions
• § 39.3 — Procedures for registration
• § 39.4 — Procedures for implementing derivatives clearing organization rules and clearing new products
• § 39.5 — Review of swaps for Commission determination on clearing requirement
• § 39.6 — Exemption from derivatives clearing organization registration
• § 39.7 — Enforceability
• § 39.8 — Fraud in connection with the clearing of transactions on a derivatives clearing organization
• § 39.9 — Scope
• § 39.10 — Compliance with core principles
• § 39.11 — Financial resources
• § 39.12 — Participant and product eligibility
• § 39.13 — Risk management
• § 39.14 — Settlement procedures
• § 39.15 — Treatment of funds
• § 39.16 — Default rules and procedures
• § 39.17 — Rule enforcement
• § 39.18 — System safeguards
• § 39.19 — Reporting
• § 39.20 — Recordkeeping
• § 39.21 — Public information
• § 39.22 — Information sharing
• § 39.23 — Antitrust considerations
• § 39.24 — Governance
• § 39.25 — Conflicts of interest
• § 39.26 — Composition of governing boards
• § 39.27 — Legal risk considerations
• § 39.28-39.29 — 39.28-39.29 [Reserved]
• § 39.30 — Scope
• § 39.31 — Election to become subject to the provisions of this subpart
• § 39.32 — [Reserved]
• § 39.33 — Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 39.34 — System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 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
• § 39.36 — Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 39.37 — Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 39.38 — Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 39.39 — Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations
• § 39.40 — Consistency with the Principles for Financial Market Infrastructures
• § 39.41 — Special enforcement authority for systemically important derivatives clearing organizations
• § 39.42 — Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations
• § 39.43-39.49 — 39.43-39.49 [Reserved]
• § 39.50 — Scope
• § 39.51 — Compliance with the core principles through compliance with home country regulatory regime

PART 40

• § 40.1 — Definitions
• § 40.2 — Listing products for trading by certification
• § 40.3 — Voluntary submission of new products for Commission review and approval
• § 40.4 — Amendments to terms or conditions of enumerated agricultural products
• § 40.5 — Voluntary submission of rules for Commission review and approval
• § 40.6 — Self-certification of rules
• § 40.7 — Delegations
• § 40.8 — Availability of public information
• § 40.9 — [Reserved]
• § 40.10 — Special certification procedures for submission of rules by systemically important derivatives clearing organizations
• § 40.11 — Review of event contracts based upon certain excluded commodities
• § 40.12 — Staying of certification and tolling of review period pending jurisdictional determination

PART 41

• § 41.1 — Definitions
• § 41.2 — Required records
• § 41.3 — Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act
• § 41.4-41.9 — 41.4-41.9 [Reserved]
• § 41.11 — Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index
• § 41.12 — Indexes underlying futures contracts trading for fewer than 30 days
• § 41.13 — Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade
• § 41.14 — Transition period for indexes that cease being narrow-based security indexes
• § 41.15 — Exclusion from definition of narrow-based security index for indexes composed of debt securities
• § 41.21 — Requirements for underlying securities
• § 41.22 — Required certifications
• § 41.23 — Listing of security futures products for trading
• § 41.24 — Rule amendments to security futures products
• § 41.25 — Additional conditions for trading for security futures products
• § 41.27 — Prohibition of dual trading in security futures products by floor brokers
• § 41.31 — Notice-designation requirements
• § 41.32 — Continuing obligations
• § 41.33 — Applications for exemptive orders
• § 41.34 — Exempt Provisions
• § 41.41 — Security futures products accounts
• § 41.42 — Customer margin requirements for security futures—authority, purpose, interpretation, and scope
• § 41.43 — Definitions
• § 41.44 — General provisions
• § 41.45 — Required margin
• § 41.46 — Type, form and use of margin
• § 41.47 — Withdrawal of margin
• § 41.48 — Undermargined accounts
• § 41.49 — Filing proposed margin rule changes with the Commission

PART 42

• § 42.1 — [Reserved]
• § 42.2 — Compliance with Bank Secrecy Act

PART 43

• § 43.1 — Purpose, scope, and rules of construction
• § 43.2 — Definitions
• § 43.3 — Method and timing for real-time public reporting
• § 43.4 — Swap transaction and pricing data to be publicly disseminated in real-time
• § 43.5 — Time delays for public dissemination of swap transaction and pricing data
• § 43.6 — Block trades and large notional off-facility swaps
• § 43.7 — Delegation of authority

PART 44

• § 44.00 — Definition of terms used in part 44 of this chapter
• § 44.01 — Effective date
• § 44.02 — Reporting pre-enactment swaps to a swap data repository or the Commission
• § 44.03 — Reporting transition swaps to a swap data repository or to the Commission

PART 45

• § 45.1 — Definitions
• § 45.2 — Swap recordkeeping
• § 45.3 — Swap data reporting: Creation data
• § 45.4 — Swap data reporting: Continuation data
• § 45.5 — Unique transaction identifiers
• § 45.6 — Legal entity identifiers
• § 45.7 — Unique product identifiers
• § 45.8 — Determination of which counterparty shall report
• § 45.9 — Third-party facilitation of data reporting
• § 45.10 — Reporting to a single swap data repository
• § 45.11 — Data reporting for swaps in a swap asset class not accepted by any swap data repository
• § 45.12 — [Reserved]
• § 45.13 — Required data standards
• § 45.14 — Correcting errors in swap data and verification of swap data accuracy
• § 45.15 — Delegation of authority

PART 46

• § 46.1 — Definitions
• § 46.2 — Recordkeeping for pre-enactment swaps and transition swaps
• § 46.3 — Data reporting for pre-enactment swaps and transition swaps
• § 46.4 — Unique identifiers
• § 46.5 — Determination of which counterparty must report
• § 46.6 — Third-party facilitation of data reporting
• § 46.7 — Reporting to a single swap data repository
• § 46.8 — Data reporting for swaps in a swap asset class not accepted by any swap data repository
• § 46.9 — Voluntary supplemental reporting
• § 46.10 — Required data standards
• § 46.11 — Reporting of errors and omissions in previously reported data

PART 48

• § 48.1 — Scope
• § 48.2 — Definitions
• § 48.3 — Registration required
• § 48.4 — Registration eligibility and scope
• § 48.5 — Registration procedures
• § 48.6 — [Reserved]
• § 48.7 — Requirements for registration
• § 48.8 — Conditions of registration
• § 48.9 — Revocation of registration
• § 48.10 — Additional contracts
• § 48.11 — Delegation of authority

PART 49

• § 49.1 — Scope
• § 49.2 — Definitions
• § 49.3 — Procedures for registration
• § 49.4 — Withdrawal from registration
• § 49.5 — Equity interest transfers
• § 49.6 — Request for transfer of registration
• § 49.7 — Swap data repositories located in foreign jurisdictions
• § 49.8 — Procedures for implementing swap data repository rules
• § 49.9 — Open swaps reports provided to the Commission
• § 49.10 — Acceptance and validation of data
• § 49.11 — Verification of swap data accuracy
• § 49.12 — Swap data repository recordkeeping requirements
• § 49.13 — Monitoring, screening and analyzing swap data
• § 49.14 — Monitoring, screening and analyzing end-user clearing exemption claims by individual and affiliated entities
• § 49.15 — Real-time public reporting by swap data repositories
• § 49.16 — Privacy and confidentiality requirements of swap data repositories
• § 49.17 — Access to SDR data
• § 49.18 — Confidentiality arrangement
• § 49.19 — Core principles applicable to swap data repositories
• § 49.20 — Governance arrangements (Core Principle 2)
• § 49.21 — Conflicts of interest (Core Principle 3)
• § 49.22 — Chief compliance officer
• § 49.23 — Emergency authority policies and procedures
• § 49.24 — System safeguards
• § 49.25 — Financial resources
• § 49.26 — Disclosure requirements of swap data repositories
• § 49.27 — Access and fees
• § 49.28 — Operating hours of swap data repositories
• § 49.29 — Information relating to swap data repository compliance
• § 49.30 — Form and manner of reporting and submitting information to the Commission
• § 49.31 — Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters

PART 50

• § 50.1 — Definitions
• § 50.2 — Treatment of swaps subject to a clearing requirement
• § 50.3 — Notice to the public
• § 50.4 — Classes of swaps required to be cleared
• § 50.5 — Swaps exempt from a clearing requirement
• § 50.6 — Delegation of Authority
• § 50.7-50.9 — [Reserved]
• § 50.10 — Prevention of evasion of the clearing requirement and abuse of an exception or exemption to the clearing requirement
• § 50.11-50.24 — [Reserved]
• § 50.25 — Clearing requirement compliance schedule
• § 50.26 — Swap clearing requirement compliance dates
• § 50.27-50.49 — 50.27-50.49 [Reserved]
• § 50.50 — Non-financial end-user exception to the clearing requirement
• § 50.51 — Cooperatives exempt from the clearing requirement
• § 50.52 — Affiliated entities exempt from the clearing requirement
• § 50.53 — Banks, savings associations, farm credit system institutions, and credit unions exempt from the clearing requirement
• § 50.75 — Swaps entered into by central banks or sovereign entities
• § 50.76 — Swaps entered into by international financial institutions
• § 50.77 — Interest rate swaps entered into by community development financial institutions
• § 50.78 — Swaps entered into by bank holding companies
• § 50.79 — Swaps entered into by savings and loan holding companies

PART 75

• § 75.1 — Authority, purpose, scope, and relationship to other authorities
• § 75.2 — Definitions
• § 75.3 — Prohibition on proprietary trading
• § 75.4 — Permitted underwriting and market making-related activities
• § 75.5 — Permitted risk-mitigating hedging activities
• § 75.6 — Other permitted proprietary trading activities
• § 75.7 — Limitations on permitted proprietary trading activities
• § 75.8-75.9 — 75.8-75.9 [Reserved]
• § 75.10 — Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund
• § 75.11 — Permitted organizing and offering, underwriting, and market making with respect to a covered fund
• § 75.12 — Permitted investment in a covered fund
• § 75.13 — Other permitted covered fund activities and investments
• § 75.14 — Limitations on relationships with a covered fund
• § 75.15 — Other limitations on permitted covered fund activities
• § 75.16 — Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities
• § 75.17-75.19 — 75.17-75.19 [Reserved]
• § 75.20 — Program for compliance; reporting
• § 75.21 — Termination of activities or investments; penalties for violations

PART 100

• § 100.1 — Delivery period required with respect to certain grains

PART 140

• § 140.1 — Headquarters office
• § 140.2 — Regional office—Regional Administrator
• § 140.10 — The Commission
• § 140.11 — Emergency action by the senior Commissioner available
• § 140.12 — Disposition of business by seriatim Commission consideration
• § 140.13 — Vacancy in position of Chairman
• § 140.14 — Delegation of authority to the Secretary of the Commission
• § 140.20 — Designation of senior official to oversee Commission use of national security information
• § 140.21 — Definitions
• § 140.22 — Procedures
• § 140.23 — General access requirements
• § 140.24 — Control and accountability procedures
• § 140.61 — [Reserved]
• § 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
• § 140.73 — Delegation of authority to disclose information to United States, States, and foreign government agencies and foreign futures authorities
• § 140.74 — Delegation of authority to issue special calls for Series 03 Reports
• § 140.75 — Delegation of authority to the Director of the Division of Clearing and Risk and to the Director of the Market Participants Division
• § 140.76 — Delegation of authority to disclose information in a receivership or bankruptcy proceeding
• § 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
• § 140.80 — Disclosure of information pursuant to a subpoena or summons
• § 140.81 — [Reserved]
• § 140.91 — Delegation of authority to the Director of the Division of Clearing and Risk and to the Market Participants Division
• § 140.92 — Delegation of authority to grant registrations and renewals thereof
• § 140.93 — Delegation of authority to the Director of the Market Participants Division
• § 140.94 — Delegation of authority to the Director of the Market Participants Division and to the Director of the Division of Clearing and Risk
• § 140.95 — Delegation of authority with respect to withdrawals from registration
• § 140.96 — Delegation of authority to publish in the Federal Register
• § 140.97 — [Reserved]
• § 140.98 — Publication of no-action, interpretative and exemption letters and other written communications
• § 140.99 — Requests for exemptive, no-action and interpretative letters
• § 140.735-1 — Authority and purpose
• § 140.735-2 — Prohibited transactions
• § 140.735-2a — Prohibited interests
• § 140.735-3 — Non-governmental employment and other outside activity
• § 140.735-4 — Receipt and disposition of foreign gifts and decorations
• § 140.735-5 — Disclosure of information
• § 140.735-6 — Practice by former members and employees of the Commission
• § 140.735-7 — Statutory violations applicable to conduct of Commission members and employees
• § 140.735-8 — Interpretative and advisory service

PART 141

• § 141.1 — Purpose and scope
• § 141.2 — Definitions
• § 141.3 — Applicability
• § 141.4 — Notice requirements
• § 141.5 — Hearing
• § 141.6 — Written decision
• § 141.7 — Coordinating offset with another Federal agency
• § 141.8 — Procedures for salary offset
• § 141.9 — Refunds
• § 141.10 — Statute of limitations
• § 141.11 — Non-waiver of rights
• § 141.12 — Interest, penalties, and administrative costs

PART 142

• § 142.1 — Purpose and scope
• § 142.2 — Policy

PART 143

• § 143.1 — Purpose
• § 143.2 — Notice of claim
• § 143.3 — Interest, penalty charges, and administrative costs
• § 143.4 — Collection by offset
• § 143.5 — Collection by compromise
• § 143.6 — Referral for litigation
• § 143.7 — Delegation of authority to the Executive Director
• § 143.8 — Inflation-adjusted civil monetary penalties
• § 143.9 — Administrative wage garnishment orders
• § 143.10 — Garnishment hearings

PART 144

• § 144.0 — Purpose and scope
• § 144.1 — Service upon the Commission
• § 144.2 — Service upon an employee or former employee of the Commission
• § 144.3 — Testimony by present or former Commission employees
• § 144.4 — Production or disclosure of records by present or former employees
• § 144.5 — Procedures when production or disclosure of Commission records or information relating to Commission business is sought
• § 144.6 — Fees

PART 145

• § 145.0 — Definitions
• § 145.1 — Information published in the Federal Register
• § 145.2 — Records available for public inspection and copying; documents published and indexed
• § 145.3 — [Reserved]
• § 145.4 — Public records available with identifying details deleted; nonpublic records available in abridged or summary form
• § 145.5 — Disclosure of nonpublic records
• § 145.6 — Commission offices to contact for assistance; registration records available
• § 145.7 — Requests for Commission records and copies thereof
• § 145.8 — Fees for records services
• § 145.9 — Petition for confidential treatment of information submitted to the Commission

PART 146

• § 146.1 — Purpose and scope
• § 146.2 — Definitions
• § 146.3 — Requests by an individual for information or access
• § 146.4 — Procedures for identifying the individual making the request
• § 146.5 — Disclosure of requested information to individuals; fee for copies of records
• § 146.6 — Disclosure to third parties
• § 146.7 — Content of systems of records
• § 146.8 — Amendment of a record
• § 146.9 — Appeals to the Commission
• § 146.10 — Information supplied by the Commission when collecting information from an individual
• § 146.11 — Public notice of records systems
• § 146.12 — Exemptions

PART 147

• § 147.1 — General policy considerations, purpose and scope of rules relating to open Commission meetings
• § 147.2 — Definitions
• § 147.3 — General requirement of open meetings; grounds upon which meetings may be closed
• § 147.4 — Procedure for announcing meetings
• § 147.5 — General procedure for closing meetings
• § 147.6 — Special procedure for closing certain meetings
• § 147.7 — Maintenance of transcripts, recordings and minutes of closed meetings
• § 147.8 — Public availability of transcripts, recordings and minutes of closed meetings
• § 147.9 — Requests for copies of transcripts, recordings or minutes of closed meetings
• § 147.10 — Interpretation of this part with other provisions

PART 148

• § 148.1 — Purpose of these rules
• § 148.2 — When the Act applies
• § 148.3 — Proceedings covered
• § 148.4 — Eligibility of applicants
• § 148.5 — Standards for awards
• § 148.6 — Allowable fees and expenses
• § 148.7 — Rulemaking on maximum rates for attorney fees
• § 148.8 — Awards against other agencies
• § 148.11 — Contents of application
• § 148.12 — Net worth exhibit
• § 148.13 — Documentation of fees and expenses
• § 148.14 — When an application may be filed
• § 148.21 — Filing and service of documents
• § 148.22 — Answer to application
• § 148.23 — Reply
• § 148.24 — Comments by other parties
• § 148.25 — Settlement
• § 148.26 — Further proceedings
• § 148.27 — Decision
• § 148.28 — Appeal to the Commission
• § 148.29 — Judicial review
• § 148.30 — Payment of award

PART 149

• § 149.101 — Purpose
• § 149.102 — Application
• § 149.103 — Definitions
• § 149.104-149.110 — 149.104-149.110 [Reserved]
• § 149.111 — Notice
• § 149.112-149.129 — 149.112-149.129 [Reserved]
• § 149.130 — General prohibitions against discrimination
• § 149.131-149.139 — 149.131-149.139 [Reserved]
• § 149.140 — Employment
• § 149.141-149.148 — 149.141-149.148 [Reserved]
• § 149.149 — Program accessibility: Discrimination prohibited
• § 149.150 — Program accessibility: Existing facilities
• § 149.151 — Program accessibility: New construction and alterations
• § 149.152-149.159 — 149.152-149.159 [Reserved]
• § 149.160 — Communications
• § 149.161-149.169 — 149.161-149.169 [Reserved]
• § 149.170 — Compliance procedures

PART 150

• § 150.1 — Definitions
• § 150.2 — Federal speculative position limits
• § 150.3 — Exemptions
• § 150.4 — Aggregation of positions
• § 150.5 — Exchange-set speculative position limits and exemptions therefrom
• § 150.6 — Scope
• § 150.7 — [Reserved]
• § 150.8 — Severability
• § 150.9 — Process for recognizing non-enumerated bona fide hedging transactions or positions with respect to Federal speculative position limits

PART 155

• § 155.1 — Definitions
• § 155.2 — Trading standards for floor brokers
• § 155.3 — Trading standards for futures commission merchants
• § 155.4 — Trading standards for introducing brokers
• § 155.5-155.6 — 155.5-155.6 [Reserved]
• § 155.10 — Exemptions

PART 156

• § 156.1 — Definition
• § 156.2 — Registration of broker association
• § 156.3 — Contract market program for enforcement
• § 156.4 — Disclosure of Broker Association Membership

PART 160

• § 160.1 — Purpose and scope
• § 160.2 — Model privacy form and examples
• § 160.3 — Definitions
• § 160.4 — Initial privacy notice to consumers required
• § 160.5 — Annual privacy notice to customers required
• § 160.6 — Information to be included in privacy notices
• § 160.7 — Form of opt out notice to consumers; opt out methods
• § 160.8 — Revised privacy notices
• § 160.9 — Delivering privacy and opt out notices
• § 160.10 — Limits on disclosure of nonpublic personal information to nonaffiliated third parties
• § 160.11 — Limits on redisclosure and reuse of information
• § 160.12 — Limits on sharing account number information for marketing purposes
• § 160.13 — Exception to opt out requirements for service providers and joint marketing
• § 160.14 — Exceptions to notice and opt out requirements for processing and servicing transactions
• § 160.15 — Other exceptions to notice and opt out requirements
• § 160.16 — Protection of Fair Credit Reporting Act
• § 160.17 — Relation to state laws
• § 160.18 — Effective date; compliance date; transition rule
• § 160.19-160.29 — 160.19-160.29 [Reserved]
• § 160.30 — Procedures to safeguard customer records and information

PART 162

• § 162.1 — Purpose and scope
• § 162.2 — Definitions
• § 162.3 — Affiliate marketing opt out and exceptions
• § 162.4 — Scope and duration of opt out
• § 162.5 — Contents of opt-out notice; consolidated and equivalent notices
• § 162.6 — Reasonable opportunity to opt out
• § 162.7 — Reasonable and simple methods of opting out
• § 162.8 — Acceptable delivery methods of opt-out notices
• § 162.9 — Renewal of opt out
• § 162.10-162.20 — 162.10-162.20 [Reserved]
• § 162.21 — Proper disposal of consumer information
• § 162.30 — Duties regarding the detection, prevention, and mitigation of identity theft
• § 162.31 — [Reserved]
• § 162.32 — Duties of card issuers regarding changes of address

PART 165

• § 165.1 — General
• § 165.2 — Definitions
• § 165.3 — Procedures for submitting original information
• § 165.4 — Confidentiality
• § 165.5 — Requirements for consideration of an award
• § 165.6 — Whistleblowers ineligible for an award
• § 165.7 — Procedures for award applications in Commission actions and related actions, and Commission award determinations
• § 165.8 — Amount of award
• § 165.9 — Criteria for determining amount of award
• § 165.10 — Contents of record for award determination
• § 165.11 — Awards based upon related actions
• § 165.12 — Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund
• § 165.13 — Appeals
• § 165.14 — Procedures applicable to the payment of awards
• § 165.15 — Administering the whistleblower program
• § 165.16 — No immunity
• § 165.17 — Awards to whistleblowers who engage in culpable conduct
• § 165.18 — Staff communications with whistleblowers from represented entities
• § 165.19 — Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes
• § 165.20 — Whistleblower anti-retaliation protections

PART 166

• § 166.1 — Definitions
• § 166.2 — Authorization to trade
• § 166.3 — Supervision
• § 166.4 — Branch offices
• § 166.5 — Dispute settlement procedures

PART 170

• § 170.1 — Demonstration of purposes (section 17(b)(1) of the Act)
• § 170.2 — Membership restrictions (section 17(b)(2) of the Act)
• § 170.3 — Fair and equitable representation of members (section 17(b)(5) of the Act)
• § 170.4 — Allocation of dues (section 17(b)(6) of the Act)
• § 170.5 — Prevention of fraudulent and manipulative practices (section 17(b)(7) of the Act)
• § 170.6 — Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act)
• § 170.7 — Membership denial (section 17(b)(9) of the Act)
• § 170.8 — Settlement of customer disputes (section 17(b)(10) of the Act)
• § 170.9 — General standard
• § 170.10 — Proficiency examinations (sections 4p and 17(p) of the Act)
• § 170.11 — Form of registration statement; review of registration statement
• § 170.12 — Delegation of Authority to Director of the Market Participants Division
• § 170.15 — Futures commission merchants
• § 170.16 — Swap dealers and major swap participants
• § 170.17 — Introducing brokers, commodity pool operators, and commodity trading advisors

PART 171

• § 171.1 — Scope of rules
• § 171.2 — Definitions
• § 171.3 — Business address; hours
• § 171.4 — Computation of time
• § 171.5 — Extension of time
• § 171.6 — Ex parte communications
• § 171.7 — [Reserved]
• § 171.8 — Filing with the Proceedings Clerk
• § 171.9 — Service
• § 171.10 — Motions
• § 171.11 — Sanctions
• § 171.12 — Settlement
• § 171.13 — Practice before the Commission
• § 171.14 — Waiver of rules
• § 171.20 — [Reserved]
• § 171.21 — Notice of final decision
• § 171.22 — Effective date of final decisions in disciplinary, membership denial and registration actions
• § 171.23 — Notice of appeal
• § 171.24 — Submission of the record
• § 171.25 — Appeal brief
• § 171.26 — Answering brief
• § 171.27 — Limited participation by interested persons
• § 171.28 — Participation by Commission staff
• § 171.30 — Scope of review
• § 171.31 — Commission review in the absence of an appeal
• § 171.32 — Oral argument
• § 171.33 — Final decision by the Commission
• § 171.34 — Standards of review
• § 171.40 — Notice of the commencement of a member responsibility action
• § 171.41 — Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association
• § 171.42 — Notice of a final decision of the National Futures Association in a member responsibility action
• § 171.43 — Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action
• § 171.44 — Notice of appeal
• § 171.45 — General procedures
• § 171.46 — Standards of review
• § 171.50 — Delegation to the General Counsel

PART 180

• § 180.1 — Prohibition on the employment, or attempted employment, of manipulative and deceptive devices
• § 180.2 — Prohibition on price manipulation

PART 190

• § 190.00 — Statutory authority, organization, core concepts, scope, and construction
• § 190.01 — Definitions
• § 190.02 — General
• § 190.03 — Notices and proofs of claims
• § 190.04 — Operation of the debtor's estate—customer property
• § 190.05 — Operation of the debtor's estate—general
• § 190.06 — Making and taking delivery under commodity contracts
• § 190.07 — Transfers
• § 190.08 — Calculation of funded net equity
• § 190.09 — Allocation of property and allowance of claims
• § 190.10 — Current records during business as usual
• § 190.11 — Scope and purpose of this subpart
• § 190.12 — Required reports and records
• § 190.13 — Prohibition on avoidance of transfers
• § 190.14 — Operation of the estate of the debtor subsequent to the filing date
• § 190.15 — Recovery and wind-down plans; default rules and procedures
• § 190.16 — Delivery
• § 190.17 — Calculation of net equity
• § 190.18 — Treatment of property
• § 190.19 — Support of daily settlement

PART 200

• § 200.1 — General statement and statutory authority
• § 200.2 — Statutory functions
• § 200.10 — The Commission
• § 200.11 — Headquarters Office—Regional Office relationships
• § 200.12 — Functional responsibilities
• § 200.13 — Chief Operating Officer
• § 200.13a — The Secretary of the Commission
• § 200.13b — Director of the Office of Public Affairs
• § 200.14 — Office of Administrative Law Judges
• § 200.15 — Office of International Affairs
• § 200.16 — [Reserved]
• § 200.16a — Inspector General
• § 200.17 — [Reserved]
• § 200.18 — Director of Division of Corporation Finance
• § 200.19a — Director of the Division of Trading and Markets
• § 200.19b — Director of the Division of Enforcement
• § 200.19c — Director of the Division of Examinations
• § 200.19d — Director of the Office of Municipal Securities
• § 200.19e — Director of the Office of Credit Ratings
• § 200.20a — [Reserved]
• § 200.20b — Director of Division of Investment Management
• § 200.21 — The General Counsel
• § 200.21a — The Ethics Counsel
• § 200.22 — The Chief Accountant
• § 200.23a — Director of the Division of Economic and Risk Analysis and Chief Economist
• § 200.23b — [Reserved]
• § 200.24 — Office of Financial Management
• § 200.24a — Director of the Office of Investor Education and Advocacy
• § 200.25-200.26 — 200.25-200.26 [Reserved]
• § 200.26a — Office of Information Technology
• § 200.27 — The Regional Directors
• § 200.28 — Issuance of instructions
• § 200.29 — Rules
• § 200.30-1 — Delegation of authority to Director of Division of Corporation Finance
• § 200.30-10 — Delegation of authority to Chief Administrative Law Judge
• § 200.30-11 — Delegation of authority to the Chief Accountant
• § 200.30-12 — [Reserved]
• § 200.30-13 — Delegation of authority to Chief Financial Officer
• § 200.30-14 — Delegation of authority to the General Counsel
• § 200.30-15 — Delegation of authority to Chief Operating Officer
• § 200.30-16 — [Reserved]
• § 200.30-17 — Delegation of authority to Director of Office of International Affairs
• § 200.30-18 — Delegation of authority to Director of the Division of Examinations
• § 200.30-19 — Delegation of authority to Director of the EDGAR Business Office
• § 200.30-2 — Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist
• § 200.30-3 — Delegation of authority to Director of Division of Trading and Markets
• § 200.30-3a — Delegation of authority to Director of the Office of Municipal Securities
• § 200.30-3b — Delegation of authority to Director of the Office of Credit Ratings
• § 200.30-4 — Delegation of authority to Director of Division of Enforcement
• § 200.30-5 — Delegation of authority to Director of Division of Investment Management
• § 200.30-6 — Delegation of authority to Regional Directors
• § 200.30-7 — Delegation of authority to Secretary of the Commission
• § 200.30-8 — [Reserved]
• § 200.30-9 — Delegation of authority to hearing officers
• § 200.40 — Joint disposition of business by Commission meeting
• § 200.41 — Quorum of the Commission
• § 200.42 — Disposition of business by seriatim Commission consideration
• § 200.43 — Disposition of business by exercise of authority delegated to individual Commissioner
• § 200.50 — Authority
• § 200.51 — Policy
• § 200.52 — Copies of the Canons
• § 200.53 — Preamble
• § 200.54 — Constitutional obligations
• § 200.55 — Statutory obligations
• § 200.56 — Personal conduct
• § 200.57 — Relationships with other members
• § 200.58 — Maintenance of independence
• § 200.59 — Relationship with persons subject to regulation
• § 200.60 — Qualification to participate in particular matters
• § 200.61 — Impressions of influence
• § 200.62 — Ex parte communications
• § 200.63 — Commission opinions
• § 200.64 — Judicial review
• § 200.65 — Legislative proposals
• § 200.66 — Investigations
• § 200.67 — Power to adopt rules
• § 200.68 — Promptness
• § 200.69 — Conduct toward parties and their counsel
• § 200.70 — Business promotions
• § 200.71 — Fiduciary relationships
• § 200.72 — Supervision of internal organization
• § 200.80 — Securities and Exchange Commission records and information
• § 200.81 — Publication of interpretative, no-action and certain exemption letters and other written communications
• § 200.82 — Public availability of materials filed pursuant to § 240.14a-8(d) and related materials
• § 200.83 — Confidential treatment procedures under the Freedom of Information Act
• § 200.110 — Purpose
• § 200.111 — Prohibitions; application; definitions
• § 200.112 — Duties of recipient; notice to participants
• § 200.113 — Opportunity to respond; interception
• § 200.114 — Sanctions
• § 200.200 — Purpose
• § 200.201 — General provisions
• § 200.202 — Offices, and information and submittals
• § 200.203 — Organization, and delegations of authority
• § 200.204 — Personnel, fiscal, and service functions
• § 200.205 — Effect upon existing Commission organization, delegations, and rules
• § 200.301 — Purpose and scope
• § 200.302 — Definitions
• § 200.303 — Procedures for making inquiries and requests for access
• § 200.304 — Responses to inquiries and requests for access
• § 200.305 — Requests for amendment or correction of records
• § 200.306 — Review of requests for amendment or correction
• § 200.307 — Requests for an accounting of record disclosures
• § 200.308 — Administrative appeals
• § 200.309 — Fees
• § 200.310 — Specific exemptions
• § 200.311 — Inspector General exemptions
• § 200.312 — [Reserved]
• § 200.400 — Open meetings
• § 200.401 — Definitions
• § 200.402 — Closed meetings
• § 200.403 — Notice of Commission meetings
• § 200.404 — General procedure for determination to close meeting
• § 200.405 — Special procedure for determination to close meeting
• § 200.406 — Certification by the General Counsel
• § 200.407 — Transcripts, minutes, and other documents concerning closed Commission meetings
• § 200.408 — Public access to transcripts and minutes of closed Commission meetings; record retention
• § 200.409 — Administrative appeals
• § 200.410 — Miscellaneous
• § 200.500 — Purpose
• § 200.501 — Applicability
• § 200.502 — Definition
• § 200.503 — Senior agency official
• § 200.504 — Oversight Committee
• § 200.505 — Original classification
• § 200.506 — Derivative classification
• § 200.507 — Declassification dates on derivative documents
• § 200.508 — Requests for mandatory review for declassification
• § 200.509 — Challenge to classification by Commission employees
• § 200.510 — Access by historical researchers
• § 200.511 — Access by former Presidential appointees
• § 200.550 — Purpose
• § 200.551 — Applicability
• § 200.552 — NEPA planning
• § 200.553 — Draft, final and supplemental impact statements
• § 200.554 — Public availability of information
• § 200.601 — Purpose
• § 200.602 — Application
• § 200.603 — Definitions
• § 200.604-200.609 — 200.604-200.609 [Reserved]
• § 200.610 — Self-evaluation
• § 200.611 — Notice
• § 200.612-200.629 — 200.612-200.629 [Reserved]
• § 200.630 — General prohibitions against discrimination
• § 200.631-200.639 — 200.631-200.639 [Reserved]
• § 200.640 — Employment
• § 200.641-200.648 — 200.641-200.648 [Reserved]
• § 200.649 — Program accessibility: Discrimination prohibited
• § 200.650 — Program accessibility: Existing facilities
• § 200.651 — Program accessibility: New construction and alterations
• § 200.652-200.659 — 200.652-200.659 [Reserved]
• § 200.660 — Communications
• § 200.661-200.669 — 200.661-200.669 [Reserved]
• § 200.670 — Compliance procedures
• § 200.671-200.699 — 200.671-200.699 [Reserved]
• § 200.735-1 — Purpose
• § 200.735-10 — Miscellaneous statutory provisions
• § 200.735-11 — Statement of employment and financial interests
• § 200.735-12 — Special Government employees
• § 200.735-13 — Disciplinary and other remedial action
• § 200.735-14 — Employees on leave of absence
• § 200.735-15 — Interpretive and advisory service
• § 200.735-16 — Delegation
• § 200.735-17 — Administration of the conduct regulation
• § 200.735-18 — Requests for waivers
• § 200.735-2 — Policy
• § 200.735-3 — General provisions
• § 200.735-4 — Outside employment and activities
• § 200.735-5 — Securities transactions
• § 200.735-6 — Action in case of personal interest
• § 200.735-7 — Negotiation for employment
• § 200.735-8 — Practice by former members and employees of the Commission
• § 200.735-9 — Indebtedness
• § 200.800 — OMB control numbers assigned pursuant to the Paperwork Reduction Act

PART 201

• § 201.31 — Purpose of these rules
• § 201.32 — When the Act applies
• § 201.33 — Proceedings covered
• § 201.34 — Eligibility of applicants
• § 201.35 — Standards for awards
• § 201.36 — Allowable fees and expenses
• § 201.37 — Delegations of authority
• § 201.41 — Contents of application
• § 201.42 — Net worth exhibit
• § 201.43 — Documentation of fees and expenses
• § 201.44 — When an application may be filed
• § 201.51 — Filing and service of documents
• § 201.52 — Answer to application
• § 201.53 — Reply
• § 201.54 — Settlement
• § 201.55 — Further proceedings
• § 201.56 — Decision
• § 201.57 — Commission review
• § 201.58 — Judicial review
• § 201.59 — Payment of award
• § 201.60 — [Reserved]
• § 201.100 — Scope of the rules of practice
• § 201.101 — Definitions
• § 201.102 — Appearance and practice before the Commission
• § 201.103 — Construction of rules
• § 201.104 — Business hours
• § 201.110 — Presiding officer
• § 201.111 — Hearing officer: Authority
• § 201.112 — Hearing officer: Disqualification and withdrawal
• § 201.120 — Ex parte communications
• § 201.121 — Separation of functions
• § 201.140 — Commission orders and decisions: Signature and availability
• § 201.141 — Orders and decisions: Service of orders instituting proceedings and other orders and decisions
• § 201.150 — Service of papers by parties
• § 201.151 — Filing of papers with the Commission: Procedure
• § 201.152 — Filing of papers: Form
• § 201.153 — Filing of papers: Signature requirement and effect
• § 201.154 — Motions
• § 201.155 — Default; motion to set aside default
• § 201.160 — Time computation
• § 201.161 — Extensions of time, postponements and adjournments
• § 201.180 — Sanctions
• § 201.190 — Confidential treatment of information in certain filings
• § 201.191 — Adjudications not required to be determined on the record after notice and opportunity for hearing
• § 201.192 — Rulemaking: Issuance, amendment and repeal of rules of general application
• § 201.193 — Applications by barred individuals for consent to associate
• § 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
• § 201.200 — Initiation of proceedings
• § 201.201 — Consolidation and severance of proceedings
• § 201.202 — Specification of procedures by parties in certain proceedings
• § 201.210 — Parties, limited participants and amici curiae
• § 201.220 — Answer to allegations
• § 201.221 — Prehearing conference
• § 201.222 — Prehearing submissions and disclosures
• § 201.230 — Enforcement and disciplinary proceedings: Availability of documents for inspection and copying
• § 201.231 — Enforcement and disciplinary proceedings: Production of witness statements
• § 201.232 — Subpoenas
• § 201.233 — Depositions upon oral examination
• § 201.234 — Depositions upon written questions
• § 201.235 — Introducing prior sworn statements or declarations
• § 201.240 — Settlement
• § 201.250 — Dispositive motions
• § 201.300 — Hearings
• § 201.301 — Hearings to be public
• § 201.302 — Record of hearings
• § 201.310 — Failure to appear at hearings: Default
• § 201.320 — Evidence: Admissibility
• § 201.321 — Evidence: Objections and offers of proof
• § 201.322 — Evidence: Confidential information, protective orders
• § 201.323 — Evidence: Official notice
• § 201.324 — Evidence: Stipulations
• § 201.325 — Evidence: Presentation under oath or affirmation
• § 201.326 — Evidence: Presentation, rebuttal and cross-examination
• § 201.340 — Proposed findings, conclusions and supporting briefs
• § 201.350 — Record in proceedings before hearing officer; retention of documents; copies
• § 201.351 — Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification
• § 201.360 — Initial decision of hearing officer and timing of hearing
• § 201.400 — Interlocutory review
• § 201.401 — Consideration of stays
• § 201.410 — Appeal of initial decisions by hearing officers
• § 201.411 — Commission consideration of initial decisions by hearing officers
• § 201.420 — Appeal of determinations by self-regulatory organizations
• § 201.421 — Commission consideration of determinations by self-regulatory organizations
• § 201.430 — Appeal of actions made pursuant to delegated authority
• § 201.431 — Commission consideration of actions made pursuant to delegated authority
• § 201.440 — Appeal of determinations by the Public Company Accounting Oversight Board
• § 201.441 — Commission consideration of Board determinations
• § 201.442 — Appeal of determination by security-based swap execution facility
• § 201.443 — Commission consideration of security-based swap execution facility determinations
• § 201.450 — Briefs filed with the Commission
• § 201.451 — Oral argument before the Commission
• § 201.452 — Additional evidence
• § 201.460 — Record before the Commission
• § 201.470 — Reconsideration
• § 201.490 — Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1)
• § 201.500 — Expedited consideration of proceedings
• § 201.510 — Temporary cease-and-desist orders: Application process
• § 201.511 — Temporary cease-and-desist orders: Notice; procedures for hearing
• § 201.512 — Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing
• § 201.513 — Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing
• § 201.514 — Temporary cease-and-desist orders: Judicial review; duration
• § 201.520 — Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application
• § 201.521 — Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application
• § 201.522 — Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order
• § 201.523 — [Reserved]
• § 201.524 — Suspension of registrations: Duration
• § 201.530 — Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision
• § 201.531 — Initial decision on permanent order: Effect on temporary order
• § 201.540 — Appeal and Commission review of initial decision making a temporary order permanent
• § 201.550 — Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A)
• § 201.600 — Interest on sums disgorged
• § 201.601 — Prompt payment of disgorgement, interest and penalties
• § 201.610-201.614 — 201.610-201.614 [Reserved]
• § 201.620 — [Reserved]
• § 201.630 — Inability to pay disgorgement, interest or penalties
• § 201.700 — Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments
• § 201.701 — Issuance of order
• § 201.900 — Informal procedures and supplementary information concerning adjudicatory proceedings
• § 201.1001 — Adjustment of civil monetary penalties
• § 201.1100 — Creation of Fair Fund
• § 201.1101 — Submission of plan of distribution; contents of plan
• § 201.1102 — Provisions for payment
• § 201.1103 — Notice of proposed plan and opportunity for comment by non-parties
• § 201.1104 — Order approving, modifying, or disapproving proposed plan
• § 201.1105 — Administration of plan
• § 201.1106 — Right to challenge

PART 202

• § 202.1 — General
• § 202.2 — Pre-filing assistance and interpretative advice
• § 202.3 — Processing of filings
• § 202.3a — Instructions for filing fees
• § 202.4 — Facilitating administrative hearings
• § 202.5 — Enforcement activities
• § 202.6 — Adoption, revision, and rescission of rules and regulations of general application
• § 202.7 — Submittals
• § 202.8 — Small entity compliance guides
• § 202.9 — Small entity enforcement penalty reduction policy
• § 202.10 — Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media
• § 202.12 — Policy statement concerning cooperation by individuals in its investigations and related enforcement actions
• § 202.13 — Informal procedure with respect to applications under the Investment Company Act of 1940
• § 202.14 — Policy statement concerning agency referrals for potential criminal enforcement
• § 202.140 — Interim Commission review of PCAOB inspection reports
• § 202.150 — Commission approval of appointment or removal from office of Public Company Accounting Oversight Board hearing officers
• § 202.170 — Initiation of disapproval proceedings for PCAOB proposed rules
• § 202.190 — Public Company Accounting Oversight Board budget approval process

PART 203

• § 203.1 — Application of the rules of this part
• § 203.2 — Information obtained in investigations and examinations
• § 203.3 — Suspension and disbarment
• § 203.4 — Applicability of §§ 203.4 through 203.8
• § 203.5 — Non-public formal investigative proceedings
• § 203.6 — Transcripts
• § 203.7 — Rights of witnesses
• § 203.8 — Service of subpoenas

PART 204

• § 204.1 — Applicability and scope
• § 204.2 — Definitions
• § 204.3 — General
• § 204.4 — Demand for payment—notice
• § 204.5 — Debtor's failure to respond
• § 204.6 — Agency review
• § 204.7 — Hearing
• § 204.8 — Written agreement for repayment
• § 204.9 — Administrative offset procedures
• § 204.10 — [Reserved]
• § 204.11 — Jeopardy procedure
• § 204.12-204.29 — 204.12-204.29 [Reserved]
• § 204.30 — Purpose and scope
• § 204.31 — Excluded debts or claims
• § 204.32 — Definitions
• § 204.33 — Pre-offset notice
• § 204.34 — Employee response
• § 204.35 — Petition for pre-offset hearing
• § 204.36 — Granting of a pre-offset hearing
• § 204.37 — Extensions of time
• § 204.38 — Pre-offset hearing
• § 204.39 — Written decision
• § 204.40 — Deductions
• § 204.41 — Non-waiver of rights
• § 204.42 — Refunds
• § 204.43 — Coordinating offset with another federal agency
• § 204.44 — Interest, penalties, and administrative costs
• § 204.50 — Purpose
• § 204.51 — [Reserved]
• § 204.52 — Notification of intent to collect
• § 204.53 — [Reserved]
• § 204.54 — Commission action as a result of consideration of evidence submitted in response to the notice of intent
• § 204.55 — Change in notification to Financial Management Service
• § 204.56 — Administrative charges
• § 204.57-204.59 — 204.57-204.59 [Reserved]
• § 204.60 — Purpose
• § 204.61 — Scope
• § 204.62 — Definitions
• § 204.63 — Notice
• § 204.64 — Hearing
• § 204.65 — Wage garnishment order
• § 204.75 — Collection services
• § 204.76 — Use of credit bureau or consumer reporting agencies
• § 204.77 — Referrals to collection agencies

PART 205

• § 205.1 — Purpose and scope
• § 205.2 — Definitions
• § 205.3 — Issuer as client
• § 205.4 — Responsibilities of supervisory attorneys
• § 205.5 — Responsibilities of a subordinate attorney
• § 205.6 — Sanctions and discipline
• § 205.7 — No private right of action

PART 209

• § 209.0-1 — Availability of forms
• § 209.1 — Form D-A: Disclosure of assets and financial information

PART 210

• § 210.1-01 — Application of Regulation S-X (17 CFR part 210)
• § 210.1-02 — Definitions of terms used in Regulation S-X (17 CFR part 210)
• § 210.2-01 — Qualifications of accountants
• § 210.2-02 — Accountants' reports and attestation reports
• § 210.2-03 — Examination of financial statements by foreign government auditors
• § 210.2-04 — Examination of financial statements of persons other than the registrant
• § 210.2-05 — Examination of financial statements by more than one accountant
• § 210.2-06 — Retention of audit and review records
• § 210.2-07 — Communication with audit committees
• § 210.3-01 — Consolidated balance sheets
• § 210.3-02 — Consolidated statements of comprehensive income and cash flows
• § 210.3-03 — Instructions to statement of comprehensive income requirements
• § 210.3-04 — Changes in stockholders' equity and noncontrolling interests
• § 210.3-05 — Financial statements of businesses acquired or to be acquired
• § 210.3-06 — Financial statements covering a period of nine to twelve months
• § 210.3-07 — 210.3-07-210.3-08 [Reserved]
• § 210.3-09 — Separate financial statements of subsidiaries not consolidated and 50 percent or less owned persons
• § 210.3-10 — Financial statements of guarantors and issuers of guaranteed securities registered or being registered
• § 210.3-11 — Financial statements of an inactive registrant
• § 210.3-12 — Age of financial statements at effective date of registration statement or at mailing date of proxy statement
• § 210.3-13 — Filing of other financial statements in certain cases
• § 210.3-14 — Special instructions for financial statements of real estate operations acquired or to be acquired
• § 210.3-15 — Special provisions as to real estate investment trusts
• § 210.3-16 — Financial statements of affiliates whose securities collateralize an issue registered or being registered
• § 210.3-17 — Financial statements of natural persons
• § 210.3-18 — Special provisions as to registered management investment companies and companies required to be registered as management investment companies
• § 210.3-19 — [Reserved]
• § 210.3-20 — Currency for financial statements
• § 210.3A-01 — [Reserved]
• § 210.3A-02 — Consolidated financial statements of the registrant and its subsidiaries
• § 210.3A-03 — Statement as to principles of consolidation or combination followed
• § 210.3A-04 — [Reserved]
• § 210.4-01 — Form, order, and terminology
• § 210.4-02 — Items not material
• § 210.4-03 — Inapplicable captions and omission of unrequired or inapplicable financial statements
• § 210.4-04 — Omission of substantially identical notes
• § 210.4-05 — 210.4-05-210.4-06 [Reserved]
• § 210.4-07 — Discount on shares
• § 210.4-08 — General notes to financial statements
• § 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
• § 210.4-9 — [Reserved]
• § 210.5-01 — Application of §§ 210.5-01 to 210.5-04
• § 210.5-02 — Balance sheets
• § 210.5-03 — Statements of comprehensive income
• § 210.5-04 — What schedules are to be filed
• § 210.6-01 — Application of §§ 210.6-01 to 210.6-11
• § 210.6-02 — Definition of certain terms
• § 210.6-03 — Special rules of general application to registered investment companies and business development companies
• § 210.6-04 — Balance sheets
• § 210.6-05 — Statements of net assets
• § 210.6-06 — Special provisions applicable to the balance sheets of issuers of face-amount certificates
• § 210.6-07 — Statements of operations
• § 210.6-08 — Special provisions applicable to the statements of operations of issuers of face-amount certificates
• § 210.6-09 — Statements of changes in net assets
• § 210.6-10 — What schedules are to be filed
• § 210.6-11 — Financial statements of funds acquired or to be acquired
• § 210.6A-01 — Application of §§ 210.6A-01 to 210.6A-05
• § 210.6A-02 — Special rules applicable to employee stock purchase, savings and similar plans
• § 210.6A-03 — Statements of financial condition
• § 210.6A-04 — Statements of comprehensive income and changes in plan equity
• § 210.6A-05 — What schedules are to be filed
• § 210.7-01 — Application of §§ 210.7-01 to 210.7-05
• § 210.7-02 — General requirement
• § 210.7-03 — Balance sheets
• § 210.7-04 — Statements of comprehensive income
• § 210.7-05 — What schedules are to be filed
• § 210.8-01 — General requirements for Article 8
• § 210.8-02 — Annual financial statements
• § 210.8-03 — Interim financial statements
• § 210.8-04 — Financial statements of businesses acquired or to be acquired
• § 210.8-05 — Pro forma financial information
• § 210.8-06 — Real estate operations acquired or to be acquired
• § 210.8-07 — Limited partnerships
• § 210.8-08 — Age of financial statements
• § 210.9-01 — Application of §§ 210.9-01 to 210.9-07
• § 210.9-02 — General requirement
• § 210.9-03 — Balance sheets
• § 210.9-04 — Statements of comprehensive income
• § 210.9-05 — Foreign activities
• § 210.9-06 — Condensed financial information of registrant
• § 210.9-07 — [Reserved]
• § 210.10-01 — Interim financial statements
• § 210.11-01 — Presentation requirements
• § 210.11-02 — Preparation requirements
• § 210.11-03 — Presentation of financial forecast
• § 210.12-01 — Application of §§ 210.12-01 to 210.12-29
• § 210.12-02 — 210.12-02-210.12-03 [Reserved]
• § 210.12-04 — Condensed financial information of registrant
• § 210.12-05 — [Reserved]
• § 210.12-09 — Valuation and qualifying accounts
• § 210.12-10 — 210.12-10-210.12-11 [Reserved]
• § 210.12-12 — Investments in securities of unaffiliated issuers
• § 210.12-12A — Investments—securities sold short
• § 210.12-12B — Summary schedule of investments in securities of unaffiliated issuers
• § 210.12-12C — [Reserved]
• § 210.12-13 — Open option contracts written
• § 210.12-13A — Open futures contracts
• § 210.12-13B — Open forward foreign currency contracts
• § 210.12-13C — Open swap contracts
• § 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
• § 210.12-14 — Investments in and advances to affiliates
• § 210.12-15 — Summary of investments—other than investments in related parties
• § 210.12-16 — Supplementary insurance information
• § 210.12-17 — Reinsurance
• § 210.12-18 — Supplemental information (for property-casualty insurance underwriters)
• § 210.12-21 — Investments in securities of unaffiliated issuers
• § 210.12-22 — Investments in and advances to affiliates and income thereon
• § 210.12-23 — Mortgage loans on real estate and interest earned on mortgages. 1
• § 210.12-24 — Real estate owned and rental income. 1
• § 210.12-25 — Supplementary profit and loss information
• § 210.12-26 — Certificate reserves
• § 210.12-27 — Qualified assets on deposit. 1
• § 210.12-28 — Real estate and accumulated depreciation. 1
• § 210.12-29 — Mortgage loans on real estate. 1
• § 210.13-01 — Guarantors and issuers of guaranteed securities registered or being registered
• § 210.13-02 — Affiliates whose securities collateralize securities registered or being registered
• § 210.14-01-02 — 210.14-01-02 xxx
• § 210.15-01 — Acquisitions of businesses by a shell company (other than a business combination related shell company)

PART 227

• § 227.100 — Crowdfunding exemption and requirements
• § 227.201 — Disclosure requirements
• § 227.202 — Ongoing reporting requirements
• § 227.203 — Filing requirements and form
• § 227.204 — Advertising
• § 227.205 — Promoter compensation
• § 227.206 — Solicitations of interest and other communications
• § 227.300 — Intermediaries
• § 227.301 — Measures to reduce risk of fraud
• § 227.302 — Account opening
• § 227.303 — Requirements with respect to transactions
• § 227.304 — Completion of offerings, cancellations and reconfirmations
• § 227.305 — Payments to third parties
• § 227.400 — Registration of funding portals
• § 227.401 — Exemption
• § 227.402 — Conditional safe harbor
• § 227.403 — Compliance
• § 227.404 — Records to be made and kept by funding portals
• § 227.501 — Restrictions on resales
• § 227.502 — Insignificant deviations from a term, condition or requirement of this part (Regulation Crowdfunding)
• § 227.503 — Disqualification provisions
• § 227.504 — Definition of “qualified purchaser”

PART 229

• § 229.10 — (Item 10) General
• § 229.101 — (Item 101) Description of business
• § 229.102 — (Item 102) Description of property
• § 229.103 — (Item 103) Legal proceedings
• § 229.104 — (Item 104) Mine safety disclosure
• § 229.105 — (Item 105) Risk factors
• § 229.106 — (Item 106) Cybersecurity
• § 229.201 — (Item 201) Market price of and dividends on the registrant's common equity and related stockholder matters
• § 229.202 — (Item 202) Description of registrant's securities
• § 229.301 — [Reserved]
• § 229.302 — (Item 302) Supplementary financial information
• § 229.303 — (Item 303) Management's discussion and analysis of financial condition and results of operations
• § 229.304 — (Item 304) Changes in and disagreements with accountants on accounting and financial disclosure
• § 229.305 — (Item 305) Quantitative and qualitative disclosures about market risk
• § 229.306 — [Reserved]
• § 229.307 — (Item 307) Disclosure controls and procedures
• § 229.308 — (Item 308) Internal control over financial reporting
• § 229.401 — (Item 401) Directors, executive officers, promoters and control persons
• § 229.402 — (Item 402) Executive compensation
• § 229.403 — (Item 403) Security ownership of certain beneficial owners and management
• § 229.404 — (Item 404) Transactions with related persons, promoters and certain control persons
• § 229.405 — (Item 405) Compliance with Section 16(a) of the Exchange Act
• § 229.406 — (Item 406) Code of ethics
• § 229.407 — (Item 407) Corporate governance
• § 229.408 — (Item 408) Insider trading arrangements and policies
• § 229.501 — (Item 501) Forepart of Registration Statement and Outside Front Cover Page of Prospectus
• § 229.502 — (Item 502) Inside front and outside back cover pages of prospectus
• § 229.503 — (Item 503) Prospectus summary
• § 229.504 — (Item 504) Use of proceeds
• § 229.505 — (Item 505) Determination of offering price
• § 229.506 — (Item 506) Dilution
• § 229.507 — (Item 507) Selling security holders
• § 229.508 — (Item 508) Plan of distribution
• § 229.509 — (Item 509) Interests of named experts and counsel
• § 229.510 — (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities
• § 229.511 — (Item 511) Other expenses of issuance and distribution
• § 229.512 — (Item 512) Undertakings
• § 229.601 — (Item 601) Exhibits
• § 229.701 — (Item 701) Recent sales of unregistered securities; use of proceeds from registered securities
• § 229.702 — (Item 702) Indemnification of directors and officers
• § 229.703 — (Item 703) Purchases of equity securities by the issuer and affiliated purchasers
• § 229.801 — Securities Act industry guides
• § 229.802 — Exchange Act industry guides
• § 229.901 — (Item 901) Definitions
• § 229.902 — (Item 902) Individual partnership supplements
• § 229.903 — (Item 903) Summary
• § 229.904 — (Item 904) Risk factors and other considerations
• § 229.905 — (Item 905) comparative information
• § 229.906 — (Item 906) Allocation of roll-up consideration
• § 229.907 — (Item 907) Background of the roll-up transaction
• § 229.908 — (Item 908) Reasons for and alternatives to the roll-up transaction
• § 229.909 — (Item 909) Conflicts of interest
• § 229.910 — (Item 910) Fairness of the transaction
• § 229.911 — (Item 911) Reports, opinions and appraisals
• § 229.912 — (Item 912) Source and amount of funds and transactional expenses
• § 229.913 — (Item 913) Other provisions of the transaction
• § 229.914 — (Item 914) Pro forma financial statements: selected financial data
• § 229.915 — (Item 915) Federal income tax consequences
• § 229.1000 — (Item 1000) Definitions
• § 229.1001 — (Item 1001) Summary term sheet
• § 229.1002 — (Item 1002) Subject company information
• § 229.1003 — (Item 1003) Identity and background of filing person
• § 229.1004 — (Item 1004) Terms of the transaction
• § 229.1005 — (Item 1005) Past contacts, transactions, negotiations and agreements
• § 229.1006 — (Item 1006) Purposes of the transaction and plans or proposals
• § 229.1007 — (Item 1007) Source and amount of funds or other consideration
• § 229.1008 — (Item 1008) Interest in securities of the subject company
• § 229.1009 — (Item 1009) Persons/assets, retained, employed, compensated or used
• § 229.1010 — (Item 1010) Financial statements
• § 229.1011 — (Item 1011) Additional information
• § 229.1012 — (Item 1012) The solicitation or recommendation
• § 229.1013 — (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction
• § 229.1014 — (Item 1014) Fairness of the going-private transaction
• § 229.1015 — (Item 1015) Reports, opinions, appraisals and negotiations
• § 229.1016 — (Item 1016) Exhibits
• § 229.1100 — (Item 1100) General
• § 229.1101 — (Item 1101) Definitions
• § 229.1102 — (Item 1102) Forepart of registration statement and outside cover page of the prospectus
• § 229.1103 — (Item 1103) Transaction summary and risk factors
• § 229.1104 — (Item 1104) Sponsors
• § 229.1105 — (Item 1105) Static pool information
• § 229.1106 — (Item 1106) Depositors
• § 229.1107 — (Item 1107) Issuing entities
• § 229.1108 — (Item 1108) Servicers
• § 229.1109 — (Item 1109) Trustees and other transaction parties
• § 229.1110 — (Item 1110) Originators
• § 229.1111 — (Item 1111) Pool assets
• § 229.1112 — (Item 1112) Significant obligors of pool assets
• § 229.1113 — (Item 1113) Structure of the transaction
• § 229.1114 — (Item 1114) Credit enhancement and other support, except for certain derivatives instruments
• § 229.1115 — (Item 1115) Certain derivatives instruments
• § 229.1116 — (Item 1116) Tax matters
• § 229.1117 — (Item 1117) Legal proceedings
• § 229.1118 — (Item 1118) Reports and additional information
• § 229.1119 — (Item 1119) Affiliations and certain relationships and related transactions
• § 229.1120 — (Item 1120) Ratings
• § 229.1121 — (Item 1121) Distribution and pool performance information
• § 229.1122 — (Item 1122) Compliance with applicable servicing criteria
• § 229.1123 — (Item 1123) Servicer compliance statement
• § 229.1124 — (Item 1124) Sponsor interest in the securities
• § 229.1125 — (Item 1125) Schedule AL—Asset-level information
• § 229.1201 — (Item 1201) General instructions to oil and gas industry-specific disclosures
• § 229.1202 — (Item 1202) Disclosure of reserves
• § 229.1203 — (Item 1203) Proved undeveloped reserves
• § 229.1204 — (Item 1204) Oil and gas production, production prices and production costs
• § 229.1205 — (Item 1205) Drilling and other exploratory and development activities
• § 229.1206 — (Item 1206) Present activities
• § 229.1207 — (Item 1207) Delivery commitments
• § 229.1208 — (Item 1208) Oil and gas properties, wells, operations, and acreage
• § 229.1300 — (Item 1300) Definitions
• § 229.1301 — (Item 1301) General instructions
• § 229.1302 — (Item 1302) Qualified person, technical report summary, and technical studies
• § 229.1303 — (Item 1303) Summary disclosure
• § 229.1304 — (Item 1304) Individual property disclosure
• § 229.1305 — (Item 1305) Internal controls disclosure
• § 229.1401 — (Item 1401) General instructions
• § 229.1402 — (Item 1402) Distribution of assets, liabilities and stockholders' equity; interest rates and interest differential
• § 229.1403 — (Item 1403) Investments in debt securities
• § 229.1404 — (Item 1404) Loan portfolio
• § 229.1405 — (Item 1405) Allowance for Credit Losses
• § 229.1406 — (Item 1406) Deposits
• § 229.1601 — (Item 1601) Definitions
• § 229.1602 — (Item 1602) Registered offerings by special purpose acquisition companies
• § 229.1603 — (Item 1603) SPAC sponsor; conflicts of interest
• § 229.1604 — (Item 1604) De-SPAC transactions
• § 229.1605 — (Item 1605) Background of and reasons for the de-SPAC transaction; terms of the de-SPAC transaction; effects
• § 229.1606 — (Item 1606) Board determination about the de-SPAC transaction
• § 229.1607 — (Item 1607) Reports, opinions, appraisals, and negotiations
• § 229.1608 — (Item 1608) Tender offer filing obligations
• § 229.1609 — (Item 1609) Projections in de-SPAC transactions
• § 229.1610 — (Item 1610) Structured data requirement

PART 230

• § 230.100 — Definitions of terms used in the rules and regulations
• § 230.110 — Business hours of the Commission
• § 230.111 — Payment of filing fees
• § 230.120 — Inspection of registration statements
• § 230.122 — Non-disclosure of information obtained in the course of examinations and investigations
• § 230.130 — Definition of “rules and regulations” as used in certain sections of the Act
• § 230.131 — Definition of security issued under governmental obligations
• § 230.132 — Definition of “common trust fund” as used in section 3(a)(2) of the Act
• § 230.133 — Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”
• § 230.134 — Communications not deemed a prospectus
• § 230.134a — Options material not deemed a prospectus
• § 230.134b — Statements of additional information
• § 230.135 — Notice of proposed registered offerings
• § 230.135a — Generic advertising
• § 230.135b — Materials not deemed an offer to sell or offer to buy nor a prospectus
• § 230.135c — Notice of certain proposed unregistered offerings
• § 230.135d — Communications involving security-based swaps
• § 230.135e — Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore
• § 230.136 — Definition of certain terms in relation to assessable stock
• § 230.137 — Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities
• § 230.138 — Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing
• § 230.139 — Publications or distributions of research reports by brokers or dealers distributing securities
• § 230.139a — Publications by brokers or dealers distributing asset-backed securities
• § 230.139b — Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities
• § 230.140 — Definition of “distribution” in section 2(11) for certain transactions
• § 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
• § 230.142 — Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions
• § 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
• § 230.144 — Persons deemed not to be engaged in a distribution and therefore not underwriters
• § 230.144A — Private resales of securities to institutions
• § 230.145 — Reclassification of securities, mergers, consolidations and acquisitions of assets
• § 230.145a — Business combinations with reporting shell companies
• § 230.146 — Rules under section 18 of the Act
• § 230.147 — Intrastate offers and sales
• § 230.147A — Intrastate sales exemption
• § 230.148 — Exemption from general solicitation or general advertising
• § 230.149 — Definition of “exchanged” in section 3(a)(9), for certain transactions
• § 230.150 — Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions
• § 230.151 — Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8)
• § 230.152 — Integration
• § 230.152a — Offer or sale of certain fractional interests
• § 230.153 — Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions
• § 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
• § 230.153b — Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options
• § 230.154 — Delivery of prospectuses to investors at the same address
• § 230.155 — [Reserved]
• § 230.156 — Investment company and registered non-variable annuity sales literature
• § 230.157 — Small entities under the Securities Act for purposes of the Regulatory Flexibility Act
• § 230.158 — Definitions of certain terms in the last paragraph of section 11(a)
• § 230.159 — Information available to purchaser at time of contract of sale
• § 230.159A — Certain definitions for purposes of section 12(a)(2) of the Act
• § 230.160 — Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act
• § 230.161 — Amendments to rules and regulations governing exemptions
• § 230.162 — Submission of tenders in registered exchange offers
• § 230.163 — Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers
• § 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
• § 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
• § 230.164 — Post-filing free writing prospectuses in connection with certain registered offerings
• § 230.165 — Offers made in connection with a business combination transaction
• § 230.166 — Exemption from section 5(c) for certain communications in connection with business combination transactions
• § 230.167 — Communications in connection with certain registered offerings of asset-backed securities
• § 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
• § 230.169 — Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information
• § 230.170 — Prohibition of use of certain financial statements
• § 230.171 — Disclosure detrimental to the national defense or foreign policy
• § 230.172 — Delivery of prospectuses
• § 230.173 — Notice of registration
• § 230.174 — Delivery of prospectus by dealers; exemptions under section 4(3) of the Act
• § 230.175 — Liability for certain statements by issuers
• § 230.176 — Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act
• § 230.180 — Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans
• § 230.190 — Registration of underlying securities in asset-backed securities transactions
• § 230.191 — Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities
• § 230.192 — Conflicts of interest relating to certain securitizations
• § 230.193 — Review of underlying assets in asset-backed securities transactions
• § 230.194 — Definitions of the terms “swap” and “security-based swap” as used in the Act
• § 230.215 — Accredited investor
• § 230.236 — Exemption of shares offered in connection with certain transactions
• § 230.237 — Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts
• § 230.238 — Exemption for standardized options
• § 230.239 — Exemption for offers and sales of certain security-based swaps
• § 230.240 — Exemption for certain security-based swaps
• § 230.241 — Solicitations of interest
• § 230.251 — Scope of exemption
• § 230.252 — Offering statement
• § 230.253 — Offering circular
• § 230.254 — Preliminary offering circular
• § 230.255 — Solicitations of interest and other communications
• § 230.256 — Definition of “qualified purchaser”
• § 230.257 — Periodic and current reporting; exit report
• § 230.258 — Suspension of the exemption
• § 230.259 — Withdrawal or abandonment of offering statements
• § 230.260 — Insignificant deviations from a term, condition or requirement of Regulation A
• § 230.261 — Definitions
• § 230.262 — Disqualification provisions
• § 230.263 — Consent to service of process
• § 230.300-230.346 — 230.300-230.346 [Reserved]
• § 230.400 — Application of §§ 230.400 to 230.494, inclusive
• § 230.401 — Requirements as to proper form
• § 230.401a — Requirements as to proper form
• § 230.402 — Number of copies; binding; signatures
• § 230.403 — Requirements as to paper, printing, language and pagination
• § 230.404 — Preparation of registration statement
• § 230.405 — Definitions of terms
• § 230.406 — Confidential treatment of information filed with the Commission
• § 230.408 — Additional information
• § 230.409 — Information unknown or not reasonably available
• § 230.410 — Disclaimer of control
• § 230.411 — Incorporation by reference
• § 230.412 — Modified or superseded documents
• § 230.413 — Registration of additional securities and additional classes of securities
• § 230.414 — Registration by certain successor issuers
• § 230.415 — Delayed or continuous offering and sale of securities
• § 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
• § 230.417 — Date of financial statements
• § 230.418 — Supplemental information
• § 230.419 — Offerings by blank check companies
• § 230.420 — Legibility of prospectus
• § 230.421 — Presentation of information in prospectuses
• § 230.423 — Date of prospectuses
• § 230.424 — Filing of prospectuses, number of copies
• § 230.425 — Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions
• § 230.426 — Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities
• § 230.427 — Contents of prospectus used after nine months
• § 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
• § 230.429 — Prospectus relating to several registration statements
• § 230.430 — Prospectus for use prior to effective date
• § 230.430A — Prospectus in a registration statement at the time of effectiveness
• § 230.430B — Prospectus in a registration statement after effective date
• § 230.430C — Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date
• § 230.430D — Prospectus in a registration statement after effective date for asset-backed securities offerings
• § 230.431 — Summary prospectuses
• § 230.432 — Additional information required to be included in prospectuses relating to tender offers
• § 230.433 — Conditions to permissible post-filing free writing prospectuses
• § 230.436 — Consents required in special cases
• § 230.437 — Application to dispense with consent
• § 230.437a — Written consents
• § 230.438 — Consents of persons about to become directors
• § 230.439 — Consent to use of material incorporated by reference
• § 230.445-230.447 — 230.445-230.447 [Reserved]
• § 230.455 — Place of filing
• § 230.456 — Date of filing; timing of fee payment
• § 230.457 — Computation of fee
• § 230.459 — Calculation of effective date
• § 230.460 — Distribution of preliminary prospectus
• § 230.461 — Acceleration of effective date
• § 230.462 — Immediate effectiveness of certain registration statements and post-effective amendments
• § 230.463 — Report of offering of securities and use of proceeds therefrom
• § 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
• § 230.466 — Effective date of certain registration statements on Form F-6
• § 230.467 — Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80
• § 230.470 — Formal requirements for amendments
• § 230.471 — Signatures to amendments
• § 230.472 — Filing of amendments; number of copies
• § 230.473 — Delaying amendments
• § 230.474 — Date of filing of amendments
• § 230.475 — Amendment filed with consent of Commission
• § 230.475a — Certain pre-effective amendments deemed filed with the consent of the Commission
• § 230.476 — Amendment filed pursuant to order of Commission
• § 230.477 — Withdrawal of registration statement or amendment
• § 230.478 — Powers to amend or withdraw registration statement
• § 230.479 — Procedure with respect to abandoned registration statements and post-effective amendments
• § 230.480 — Title of securities
• § 230.481 — Information required in prospectuses
• § 230.482 — Advertising by an investment company as satisfying requirements of section 10
• § 230.483 — Exhibits for certain registration statements
• § 230.484 — Undertaking required in certain registration statements
• § 230.485 — Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities
• § 230.486 — Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies
• § 230.487 — Effectiveness of registration statements filed by certain unit investment trusts
• § 230.488 — Effective date of registration statements relating to securities to be issued in certain business combination transactions
• § 230.489 — Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries
• § 230.490 — Information to be furnished under paragraph (3) of Schedule B
• § 230.491 — Information to be furnished under paragraph (6) of Schedule B
• § 230.492 — Omissions from prospectuses
• § 230.493 — Additional Schedule B disclosure and filing requirements
• § 230.494 — Newspaper prospectuses
• § 230.495 — Preparation of registration statement
• § 230.496 — Contents of prospectus and statement of additional information used after nine months
• § 230.497 — Filing of investment company or registered non-variable annuity prospectuses—number of copies
• § 230.498 — Summary Prospectuses for open-end management investment companies
• § 230.498A — Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts
• § 230.500 — Use of Regulation D
• § 230.501 — Definitions and terms used in Regulation D
• § 230.502 — General conditions to be met
• § 230.503 — Filing of notice of sales
• § 230.504 — Exemption for limited offerings and sales of securities not exceeding $10,000,000
• § 230.505 — [Reserved]
• § 230.506 — Exemption for limited offers and sales without regard to dollar amount of offering
• § 230.507 — Disqualifying provision relating to exemptions under §§ 230.504 and 230.506
• § 230.508 — Insignificant deviations from a term, condition or requirement of Regulation D
• § 230.601 — Definitions of terms used in §§ 230.601 to 230.610a
• § 230.602 — Securities exempted
• § 230.603 — Amount of securities exempted
• § 230.604 — Filing of notification on Form 1-E
• § 230.605 — Filing and use of the offering circular
• § 230.606 — Offering not in excess of $100,000
• § 230.607 — Sales material to be filed
• § 230.608 — Prohibition of certain statements
• § 230.609 — Reports of sales hereunder
• § 230.610 — Suspension of exemption
• § 230.610a — Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies
• § 230.651-230.656 — 230.651-230.656 [Reserved]
• § 230.701 — Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation
• § 230.702(T)-230.703(T) — 230.702(T)-230.703(T) [Reserved]
• § 230.800 — Definitions for §§ 230.800, 230.801 and 230.802
• § 230.801 — Exemption in connection with a rights offering
• § 230.802 — Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers
• § 230.901 — General statement
• § 230.902 — Definitions
• § 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
• § 230.904 — Offshore resales
• § 230.905 — Resale limitations
• § 230.1001 — Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code

PART 232

• § 232.10 — Application of part 232
• § 232.11 — Definition of terms used in this part
• § 232.12 — Business hours of the Commission
• § 232.13 — Date of filing; adjustment of filing date
• § 232.14 — Paper filings not accepted without exemption
• § 232.15 — Administration of EDGAR
• § 232.100 — Persons and entities subject to mandated electronic filing
• § 232.101 — Mandated electronic submissions and exceptions
• § 232.102 — Exhibits
• § 232.103 — Liability for transmission errors or omissions in documents filed via EDGAR
• § 232.104 — Unofficial PDF copies included in an electronic submission
• § 232.105 — Use of HTML and hyperlinks
• § 232.106 — Prohibition against electronic submissions containing executable code
• § 232.201 — Temporary hardship exemption
• § 232.202 — Continuing hardship exemption
• § 232.301 — EDGAR Filer Manual
• § 232.302 — Signatures
• § 232.303 — Incorporation by reference
• § 232.304 — Graphic, image, audio and video material
• § 232.305 — Number of characters per line; tabular and columnar information
• § 232.306 — Foreign language documents and symbols
• § 232.307 — Bold face type
• § 232.308 — Type size and font; legibility
• § 232.309 — Paper size; binding; sequential numbering; number of copies
• § 232.310 — Marking changed material
• § 232.311 — Documents submitted in paper under cover of Form SE
• § 232.312 — [Reserved]
• § 232.313 — Identification of investment company type and series and/or class (or contract)
• § 232.314 — Accommodation for certain securitizers of asset-backed securities
• § 232.401-232.404 — 232.401-232.404 [Reserved]
• § 232.405 — Interactive Data File submissions
• § 232.406 — Cover Page XBRL Data Tagging
• § 232.407 — Interactive data financial report filings
• § 232.408 — Filing fee exhibit interactive data
• § 232.501 — Modular submissions and segmented filings
• § 232.600-232.903 — 232.600-232.903 [Reserved]

PART 239

• § 239.0-1 — Availability of forms
• § 239.4-239.10 — 239.4-239.10 [Reserved]
• § 239.11 — Form S-1, registration statement under the Securities Act of 1933
• § 239.12 — [Reserved]
• § 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
• § 239.14 — Form N-2 for closed end management investment companies registered on Form N-8A
• § 239.15 — [Reserved]
• § 239.15A — Form N-1A, registration statement of open-end management investment companies
• § 239.16 — Form S-6, for unit investment trusts registered on Form N-8B-2
• § 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
• § 239.17 — [Reserved]
• § 239.17a — Form N-3, registration statement for separate accounts organized as management investment companies
• § 239.17b — Form N-4, registration statement for separate accounts organized as unit investment trusts
• § 239.17c — Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies
• § 239.18 — Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies
• § 239.19 — [Reserved]
• § 239.20 — Form S-20, for standardized options
• § 239.23 — Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies
• § 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
• § 239.25 — Form S-4, for the registration of securities issued in business combination transactions
• § 239.26-239.30 — 239.26-239.30 [Reserved]
• § 239.31 — Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers
• § 239.32 — [Reserved]
• § 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
• § 239.34 — Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions
• § 239.35 — [Reserved]
• § 239.36 — Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts
• § 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
• § 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
• § 239.39 — [Reserved]
• § 239.40 — Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers
• § 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
• § 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
• § 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
• § 239.44 — Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities
• § 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
• § 239.46-239.62 — 239.46-239.62 [Reserved]
• § 239.63 — Form ID, application for EDGAR access
• § 239.64 — Form SE, form for submission of paper format exhibits by electronic filers
• § 239.65 — Form TH—Notification of reliance on temporary hardship exemption
• § 239.66 — Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities
• § 239.90 — Form 1-A, offering statement under Regulation A
• § 239.91 — Form 1-K
• § 239.92 — Form 1-SA
• § 239.93 — Form 1-U
• § 239.94 — Form 1-Z
• § 239.95-239.143 — 239.95-239.143 [Reserved]
• § 239.144 — Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter
• § 239.145-239.199 — 239.145-239.199 [Reserved]
• § 239.200 — Form 1-E, notification under Regulation E
• § 239.201 — Form 2-E, report of sales pursuant to Rule 609 of Regulation E
• § 239.202-239.300 — 239.202-239.300 [Reserved]
• § 239.500 — Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933
• § 239.701 — [Reserved]
• § 239.800 — Form CB, report of sales of securities in connection with an exchange offer or a rights offering
• § 239.900 — Form C

PART 240

• § 240.0-1 — Definitions
• § 240.0-10 — Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act
• § 240.0-11 — Filing fees for certain acquisitions, dispositions and similar transactions
• § 240.0-12 — Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act
• § 240.0-13 — Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act
• § 240.0-2 — Business hours of the Commission
• § 240.0-3 — Filing of material with the Commission
• § 240.0-4 — Nondisclosure of information obtained in examinations and investigations
• § 240.0-5 — Reference to rule by obsolete designation
• § 240.0-6 — Disclosure detrimental to the national defense or foreign policy
• § 240.0-8 — Application of rules to registered broker-dealers
• § 240.0-9 — Payment of filing fees
• § 240.3Ca-1 — Stay of clearing requirement and review by the Commission
• § 240.3Ca-2 — Submission of security-based swaps for clearing
• § 240.3a1-1 — Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act
• § 240.3a11-1 — Definition of the term “equity security.”
• § 240.3a12-1 — Exemption of certain mortgages and interests in mortgages
• § 240.3a12-10 — Exemption of certain securities issued by the Resolution Funding Corporation
• § 240.3a12-11 — Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange
• § 240.3a12-12 — Exemption from certain provisions of section 16 of the Act for asset-backed securities
• § 240.3a12-2 — [Reserved]
• § 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
• § 240.3a12-4 — Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities
• § 240.3a12-5 — Exemption of certain investment contract securities from sections 7(c) and 11(d)(1)
• § 240.3a12-6 — Definition of “common trust fund” as used in section 3(a)(12) of the Act
• § 240.3a12-7 — Exemption for certain derivative securities traded otherwise than on a national securities exchange
• § 240.3a12-8 — Exemption for designated foreign government securities for purposes of futures trading
• § 240.3a12-9 — Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1)
• § 240.3a4-1 — Associated persons of an issuer deemed not to be brokers
• § 240.3a4-2 — 240.3a4-2-240.3a4-6 [Reserved]
• § 240.3a40-1 — Designation of financial responsibility rules
• § 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
• § 240.3a44-1 — Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person
• § 240.3a44-2 — Further definition of “as a part of a regular business” in connection with certain liquidity providers
• § 240.3a5-1 — Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions
• § 240.3a5-2 — Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S
• § 240.3a5-3 — Exemption from the definition of “dealer” for banks engaging in securities lending transactions
• § 240.3a5-4 — Further definition of “as a part of a regular business” in connection with certain liquidity providers
• § 240.3a51-1 — Definition of “penny stock”
• § 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
• § 240.3a55-2 — Indexes underlying futures contracts trading for fewer than 30 days
• § 240.3a55-3 — Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade
• § 240.3a55-4 — Exclusion from definition of narrow-based security index for indexes composed of debt securities
• § 240.3a67-1 — Definition of “major security-based swap participant.”
• § 240.3a67-10 — Foreign major security-based swap participants
• § 240.3a67-2 — Categories of security-based swaps
• § 240.3a67-3 — Definition of “substantial position.”
• § 240.3a67-4 — Definition of “hedging or mitigating commercial risk.”
• § 240.3a67-5 — Definition of “substantial counterparty exposure.”
• § 240.3a67-6 — Definition of “financial entity.”
• § 240.3a67-7 — Definition of “highly leveraged.”
• § 240.3a67-8 — Timing requirements, reevaluation period, and termination of status
• § 240.3a67-9 — Calculation of major participant status by certain persons
• § 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
• § 240.3a68-1b — Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act
• § 240.3a68-2 — Requests for interpretation of swaps, security-based swaps, and mixed swaps
• § 240.3a68-3 — Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
• § 240.3a68-4 — Regulation of mixed swaps
• § 240.3a68-5 — Regulation of certain futures contracts on foreign sovereign debt
• § 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
• § 240.3a69-2 — Definition of “swap” as used in section 3(a)(69) of the Act—additional products
• § 240.3a69-3 — Books and records requirements for security-based swap agreements
• § 240.3a71-1 — Definition of “security-based swap dealer.”
• § 240.3a71-2 — De minimis exception
• § 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)
• § 240.3a71-3 — Cross-border security-based swap dealing activity
• § 240.3a71-4 — Exception from aggregation for affiliated groups with registered security-based swap dealers
• § 240.3a71-5 — Exception for cleared transactions executed on a swap execution facility
• § 240.3a71-6 — Substituted compliance for security-based swap dealers and major security-based swap participants
• § 240.3b-1 — Definition of “listed”
• § 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)
• § 240.3b-12 — Definition of OTC derivatives dealer
• § 240.3b-13 — Definition of eligible OTC derivative instrument
• § 240.3b-14 — Definition of cash management securities activities
• § 240.3b-15 — Definition of ancillary portfolio management securities activities
• § 240.3b-16 — Definitions of terms used in Section 3(a)(1) of the Act
• § 240.3b-17 — [Reserved]
• § 240.3b-18 — Definitions of terms used in Section 3(a)(5) of the Act
• § 240.3b-19 — Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities
• § 240.3b-2 — Definition of “officer”
• § 240.3b-3 — [Reserved]
• § 240.3b-4 — Definition of “foreign government,” “foreign issuer” and “foreign private issuer”
• § 240.3b-5 — Non-exempt securities issued under governmental obligations
• § 240.3b-6 — Liability for certain statements by issuers
• § 240.3b-7 — Definition of “executive officer”
• § 240.3b-8 — Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”
• § 240.3b-9 — 240.3b-9-240.3b-10 [Reserved]
• § 240.6a-1 — Application for registration as a national securities exchange or exemption from registration based on limited volume
• § 240.6a-2 — Amendments to application
• § 240.6a-3 — Supplemental material to be filed by exchanges
• § 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
• § 240.6h-1 — Settlement and regulatory halt requirements for security futures products
• § 240.6h-2 — Security future based on note, bond, debenture, or evidence of indebtedness
• § 240.7c2-1 — [Reserved]
• § 240.8c-1 — Hypothecation of customers' securities
• § 240.9b-1 — Options disclosure document
• § 240.9j-1 — Prohibition against fraud, manipulation, or deception in connection with security-based swaps
• § 240.10A-1 — Notice to the Commission Pursuant to Section 10A of the Act
• § 240.10A-2 — Auditor independence
• § 240.10A-3 — Listing standards relating to audit committees
• § 240.10C-1 — Listing standards relating to compensation committees
• § 240.10D-1 — Listing standards relating to recovery of erroneously awarded compensation
• § 240.10a-1 — 240.10a-1-240.10a-2 [Reserved]
• § 240.10b-1 — Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration
• § 240.10b-10 — Confirmation of transactions
• § 240.10b-13 — [Reserved]
• § 240.10b-16 — Disclosure of credit terms in margin transactions
• § 240.10b-17 — Untimely announcements of record dates
• § 240.10b-18 — Purchases of certain equity securities by the issuer and others
• § 240.10b-2 — [Reserved]
• § 240.10b-21 — Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due
• § 240.10b-3 — Employment of manipulative and deceptive devices by brokers or dealers
• § 240.10b-4 — [Reserved]
• § 240.10b-5 — Employment of manipulative and deceptive devices
• § 240.10b-6 — 240.10b-6-240.10b-8 [Reserved]
• § 240.10b-9 — Prohibited representations in connection with certain offerings
• § 240.10b5-1 — Trading “on the basis of” material nonpublic information in insider trading cases
• § 240.10b5-2 — Duties of trust or confidence in misappropriation insider trading cases
• § 240.10c-1a — Securities lending transparency
• § 240.11a-1 — Regulation of floor trading
• § 240.11a1-1(T) — Transactions yielding priority, parity, and precedence
• § 240.11a1-2 — Transactions for certain accounts of associated persons of members
• § 240.11a1-3(T) — Bona fide hedge transactions in certain securities
• § 240.11a1-4(T) — Bond transactions on national securities exchanges
• § 240.11a1-5 — Transactions by registered competitive market makers and registered equity market makers
• § 240.11a1-6 — Transactions for certain accounts of OTC derivatives dealers
• § 240.11a2-2(T) — Transactions effected by exchange members through other members
• § 240.11b-1 — Regulation of specialists
• § 240.11d1-1 — Exemption of certain securities from section 11(d)(1)
• § 240.11d1-2 — Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts
• § 240.11d2-1 — Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts
• § 240.12a-10 — Exemption of security-based swaps from section 12(a) of the Act
• § 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
• § 240.12a-4 — Exemption of certain warrants from section 12(a)
• § 240.12a-5 — Temporary exemption of substituted or additional securities
• § 240.12a-6 — Exemption of securities underlying certain options from section 12(a)
• § 240.12a-7 — Exemption of stock contained in standardized market baskets from section 12(a) of the Act
• § 240.12a-8 — Exemption of depositary shares
• § 240.12a-9 — Exemption of standardized options from section 12(a) of the Act
• § 240.12b-1 — Scope of regulation
• § 240.12b-10 — Requirements as to proper form
• § 240.12b-11 — Number of copies; signatures; binding
• § 240.12b-12 — Requirements as to paper, printing and language
• § 240.12b-13 — Preparation of statement or report
• § 240.12b-14 — Riders; inserts
• § 240.12b-15 — Amendments
• § 240.12b-2 — Definitions
• § 240.12b-20 — Additional information
• § 240.12b-21 — Information unknown or not available
• § 240.12b-22 — Disclaimer of control
• § 240.12b-23 — Incorporation by reference
• § 240.12b-24 — [Reserved]
• § 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
• § 240.12b-3 — Title of securities
• § 240.12b-30 — Additional exhibits
• § 240.12b-31 — Omission of substantially identical documents
• § 240.12b-32 — [Reserved]
• § 240.12b-33 — Annual reports to other Federal agencies
• § 240.12b-35 — [Reserved]
• § 240.12b-36 — Use of financial statements filed under other acts
• § 240.12b-37 — Satisfaction of filing requirements
• § 240.12b-4 — Supplemental information
• § 240.12b-5 — Determination of affiliates of banks
• § 240.12b-6 — When securities are deemed to be registered
• § 240.12b-7 — [Reserved]
• § 240.12d1-1 — Registration effective as to class or series
• § 240.12d1-2 — Effectiveness of registration
• § 240.12d1-3 — Requirements as to certification
• § 240.12d1-4 — Date of receipt of certification by Commission
• § 240.12d1-5 — Operation of certification on subsequent amendments
• § 240.12d1-6 — Withdrawal of certification
• § 240.12d2-1 — Suspension of trading
• § 240.12d2-2 — Removal from listing and registration
• § 240.12f-1 — Applications for permission to reinstate unlisted trading privileges
• § 240.12f-2 — Extending unlisted trading privileges to a security that is the subject of an initial public offering
• § 240.12f-3 — Termination or suspension of unlisted trading privileges
• § 240.12f-4 — Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16
• § 240.12f-5 — Exchange rules for securities to which unlisted trading privileges are extended
• § 240.12f-6 — [Reserved]
• § 240.12g-1 — Registration of securities; exemption from section 12(g)
• § 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)
• § 240.12g-3 — Registration of securities of successor issuers under section 12(b) or 12(g)
• § 240.12g-4 — Certifications of termination of registration under section 12(g)
• § 240.12g-6 — Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding
• § 240.12g3-2 — Exemptions for American depositary receipts and certain foreign securities
• § 240.12g5-1 — Definition of securities “held of record”
• § 240.12g5-2 — Definition of “total assets”
• § 240.12h-1 — Exemptions from registration under section 12(g) of the Act
• § 240.12h-2 — [Reserved]
• § 240.12h-3 — Suspension of duty to file reports under section 15(d)
• § 240.12h-4 — Exemption from duty to file reports under section 15(d)
• § 240.12h-5 — Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors
• § 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)
• § 240.12h-7 — Exemption for issuers of securities that are subject to insurance regulation
• § 240.13a-1 — Requirements of annual reports
• § 240.13a-10 — Transition reports
• § 240.13a-11 — Current reports on Form 8-K (§ 249.308 of this chapter)
• § 240.13a-13 — Quarterly reports on Form 10-Q (§ 249.308a of this chapter)
• § 240.13a-14 — Certification of disclosure in annual and quarterly reports
• § 240.13a-15 — Controls and procedures
• § 240.13a-16 — Reports of foreign private issuers on Form 6-K (17 CFR 249.306)
• § 240.13a-17 — Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter)
• § 240.13a-18 — Compliance with servicing criteria for asset-backed securities
• § 240.13a-19 — Reports by shell companies on Form 20-F
• § 240.13a-2 — [Reserved]
• § 240.13a-20 — Plain English presentation of specified information
• § 240.13a-21 — [Reserved]
• § 240.13a-3 — Reporting by Form 40-F registrant
• § 240.13b2-1 — Falsification of accounting records
• § 240.13b2-2 — Representations and conduct in connection with the preparation of required reports and documents
• § 240.13d-1 — Filing of Schedules 13D and 13G
• § 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)
• § 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
• § 240.13d-2 — Filing of amendments to Schedules 13D or 13G
• § 240.13d-3 — Determination of beneficial owner
• § 240.13d-4 — Disclaimer of beneficial ownership
• § 240.13d-5 — Acquisition of beneficial ownership
• § 240.13d-6 — Exemption of certain acquisitions
• § 240.13d-7 — [Reserved]
• § 240.13e-1 — Purchase of securities by the issuer during a third-party tender offer
• § 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
• § 240.13e-101 — [Reserved]
• § 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
• § 240.13e-2 — [Reserved]
• § 240.13e-3 — Going private transactions by certain issuers or their affiliates
• § 240.13e-4 — Tender offers by issuers
• § 240.13f-1 — Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion
• § 240.13f-2 — Reporting by institutional investment managers regarding gross short position and activity information
• § 240.13h-1 — Large trader reporting
• § 240.13k-1 — Foreign bank exemption from the insider lending prohibition under section 13(k)
• § 240.13n-1 — Registration of security-based swap data repository
• § 240.13n-10 — Disclosure requirements of security-based swap data repository
• § 240.13n-11 — Chief compliance officer of security-based swap data repository; compliance reports and financial reports
• § 240.13n-12 — Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons
• § 240.13n-2 — Withdrawal from registration; revocation and cancellation
• § 240.13n-3 — Registration of successor to registered security-based swap data repository
• § 240.13n-4 — Duties and core principles of security-based swap data repository
• § 240.13n-5 — Data collection and maintenance
• § 240.13n-6 — Automated systems
• § 240.13n-7 — Recordkeeping of security-based swap data repository
• § 240.13n-8 — Reports to be provided to the Commission
• § 240.13n-9 — Privacy requirements of security-based swap data repository
• § 240.13p-1 — Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals
• § 240.13q-1 — Disclosure of payments made by resource extraction issuers
• § 240.14Ad-1 — Report of proxy voting record
• § 240.14a-1 — Definitions
• § 240.14a-10 — Prohibition of certain solicitations
• § 240.14a-101 — Schedule 14A. Information required in proxy statement
• § 240.14a-102 — [Reserved]
• § 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)
• § 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)
• § 240.14a-12 — Solicitation before furnishing a proxy statement
• § 240.14a-13 — Obligation of registrants in communicating with beneficial owners
• § 240.14a-14 — Modified or superseded documents
• § 240.14a-15 — Differential and contingent compensation in connection with roll-up transactions
• § 240.14a-16 — Internet availability of proxy materials
• § 240.14a-17 — Electronic shareholder forums
• § 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
• § 240.14a-19 — Solicitation of proxies in support of director nominees other than the registrant's nominees
• § 240.14a-2 — Solicitations to which § 240.14a-3 to § 240.14a-15 apply
• § 240.14a-20 — Shareholder approval of executive compensation of TARP recipients
• § 240.14a-21 — Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation
• § 240.14a-3 — Information to be furnished to security holders
• § 240.14a-4 — Requirements as to proxy
• § 240.14a-5 — Presentation of information in proxy statement
• § 240.14a-6 — Filing requirements
• § 240.14a-7 — Obligations of registrants to provide a list of, or mail soliciting material to, security holders
• § 240.14a-8 — Shareholder proposals
• § 240.14a-9 — False or misleading statements
• § 240.14b-1 — Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners
• § 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
• § 240.14c-1 — Definitions
• § 240.14c-101 — Schedule 14C. Information required in information statement
• § 240.14c-2 — Distribution of information statement
• § 240.14c-3 — Annual report to be furnished security holders
• § 240.14c-4 — Presentation of information in information statement
• § 240.14c-5 — Filing requirements
• § 240.14c-6 — False or misleading statements
• § 240.14c-7 — Providing copies of material for certain beneficial owners
• § 240.14d-1 — Scope of and definitions applicable to Regulations 14D and 14E
• § 240.14d-10 — Equal treatment of security holders
• § 240.14d-100 — Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934
• § 240.14d-101 — Schedule 14D-9
• § 240.14d-102 — Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934
• § 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
• § 240.14d-11 — Subsequent offering period
• § 240.14d-2 — Commencement of a tender offer
• § 240.14d-3 — Filing and transmission of tender offer statement
• § 240.14d-4 — Dissemination of tender offers to security holders
• § 240.14d-5 — Dissemination of certain tender offers by the use of stockholder lists and security position listings
• § 240.14d-6 — Disclosure of tender offer information to security holders
• § 240.14d-7 — Additional withdrawal rights
• § 240.14d-8 — Exemption from statutory pro rata requirements
• § 240.14d-9 — Recommendation or solicitation by the subject company and others
• § 240.14e-1 — Unlawful tender offer practices
• § 240.14e-2 — Position of subject company with respect to a tender offer
• § 240.14e-3 — Transactions in securities on the basis of material, nonpublic information in the context of tender offers
• § 240.14e-4 — Prohibited transactions in connection with partial tender offers
• § 240.14e-5 — Prohibiting purchases outside of a tender offer
• § 240.14e-6 — Repurchase offers by certain closed-end registered investment companies
• § 240.14e-7 — Unlawful tender offer practices in connection with roll-ups
• § 240.14e-8 — Prohibited conduct in connection with pre-commencement communications
• § 240.14f-1 — Change in majority of directors
• § 240.14n-1 — Filing of Schedule 14N
• § 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
• § 240.14n-2 — Filing of amendments to Schedule 14N
• § 240.14n-3 — Dissemination
• § 240.15Al2-1 — [Reserved]
• § 240.15Ba1-1 — Definitions
• § 240.15Ba1-2 — Registration of municipal advisors and information regarding certain natural persons
• § 240.15Ba1-3 — Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act
• § 240.15Ba1-4 — Withdrawal from municipal advisor registration
• § 240.15Ba1-5 — Amendments to Form MA and Form MA-I
• § 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
• § 240.15Ba1-7 — Registration of successor to municipal advisor
• § 240.15Ba1-8 — Books and records to be made and maintained by municipal advisors
• § 240.15Ba2-1 — Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks
• § 240.15Ba2-2 — Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate
• § 240.15Ba2-4 — Registration of successor to registered municipal securities dealer
• § 240.15Ba2-5 — Registration of fiduciaries
• § 240.15Ba2-6 — [Reserved]
• § 240.15Bc3-1 — Withdrawal from registration of municipal securities dealers
• § 240.15Bc4-1 — Persons associated with municipal advisors
• § 240.15Bc7-1 — Availability of examination reports
• § 240.15Ca1-1 — Notice of government securities broker-dealer activities
• § 240.15Ca2-1 — Application for registration as a government securities broker or government securities dealer
• § 240.15Ca2-2 — [Reserved]
• § 240.15Ca2-3 — Registration of successor to registered government securities broker or government securities dealer
• § 240.15Ca2-4 — Registration of fiduciaries
• § 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
• § 240.15Cc1-1 — Withdrawal from registration of government securities brokers or government securities dealers
• § 240.15Fb1-1 — Signatures
• § 240.15Fb2-1 — Registration of security-based swap dealers and major security-based swap participants
• § 240.15Fb2-3 — Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD
• § 240.15Fb2-4 — Nonresident security-based swap dealers and major security-based swap participants
• § 240.15Fb2-5 — Registration of successor to registered security-based swap dealer or a major security-based swap participant
• § 240.15Fb2-6 — Registration of fiduciaries
• § 240.15Fb3-1 — Duration of registration
• § 240.15Fb3-2 — Withdrawal from registration
• § 240.15Fb3-3 — Cancellation and revocation of registration
• § 240.15Fb6-1 — [Reserved]
• § 240.15Fb6-2 — Associated person certification
• § 240.15Fh-1 — Scope and reliance on representations
• § 240.15Fh-2 — Definitions
• § 240.15Fh-3 — Business conduct requirements
• § 240.15Fh-5 — Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities
• § 240.15Fh-6 — Political contributions by certain security-based swap dealers
• § 240.15Fi-1 — Definitions
• § 240.15Fi-2 — Acknowledgment and verification of security-based swap transactions
• § 240.15Fi-4 — Security-based swap portfolio compression
• § 240.15Fi-5 — Security-based swap trading relationship documentation
• § 240.15Ga-1 — Repurchases and replacements relating to asset-backed securities
• § 240.15Ga-2 — Findings and conclusions of third-party due diligence reports
• § 240.15a-1 — Securities activities of OTC derivatives dealers
• § 240.15a-10 — Exemption of certain brokers or dealers with respect to security futures products
• § 240.15a-11 — [Reserved]
• § 240.15a-12 — Exemption for certain security-based swap execution facilities from certain broker requirements
• § 240.15a-2 — Exemption of certain securities of cooperative apartment houses from section 15(a)
• § 240.15a-3 — [Reserved]
• § 240.15a-4 — Forty-five day exemption from registration for certain members of national securities exchanges
• § 240.15a-5 — Exemption of certain nonbank lenders
• § 240.15a-6 — Exemption of certain foreign brokers or dealers
• § 240.15a-7 — 240.15a-7-240.15a-9 [Reserved]
• § 240.15aa-1 — Registration of a national or an affiliated securities association
• § 240.15aa-2 — Amendments and supplements to registration statements of securities associations
• § 240.15b1-1 — Application for registration of brokers or dealers
• § 240.15b1-2 — [Reserved]
• § 240.15b1-3 — Registration of successor to registered broker or dealer
• § 240.15b1-4 — Registration of fiduciaries
• § 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
• § 240.15b1-6 — Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees
• § 240.15b11-1 — Registration by notice of security futures product broker-dealers
• § 240.15b2-2 — Inspection of newly registered brokers and dealers
• § 240.15b3-1 — Amendments to application
• § 240.15b5-1 — Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation
• § 240.15b6-1 — Withdrawal from registration
• § 240.15b7-1 — Compliance with qualification requirements of self-regulatory organizations
• § 240.15b7-3T — Operational capability in a Year 2000 environment
• § 240.15b9-1 — Exemption for certain exchange members
• § 240.15b9-2 — Exemption from SRO membership for OTC derivatives dealers
• § 240.15c1-1 — Definitions
• § 240.15c1-2 — Fraud and misrepresentation
• § 240.15c1-3 — Misrepresentation by brokers, dealers and municipal securities dealers as to registration
• § 240.15c1-4 — [Reserved]
• § 240.15c1-5 — Disclosure of control
• § 240.15c1-6 — Disclosure of interest in distribution
• § 240.15c1-7 — Discretionary accounts
• § 240.15c1-8 — Sales at the market
• § 240.15c1-9 — Use of pro forma balance sheets
• § 240.15c2-1 — Hypothecation of customers' securities
• § 240.15c2-11 — Publication or submission of quotations without specified information
• § 240.15c2-12 — Municipal securities disclosure
• § 240.15c2-3 — [Reserved]
• § 240.15c2-4 — Transmission or maintenance of payments received in connection with underwritings
• § 240.15c2-5 — Disclosure and other requirements when extending or arranging credit in certain transactions
• § 240.15c2-6 — [Reserved]
• § 240.15c2-7 — Identification of quotations
• § 240.15c2-8 — Delivery of prospectus
• § 240.15c3-1 — Net capital requirements for brokers or dealers
• § 240.15c3-1a — Options (Appendix A to 17 CFR 240.15c3-1)
• § 240.15c3-1b — Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1)
• § 240.15c3-1c — Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1)
• § 240.15c3-1d — Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1)
• § 240.15c3-1e — Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1)
• § 240.15c3-1f — Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1)
• § 240.15c3-1g — Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1)
• § 240.15c3-2 — [Reserved]
• § 240.15c3-3 — Customer protection—reserves and custody of securities
• § 240.15c3-3a — Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3
• § 240.15c3-3b — Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3
• § 240.15c3-4 — Internal risk management control systems for OTC derivatives dealers
• § 240.15c3-5 — Risk management controls for brokers or dealers with market access
• § 240.15c6-1 — Settlement cycle
• § 240.15c6-2 — Same-day allocation, confirmation, and affirmation
• § 240.15d-1 — Requirement of annual reports
• § 240.15d-10 — Transition reports
• § 240.15d-11 — Current reports on Form 8-K (§ 249.308 of this chapter)
• § 240.15d-13 — Quarterly reports on Form 10-Q (§ 249.308 of this chapter)
• § 240.15d-14 — Certification of disclosure in annual and quarterly reports
• § 240.15d-15 — Controls and procedures
• § 240.15d-16 — Reports of foreign private issuers on Form 6-K [17 CFR 249.306]
• § 240.15d-17 — Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter)
• § 240.15d-18 — Compliance with servicing criteria for asset-backed securities
• § 240.15d-19 — Reports by shell companies on Form 20-F
• § 240.15d-2 — Special financial report
• § 240.15d-20 — Plain English presentation of specified information
• § 240.15d-21 — Reports for employee stock purchase, savings and similar plans
• § 240.15d-22 — Reporting regarding asset-backed securities under section 15(d) of the Act
• § 240.15d-23 — Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act
• § 240.15d-3 — Reports for depositary shares registered on Form F-6
• § 240.15d-4 — Reporting by Form 40-F registrants
• § 240.15d-5 — Reporting by successor issuers
• § 240.15d-6 — Suspension of duty to file reports
• § 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
• § 240.15fi-3 — Security-based swap portfolio reconciliation
• § 240.15fk-1 — Designation of chief compliance officer for security-based swap dealers and major security-based swap participants
• § 240.15g-1 — Exemptions for certain transactions
• § 240.15g-100 — Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2
• § 240.15g-2 — Penny stock disclosure document relating to the penny stock market
• § 240.15g-3 — Broker or dealer disclosure of quotations and other information relating to the penny stock market
• § 240.15g-4 — Disclosure of compensation to brokers or dealers
• § 240.15g-5 — Disclosure of compensation of associated persons in connection with penny stock transactions
• § 240.15g-6 — Account statements for penny stock customers
• § 240.15g-8 — Sales of escrowed securities of blank check companies
• § 240.15g-9 — Sales practice requirements for certain low-priced securities
• § 240.15l-1 — Regulation best interest
• § 240.16a-1 — Definition of terms
• § 240.16a-10 — Exemptions under section 16(a)
• § 240.16a-11 — Dividend or interest reinvestment plans
• § 240.16a-12 — Domestic relations orders
• § 240.16a-13 — Change in form of beneficial ownership
• § 240.16a-2 — Persons and transactions subject to section 16
• § 240.16a-3 — Reporting transactions and holdings
• § 240.16a-4 — Derivative securities
• § 240.16a-5 — Odd-lot dealers
• § 240.16a-6 — Small acquisitions
• § 240.16a-7 — Transactions effected in connection with a distribution
• § 240.16a-8 — Trusts
• § 240.16a-9 — Stock splits, stock dividends, and pro rata rights
• § 240.16b-1 — Transactions approved by a regulatory authority
• § 240.16b-2 — [Reserved]
• § 240.16b-3 — Transactions between an issuer and its officers or directors
• § 240.16b-4 — [Reserved]
• § 240.16b-5 — Bona fide gifts and inheritance
• § 240.16b-6 — Derivative securities
• § 240.16b-7 — Mergers, reclassifications, and consolidations
• § 240.16b-8 — Voting trusts
• § 240.16c-1 — Brokers
• § 240.16c-2 — Transactions effected in connection with a distribution
• § 240.16c-3 — Exemption of sales of securities to be acquired
• § 240.16c-4 — Derivative securities
• § 240.16e-1 — Arbitrage transactions under section 16
• § 240.17Ab2-2 — Determinations affecting covered clearing agencies
• § 240.17Ac2-1 — Application for registration of transfer agents
• § 240.17Ac2-2 — Annual reporting requirement for registered transfer agents
• § 240.17Ac3-1 — Withdrawal from registration with the Commission
• § 240.17Ad-1 — Definitions
• § 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
• § 240.17Ad-11 — Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files
• § 240.17Ad-12 — Safeguarding of funds and securities
• § 240.17Ad-13 — Annual study and evaluation of internal accounting control
• § 240.17Ad-14 — Tender agents
• § 240.17Ad-15 — Signature guarantees
• § 240.17Ad-16 — Notice of assumption or termination of transfer agent services
• § 240.17Ad-17 — Lost securityholders and unresponsive payees
• § 240.17Ad-18 — Year 2000 Reports to be made by certain transfer agents
• § 240.17Ad-19 — Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates
• § 240.17Ad-2 — Turnaround, processing, and forwarding of items
• § 240.17Ad-20 — Issuer restrictions or prohibitions on ownership by securities intermediaries
• § 240.17Ad-21T — Operational capability in a Year 2000 environment
• § 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))
• § 240.17Ad-27 — Straight-through processing by clearing agencies that provide a central matching service
• § 240.17Ad-3 — Limitations on expansion
• § 240.17Ad-4 — Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11)
• § 240.17Ad-5 — Written inquiries and requests
• § 240.17Ad-6 — Recordkeeping
• § 240.17Ad-8 — Securities position listings
• § 240.17Ad-9 — Definitions
• § 240.17a-1 — Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board
• § 240.17a-10 — Report on revenue and expenses
• § 240.17a-11 — Notification provisions for brokers and dealers
• § 240.17a-12 — Reports to be made by certain OTC derivatives dealers
• § 240.17a-13 — Quarterly security counts to be made by certain exchange members, brokers, and dealers
• § 240.17a-14 — Form CRS, for preparation, filing and delivery of Form CRS
• § 240.17a-18 — [Reserved]
• § 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
• § 240.17a-2 — Recordkeeping requirements relating to stabilizing activities
• § 240.17a-21 — Reports of the Municipal Securities Rulemaking Board
• § 240.17a-22 — Supplemental material of registered clearing agencies
• § 240.17a-25 — Electronic submission of securities transaction information by exchange members, brokers, and dealers
• § 240.17a-3 — Records to be made by certain exchange members, brokers and dealers
• § 240.17a-4 — Records to be preserved by certain exchange members, brokers and dealers
• § 240.17a-5 — Reports to be made by certain brokers and dealers
• § 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
• § 240.17a-7 — Records of non-resident brokers and dealers
• § 240.17a-8 — Financial recordkeeping and reporting of currency and foreign transactions
• § 240.17a-9T — Records to be made and retained by certain exchange members, brokers and dealers
• § 240.17ab2-1 — Registration of clearing agencies
• § 240.17ad-22 — Standards for clearing agencies
• § 240.17ad-25 — Clearing agency boards of directors and conflicts of interest
• § 240.17ad-26 — Recovery and orderly wind-down plans of covered clearing agencies
• § 240.17ad-7 — (Rule 17Ad-7) Record retention
• § 240.17d-1 — Examination for compliance with applicable financial responsibility rules
• § 240.17d-2 — Program for allocation of regulatory responsibility
• § 240.17f-1 — Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities
• § 240.17f-2 — Fingerprinting of securities industry personnel
• § 240.17g-1 — Application for registration as a nationally recognized statistical rating organization
• § 240.17g-10 — Certification of providers of third-party due diligence services in connection with asset-backed securities
• § 240.17g-2 — Records to be made and retained by nationally recognized statistical rating organizations
• § 240.17g-3 — Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations
• § 240.17g-4 — Prevention of misuse of material nonpublic information
• § 240.17g-5 — Conflicts of interest
• § 240.17g-6 — Prohibited acts and practices
• § 240.17g-7 — Disclosure requirements
• § 240.17g-8 — Policies, procedures, and internal controls
• § 240.17g-9 — Standards of training, experience, and competence for credit analysts
• § 240.17h-1T — Risk assessment recordkeeping requirements for associated persons of brokers and dealers
• § 240.17h-2T — Risk assessment reporting requirements for brokers and dealers
• § 240.18a-1 — Net capital requirements for security-based swap dealers for which there is not a prudential regulator
• § 240.18a-10 — Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities
• § 240.18a-1a — Options
• § 240.18a-1b — Adjustments to net worth for certain commodities transactions
• § 240.18a-1c — Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers
• § 240.18a-1d — Satisfactory Subordinated Loan Agreements
• § 240.18a-2 — Capital requirements for major security-based swap participants for which there is not a prudential regulator
• § 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
• § 240.18a-4 — Segregation requirements for security-based swap dealers and major security-based swap participants
• § 240.18a-4a — Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4
• § 240.18a-5 — Records to be made by certain security-based swap dealers and major security-based swap participants
• § 240.18a-6 — Records to be preserved by certain security-based swap dealers and major security-based swap participants
• § 240.18a-7 — Reports to be made by certain security-based swap dealers and major security-based swap participants
• § 240.18a-8 — Notification provisions for security-based swap dealers and major security-based swap participants
• § 240.18a-9 — Quarterly security counts to be made by certain security-based swap dealers
• § 240.19a3-1 — [Reserved]
• § 240.19b-3 — [Reserved]
• § 240.19b-4 — Filings with respect to proposed rule changes by self-regulatory organizations
• § 240.19b-5 — Temporary exemption from the filing requirements of Section 19(b) of the Act
• § 240.19b-7 — Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act
• § 240.19c-1 — Governing certain off-board agency transactions by members of national securities exchanges
• § 240.19c-3 — Governing off-board trading by members of national securities exchanges
• § 240.19c-4 — Governing certain listing or authorization determinations by national securities exchanges and associations
• § 240.19c-5 — Governing the multiple listing of options on national securities exchanges
• § 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
• § 240.19d-2 — Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization
• § 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
• § 240.19d-4 — Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action
• § 240.19g2-1 — Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder
• § 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
• § 240.21F-1 — General
• § 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
• § 240.21F-11 — Procedures for determining awards based upon a related action
• § 240.21F-12 — Materials that may form the basis of an award determination and that may comprise the record on appeal
• § 240.21F-13 — Appeals
• § 240.21F-14 — Procedures applicable to the payment of awards
• § 240.21F-15 — No amnesty
• § 240.21F-16 — Awards to whistleblowers who engage in culpable conduct
• § 240.21F-17 — Staff communications with individuals reporting possible securities law violations
• § 240.21F-18 — Summary disposition
• § 240.21F-2 — Whistleblower status, award eligibility, confidentiality, and retaliation protections
• § 240.21F-3 — Payment of awards
• § 240.21F-4 — Other definitions
• § 240.21F-5 — Amount of award
• § 240.21F-6 — Criteria for determining amount of award
• § 240.21F-7 — Confidentiality of submissions
• § 240.21F-8 — Eligibility and forms
• § 240.21F-9 — Procedures for submitting original information
• § 240.24b-1 — Documents to be kept public by exchanges
• § 240.24b-2 — Nondisclosure of information filed with the Commission and with any exchange
• § 240.24b-3 — Information filed by issuers and others under sections 12, 13, 14, and 16
• § 240.24c-1 — Access to nonpublic information
• § 240.31 — Section 31 transaction fees
• § 240.31T — Temporary rule regarding fiscal year 2004
• § 240.36a1-1 — Exemption from Section 7 for OTC derivatives dealers
• § 240.36a1-2 — Exemption from SIPA for OTC derivatives dealers

PART 242

• § 242.100 — Preliminary note; definitions
• § 242.101 — Activities by distribution participants
• § 242.102 — Activities by issuers and selling security holders during a distribution
• § 242.103 — Nasdaq passive market making
• § 242.104 — Stabilizing and other activities in connection with an offering
• § 242.105 — Short selling in connection with a public offering
• § 242.200 — Definition of “short sale” and marking requirements
• § 242.201 — Circuit breaker
• § 242.203 — Borrowing and delivery requirements
• § 242.204 — Close-out requirement
• § 242.300 — Definitions
• § 242.301 — Requirements for alternative trading systems
• § 242.302 — Recordkeeping requirements for alternative trading systems
• § 242.303 — Record preservation requirements for alternative trading systems
• § 242.304 — NMS Stock ATSs
• § 242.400 — Customer margin requirements for security futures—authority, purpose, interpretation, and scope
• § 242.401 — Definitions
• § 242.402 — General provisions
• § 242.403 — Required margin
• § 242.404 — Type, form and use of margin
• § 242.405 — Withdrawal of margin
• § 242.406 — Undermargined accounts
• § 242.500 — Definitions
• § 242.501 — Certifications in connection with research reports
• § 242.502 — Certifications in connection with public appearances
• § 242.503 — Certain foreign research reports
• § 242.504 — Notification to associated persons
• § 242.505 — Exclusion for news media
• § 242.600 — NMS security designation and definitions
• § 242.601 — Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks
• § 242.602 — Dissemination of quotations in NMS securities
• § 242.603 — Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks
• § 242.604 — Display of customer limit orders
• § 242.605 — Disclosure of order execution information
• § 242.606 — Disclosure of order routing information
• § 242.607 — Customer account statements
• § 242.608 — Filing and amendment of national market system plans
• § 242.609 — Registration of securities information processors: form of application and amendments
• § 242.610 — Access to quotations
• § 242.611 — Order protection rule
• § 242.612 — Minimum pricing increment
• § 242.613 — Consolidated audit trail
• § 242.614 — Registration and responsibilities of competing consolidators
• § 242.800 — Scope
• § 242.801 — Applicable provisions
• § 242.802 — Definitions
• § 242.803 — Requirements and procedures for registration
• § 242.804 — Listing products for trading by certification
• § 242.805 — Voluntary submission of new products for Commission review and approval
• § 242.806 — Voluntary submission of rules for Commission review and approval
• § 242.807 — Self-certification of rules
• § 242.808 — Availability of public information
• § 242.809 — Staying of certification and tolling of review period pending jurisdictional determination
• § 242.810 — Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities
• § 242.811 — Information relating to security-based swap execution facility compliance
• § 242.812 — Enforceability
• § 242.813 — Prohibited use of data collected for regulatory purposes
• § 242.814 — Entity operating both a national securities exchange and security-based swap execution facility
• § 242.815 — Methods of execution for Required and Permitted Transactions
• § 242.816 — Trade execution requirement and exemptions therefrom
• § 242.817 — Trade execution compliance schedule
• § 242.818 — Core Principle 1—Compliance with core principles
• § 242.819 — Core Principle 2—Compliance with rules
• § 242.820 — Core Principle 3—Security-based swaps not readily susceptible to manipulation
• § 242.821 — Core Principle 4—Monitoring of trading and trade processing
• § 242.822 — Core Principle 5—Ability to obtain information
• § 242.823 — Core Principle 6—Financial integrity of transactions
• § 242.824 — Core Principle 7—Emergency authority
• § 242.825 — Core Principle 8—Timely publication of trading information
• § 242.826 — Core Principle 9—Recordkeeping and reporting
• § 242.827 — Core Principle 10—Antitrust considerations
• § 242.828 — Core Principle 11—Conflicts of interest
• § 242.829 — Core Principle 12—Financial resources
• § 242.830 — Core Principle 13—System safeguards
• § 242.831 — Core Principle 14—Designation of chief compliance officer
• § 242.832 — Application of the trade execution requirement to cross-border security-based swap transactions
• § 242.833 — Cross-border exemptions
• § 242.834 — Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges
• § 242.835 — Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access
• § 242.900 — Definitions
• § 242.901 — Reporting obligations
• § 242.902 — Public dissemination of transaction reports
• § 242.903 — Coded information
• § 242.904 — Operating hours of registered security-based swap data repositories
• § 242.905 — Correction of errors in security-based swap information
• § 242.906 — Other duties of participants
• § 242.907 — Policies and procedures of registered security-based swap data repositories
• § 242.908 — Cross-border matters
• § 242.909 — Registration of security-based swap data repository as a securities information processor
• § 242.1000 — Definitions
• § 242.1001 — Obligations related to policies and procedures of SCI entities
• § 242.1002 — Obligations related to SCI events
• § 242.1003 — Obligations related to systems changes; SCI review
• § 242.1004 — SCI entity business continuity and disaster recovery plans testing requirements for members or participants
• § 242.1005 — Recordkeeping requirements related to compliance with Regulation SCI
• § 242.1006 — Electronic filing and submission
• § 242.1007 — Requirements for service bureaus

PART 243

• § 243.100 — General rule regarding selective disclosure
• § 243.101 — Definitions
• § 243.102 — No effect on antifraud liability
• § 243.103 — No effect on Exchange Act reporting status

PART 244

• § 244.100 — General rules regarding disclosure of non-GAAP financial measures
• § 244.101 — Definitions
• § 244.102 — No effect on antifraud liability

PART 245

• § 245.100 — Definitions
• § 245.101 — Prohibition of insider trading during pension fund blackout periods
• § 245.102 — Exceptions to definition of blackout period
• § 245.103 — Issuer right of recovery; right of action by equity security owner
• § 245.104 — Notice

PART 246

• § 246.1 — Purpose, scope, and authority
• § 246.2 — Definitions
• § 246.3 — Base risk retention requirement
• § 246.4 — Standard risk retention
• § 246.5 — Revolving pool securitizations
• § 246.6 — Eligible ABCP conduits
• § 246.7 — Commercial mortgage-backed securities
• § 246.8 — Federal National Mortgage Association and Federal Home Loan Mortgage Corporation ABS
• § 246.9 — Open market CLOs
• § 246.10 — Qualified tender option bonds
• § 246.11 — Allocation of risk retention to an originator
• § 246.12 — Hedging, transfer and financing prohibitions
• § 246.13 — Exemption for qualified residential mortgages
• § 246.14 — Definitions applicable to qualifying commercial loans, qualifying commercial real estate loans, and qualifying automobile loans
• § 246.15 — Qualifying commercial loans, commercial real estate loans, and automobile loans
• § 246.16 — Underwriting standards for qualifying commercial loans
• § 246.17 — Underwriting standards for qualifying CRE loans
• § 246.18 — Underwriting standards for qualifying automobile loans
• § 246.19 — General exemptions
• § 246.20 — Safe harbor for certain foreign-related transactions
• § 246.21 — Additional exemptions
• § 246.22 — Periodic review of the QRM definition, exempted three-to-four unit residential mortgage loans, and community-focused residential mortgage exemption

PART 247

• § 247.100 — Definition
• § 247.700 — Defined terms relating to the networking exception from the definition of “broker.”
• § 247.701 — Exemption from the definition of “broker” for certain institutional referrals
• § 247.721 — Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
• § 247.722 — Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis
• § 247.723 — Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts
• § 247.740 — Defined terms relating to the sweep accounts exception from the definition of “broker.”
• § 247.741 — Exemption for banks effecting transactions in money market funds
• § 247.760 — Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts
• § 247.771 — Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S
• § 247.772 — Exemption from the definition of “broker” for banks engaging in securities lending transactions
• § 247.775 — Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities
• § 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
• § 247.780 — Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934
• § 247.781 — Exemption from the definition of “broker” for banks for a limited period of time

PART 248

• § 248.1 — Purpose and scope
• § 248.2 — Model privacy form: rule of construction
• § 248.3 — Definitions
• § 248.4 — Initial privacy notice to consumers required
• § 248.5 — Annual privacy notice to customers required
• § 248.6 — Information to be included in privacy notices
• § 248.7 — Form of opt out notice to consumers; opt out methods
• § 248.8 — Revised privacy notices
• § 248.9 — Delivering privacy and opt out notices
• § 248.10 — Limits on disclosure of nonpublic personal information to nonaffiliated third parties
• § 248.11 — Limits on redisclosure and reuse of information
• § 248.12 — Limits on sharing account number information for marketing purposes
• § 248.13 — Exception to opt out requirements for service providers and joint marketing
• § 248.14 — Exceptions to notice and opt out requirements for processing and servicing transactions
• § 248.15 — Other exceptions to notice and opt out requirements
• § 248.16 — Protection of Fair Credit Reporting Act
• § 248.17 — Relation to State laws
• § 248.18 — Effective date; transition rule
• § 248.19-248.29 — 248.19-248.29 [Reserved]
• § 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
• § 248.31-248.100 — 248.31-248.100 [Reserved]
• § 248.101 — Purpose and scope
• § 248.102 — Examples
• § 248.103-248.119 — 248.103-248.119 [Reserved]
• § 248.120 — Definitions
• § 248.121 — Affiliate marketing opt out and exceptions
• § 248.122 — Scope and duration of opt out
• § 248.123 — Contents of opt out notice; consolidated and equivalent notices
• § 248.124 — Reasonable opportunity to opt out
• § 248.125 — Reasonable and simple methods of opting out
• § 248.126 — Delivery of opt out notices
• § 248.127 — Renewal of opt out elections
• § 248.128 — Effective date, compliance date, and prospective application
• § 248.201 — Duties regarding the detection, prevention, and mitigation of identity theft
• § 248.202 — Duties of card issuers regarding changes of address

PART 249

• § 249.0-1 — Availability of forms

PART 249b

• § 249b.1-249b.99 — 249b.1-249b.99 [Reserved]
• § 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
• § 249b.101 — Form TA-W, notice of withdrawal from registration as transfer agent
• § 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
• § 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
• § 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
• § 249b.400 — Form SD, specialized disclosure report

PART 249

• § 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
• § 249.10 — Form 1-N for notice registration as a national securities exchange
• § 249.11 — Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act
• § 249.25 — Form 25, for notification of removal from listing and/or registration
• § 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)
• § 249.103 — Form 3, initial statement of beneficial ownership of securities
• § 249.104 — Form 4, statement of changes in beneficial ownership of securities
• § 249.105 — Form 5, annual statement of beneficial ownership of securities
• § 249.208 — [Reserved]
• § 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
• § 249.208b-249.208c — 249.208b-249.208c [Reserved]
• § 249.210 — Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934
• § 249.210b — [Reserved]
• § 249.218 — Form 18, for foreign governments and political subdivisions thereof
• § 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)
• § 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)
• § 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
• § 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
• § 249.308 — Form 8-K, for current reports
• § 249.308a — Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934
• § 249.310 — Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934
• § 249.310b-249.310c — 249.310b-249.310c [Reserved]
• § 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
• § 249.312 — Form 10-D, periodic distribution reports by asset-backed issuers
• § 249.318 — Form 18-K, annual report for foreign governments and political subdivisions thereof
• § 249.322 — Form 12b-25—Notification of late filing
• § 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
• § 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)
• § 249.325 — Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934
• § 249.326 — Form N-PX, annual report of proxy voting record
• § 249.327 — Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder
• § 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
• § 249.330 — Form N-CEN, annual report of registered investment companies
• § 249.331 — Form N-CSR, certified shareholder report
• § 249.332 — Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934
• § 249.333 — [Reserved]
• § 249.444 — Form SE, form for submission of paper format exhibits by electronic filers
• § 249.445 — [Reserved]
• § 249.446 — Form ID, application for EDGAR access
• § 249.447 — Form TH—Notification of reliance on temporary hardship exemption
• § 249.480 — Form CB, tender offer statement in connection with a tender offer for a foreign private issuer
• § 249.501 — Form BD, for application for registration as a broker and dealer or to amend or supplement such an application
• § 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
• § 249.501b — Form BD-N for notice registration as a broker-dealer
• § 249.507 — Form 7-M, consent to service of process by an individual nonresident broker-dealer
• § 249.508 — Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer
• § 249.509 — Form 9-M, consent to service of process by a partnership nonresident broker-dealer
• § 249.510 — Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm
• § 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
• § 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
• § 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
• § 249.620-249.634 — 249.620-249.634 [Reserved]
• § 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
• § 249.636 — [Reserved]
• § 249.637 — Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter
• § 249.638 — Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter
• § 249.639 — Form custody
• § 249.640 — Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter
• § 249.641 — Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter
• § 249.709 — [Reserved]
• § 249.801 — Form 15A, for application for registration as a national securities association or affiliated securities association
• § 249.802-249.803 — 249.802-249.803 [Reserved]
• § 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
• § 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))
• § 249.821 — Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter
• § 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
• § 249.1001 — Form SIP, for application for registration as a securities information processor or to amend such an application or registration
• § 249.1002 — Form CC, for application for registration as a competing consolidator or to amend such an application or registration
• § 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
• § 249.1110 — Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)
• § 249.1200 — Form X-17F-1A—Report for missing, lost, stolen or counterfeit securities
• § 249.1300 — Form MA, for registration as a municipal advisor, and for amendments to registration
• § 249.1300T — Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration
• § 249.1310 — Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information
• § 249.1320 — Form MA-W, for withdrawal from registration as a municipal advisor
• § 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
• § 249.1400 — Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934
• § 249.1401 — Form ABS-EE, for submission of the asset-data file exhibits and related documents
• § 249.1500 — Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration
• § 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
• § 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
• § 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
• § 249.1600c — Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants
• § 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
• § 249.1701 — Form SBSEF, for application for registration as a security-based swap execution facility or to amend such application or registration
• § 249.1702 — Submission cover sheet, for rule and product submissions
• § 249.1900 — Form SCI, for filing notices and reports as required by Regulation SCI
• § 249.2000 — Form Funding Portal

PART 250

• § 250.1 — Cross-border antifraud law-enforcement authority

PART 255

• § 255.1 — Authority, purpose, scope, and relationship to other authorities
• § 255.2 — Definitions
• § 255.3 — Prohibition on proprietary trading
• § 255.4 — Permitted underwriting and market making-related activities
• § 255.5 — Permitted risk-mitigating hedging activities
• § 255.6 — Other permitted proprietary trading activities
• § 255.7 — Limitations on permitted proprietary trading activities
• § 255.8-255.9 — 255.8-255.9 [Reserved]
• § 255.10 — Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund
• § 255.11 — Permitted organizing and offering, underwriting, and market making with respect to a covered fund
• § 255.12 — Permitted investment in a covered fund
• § 255.13 — Other permitted covered fund activities and investments
• § 255.14 — Limitations on relationships with a covered fund
• § 255.15 — Other limitations on permitted covered fund activities
• § 255.16 — Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities
• § 255.17-255.19 — 255.17-255.19 [Reserved]
• § 255.20 — Program for compliance; reporting
• § 255.21 — Termination of activities or investments; penalties for violations

PART 260

• § 260.0-1 — Application of definitions contained in the act
• § 260.0-11 — Liability for certain statements by issuers
• § 260.0-2 — Definitions of terms used in the rules and regulations
• § 260.0-3 — Definition of “rules and regulations” as used in certain sections of the Act
• § 260.0-4 — Sequential numbering of documents filed with the Commission
• § 260.0-5 — Business hours of the Commission
• § 260.0-6 — Nondisclosure of information obtained in the course of examinations and investigations
• § 260.0-7 — Small entities for purposes of the Regulatory Flexibility Act
• § 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
• § 260.3(4)-2 — Definition of “distribution” in section 303(4) for certain transactions
• § 260.3(4)-3 — Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions
• § 260.4a-1 — Exempted securities under section 304(a)(8)
• § 260.4a-2 — Exempted securities under section 304(d)
• § 260.4a-3 — Exempted securities under section 304(a)(9)
• § 260.4c-1 — Form for applications under section 304(c)
• § 260.4c-2 — General requirements as to form and content of applications
• § 260.4c-3 — Number of copies; filing; signatures; binding
• § 260.4c-4 — Applications under section 304(c)(1)
• § 260.4c-5 — Applications under section 304(c)(2)
• § 260.4d-10 — Exemption for securities issued pursuant to § 230.802 of this chapter
• § 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)
• § 260.4d-12 — Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240)
• § 260.4d-7 — Application for exemption from one or more provisions of the Act
• § 260.4d-8 — Content
• § 260.4d-9 — Exemption for Canadian Trust Indentures from Specified Provisions of the Act
• § 260.5a-1 — Forms for statements of eligibility and qualification
• § 260.5a-2 — General requirements as to form and content of statements of eligibility and qualification
• § 260.5a-3 — Number of copies; filing; signatures; binding
• § 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
• § 260.5b-2 — General requirements as to form and content of applications
• § 260.5b-3 — Number of copies—Filing—Signatures
• § 260.7a-1 — Form for application
• § 260.7a-15 — Scope of §§ 260.7a-15 to 260.7a-37
• § 260.7a-16 — Inclusion of items, differentiation between items and answers, omission of instructions
• § 260.7a-17 — Quality, color and size of paper
• § 260.7a-18 — Legibility
• § 260.7a-19 — Margin for binding
• § 260.7a-2 — Powers of agent for service named in application
• § 260.7a-20 — Riders; inserts
• § 260.7a-21 — Clarity
• § 260.7a-22 — Information unknown or not reasonably available
• § 260.7a-23 — Statements required where item is inapplicable or where answer is “none”
• § 260.7a-24 — Words relating to periods of time in the past
• § 260.7a-25 — Words relating to the future
• § 260.7a-26 — Disclaimer of control
• § 260.7a-27 — Title of securities
• § 260.7a-28 — Incorporation of matter in application, statement or report, other than exhibits, as answer to item
• § 260.7a-29 — Incorporation of exhibits as such
• § 260.7a-3 — Number of copies; filing; signatures; binding
• § 260.7a-30 — Identification of material incorporated; form of incorporation
• § 260.7a-31 — Incorporation by reference of contested material
• § 260.7a-32 — Incorporation by reference rendering document incomplete, unclear, or confusing
• § 260.7a-33 — Additional exhibits
• § 260.7a-34 — Omission of substantially identical documents
• § 260.7a-35 — Formal requirements as to amendments
• § 260.7a-36 — Signatures to amendments
• § 260.7a-37 — Inspection of applications, statements and reports
• § 260.7a-4 — Calculation of time
• § 260.7a-5 — Filing of amendments; number of copies
• § 260.7a-6 — Telegraphic delaying amendments
• § 260.7a-7 — Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission
• § 260.7a-8 — Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission
• § 260.7a-9 — Delaying amendments
• § 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
• § 260.10a-2 — General requirements as to form and content of applications
• § 260.10a-3 — Number of copies—Filing—Signatures
• § 260.10a-4 — Consent of trustee to service of process
• § 260.10a-5 — Eligibility of Canadian Trustees
• § 260.10b-1 — Calculation of percentages
• § 260.10b-2 — Applications under section 310(b)(1)(ii)
• § 260.10b-3 — Applications relative to affiliations between trustees and underwriters
• § 260.10b-4 — Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act
• § 260.10b-5 — Content
• § 260.10b-6 — Notices—Exemptive Application Procedure
• § 260.11b-4 — Definition of “cash transaction” in section 311(b)(4)
• § 260.11b-6 — Definition of “self-liquidating paper” in section 311(b)(6)
• § 260.14a-1 — Application of §§ 260.7a-15 to 260.7a-38
• § 260.19a-1 — Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors

PART 269

• § 269.0-1 — Availability of forms
• § 269.1 — Form T-1, for statement of eligibility and qualification for corporate trustees
• § 269.2 — Form T-2, for statement of eligibility and qualification for individual trustees
• § 269.3 — Form T-3, for application for qualification of trust indentures
• § 269.4 — Form T-4, for application for exemption pursuant to section 304(c) of the Act
• § 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
• § 269.6 — [Reserved]
• § 269.7 — Form ID, application for EDGAR access
• § 269.8 — Form SE, form for submission of paper format exhibits by electronic filers
• § 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
• § 269.10 — Form TH—Notification of reliance on temporary hardship exemption

PART 270

• § 270.0-1 — Definition of terms used in this part
• § 270.0-10 — Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act
• § 270.0-11 — Customer identification programs
• § 270.0-2 — General requirements of papers and applications
• § 270.0-3 — Amendments to registration statements and reports
• § 270.0-4 — Incorporation by reference
• § 270.0-5 — Procedure with respect to applications and other matters
• § 270.0-8 — Payment of filing fees
• § 270.0-9 — [Reserved]
• § 270.2a-1 — Valuation of portfolio securities in special cases
• § 270.2a-2 — Effect of eliminations upon valuation of portfolio securities
• § 270.2a-4 — Definition of “current net asset value” for use in computing periodically the current price of redeemable security
• § 270.2a-46 — Certain issuers as eligible portfolio companies
• § 270.2a-5 — Fair value determination and readily available market quotations
• § 270.2a-6 — Certain transactions not deemed assignments
• § 270.2a-7 — Money market funds
• § 270.2a19-2 — Investment company general partners not deemed interested persons
• § 270.2a19-3 — Certain investment company directors not considered interested persons because of ownership of index fund securities
• § 270.2a3-1 — Investment company limited partners not deemed affiliated persons
• § 270.2a41-1 — Valuation of standby commitments by registered investment companies
• § 270.2a51-1 — Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations
• § 270.2a51-2 — Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests
• § 270.2a51-3 — Certain companies as qualified purchasers
• § 270.3a-1 — Certain prima facie investment companies
• § 270.3a-2 — Transient investment companies
• § 270.3a-3 — Certain investment companies owned by companies which are not investment companies
• § 270.3a-4 — Status of investment advisory programs
• § 270.3a-5 — Exemption for subsidiaries organized to finance the operations of domestic or foreign companies
• § 270.3a-6 — Foreign banks and foreign insurance companies
• § 270.3a-7 — Issuers of asset-backed securities
• § 270.3a-8 — Certain research and development companies
• § 270.3a-9 — Crowdfunding vehicle
• § 270.3c-1 — Definition of beneficial ownership for certain 3(c)(1) funds
• § 270.3c-2 — Definition of beneficial ownership in small business investment companies
• § 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
• § 270.3c-4 — Definition of “common trust fund” as used in section 3(c)(3) of the Act
• § 270.3c-5 — Beneficial ownership by knowledgeable employees and certain other persons
• § 270.3c-6 — Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds
• § 270.3c-7 — Inflation-adjusted definition of qualifying venture capital fund
• § 270.5b-1 — Definition of “total assets.”
• § 270.5b-2 — Exclusion of certain guarantees as securities of the guarantor
• § 270.5b-3 — Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities
• § 270.6a-5 — Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act
• § 270.6b-1 — Exemption of employees' securities company pending determination of application
• § 270.6c-10 — Exemption for certain open-end management investment companies to impose deferred sales loads
• § 270.6c-11 — Exchange-traded funds
• § 270.6c-3 — Exemptions for certain registered variable life insurance separate accounts
• § 270.6c-6 — Exemption for certain registered separate accounts and other persons
• § 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
• § 270.6c-8 — Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges
• § 270.6d-1 — Exemption for certain closed-end investment companies
• § 270.6e-2 — Exemptions for certain variable life insurance separate accounts
• § 270.6e-3 — Exemptions for flexible premium variable life insurance separate accounts
• § 270.7d-1 — Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration
• § 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
• § 270.8b-1 — Scope of §§ 270.8b-1 through 270.8b-31
• § 270.8b-10 — Requirements as to proper form
• § 270.8b-11 — Number of copies; signatures; binding
• § 270.8b-12 — Requirements as to paper, printing and language
• § 270.8b-13 — Preparation of registration statement or report
• § 270.8b-14 — Riders; inserts
• § 270.8b-15 — Amendments
• § 270.8b-16 — Amendments to registration statement
• § 270.8b-2 — Definitions
• § 270.8b-20 — Additional information
• § 270.8b-21 — Information unknown or not available
• § 270.8b-22 — Disclaimer of control
• § 270.8b-23 — 270.8b-23-270.8b-24 [Reserved]
• § 270.8b-25 — Extension of time for furnishing information
• § 270.8b-3 — Title of securities
• § 270.8b-30 — Additional exhibits
• § 270.8b-31 — Omission of substantially identical documents
• § 270.8b-32 — [Reserved]
• § 270.8b-4 — Interpretation of requirements
• § 270.8b-5 — Time of filing original registration statement
• § 270.8b-6 — [Reserved]
• § 270.8f-1 — Deregistration of certain registered investment companies
• § 270.10b-1 — Definition of regular broker or dealer
• § 270.10e-1 — Death, disqualification, or bona fide resignation of directors
• § 270.10f-1 — Conditional exemption of certain underwriting transactions
• § 270.10f-2 — Exercise of warrants or rights received on portfolio securities
• § 270.10f-3 — Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate
• § 270.11a-1 — Definition of “exchange” for purposes of section 11 of the Act
• § 270.11a-2 — Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval
• § 270.11a-3 — Offers of exchange by open-end investment companies other than separate accounts
• § 270.12b-1 — Distribution of shares by registered open-end management investment company
• § 270.12d1-1 — Exemptions for investments in money market funds
• § 270.12d1-2 — [Reserved]
• § 270.12d1-3 — Exemptions for investment companies relying on section 12(d)(1)(F) of the Act
• § 270.12d1-4 — Exemptions for investments in certain investment companies
• § 270.12d2-1 — Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act
• § 270.12d3-1 — Exemption of acquisitions of securities issued by persons engaged in securities related businesses
• § 270.13a-1 — Exemption for change of status by temporarily diversified company
• § 270.14a-1 — Use of notification pursuant to regulation E under the Securities Act of 1933
• § 270.14a-2 — Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters
• § 270.14a-3 — Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters
• § 270.15a-1 — Exemption from stockholders' approval of certain small investment advisory contracts
• § 270.15a-2 — Annual continuance of contracts
• § 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
• § 270.15a-4 — Temporary exemption for certain investment advisers
• § 270.16a-1 — Exemption for initial period of directors of certain registered accounts from requirements of election by security holders
• § 270.17a-1 — Exemption of certain underwriting transactions exempted by § 270.10f-1
• § 270.17a-10 — Exemption for transactions with certain subadvisory affiliates
• § 270.17a-2 — Exemption of certain purchase, sale, or borrowing transactions
• § 270.17a-3 — Exemption of transactions with fully owned subsidiaries
• § 270.17a-4 — Exemption of transactions pursuant to certain contracts
• § 270.17a-5 — Pro rata distribution neither “sale” nor “purchase.”
• § 270.17a-6 — Exemption for transactions with portfolio affiliates
• § 270.17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof
• § 270.17a-8 — Mergers of affiliated companies
• § 270.17a-9 — Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate
• § 270.17d-1 — Applications regarding joint enterprises or arrangements and certain profit-sharing plans
• § 270.17d-2 — Form for report by small business investment company and affiliated bank
• § 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
• § 270.17e-1 — Brokerage transactions on a securities exchange
• § 270.17f-1 — Custody of securities with members of national securities exchanges
• § 270.17f-2 — Custody of investments by registered management investment company
• § 270.17f-3 — Free cash accounts for investment companies with bank custodians
• § 270.17f-4 — Custody of investment company assets with a securities depository
• § 270.17f-5 — Custody of investment company assets outside the United States
• § 270.17f-6 — Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations
• § 270.17f-7 — Custody of investment company assets with a foreign securities depository
• § 270.17g-1 — Bonding of officers and employees of registered management investment companies
• § 270.17j-1 — Personal investment activities of investment company personnel
• § 270.18c-1 — Exemption of privately held indebtedness
• § 270.18c-2 — Exemptions of certain debentures issued by small business investment companies
• § 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
• § 270.18f-2 — Fair and equitable treatment for holders of each class or series of stock of series investment companies
• § 270.18f-3 — Multiple class companies
• § 270.18f-4 — Exemption from the requirements of section 18 and section 61 for certain senior securities transactions
• § 270.19a-1 — Written statement to accompany dividend payments by management companies
• § 270.19b-1 — Frequency of distribution of capital gains
• § 270.20a-1 — Solicitation of proxies, consents and authorizations
• § 270.20a-2 — 270.20a-2-270.20a-4 [Reserved]
• § 270.22c-1 — Pricing of redeemable securities for distribution, redemption and repurchase
• § 270.22c-2 — Redemption fees for redeemable securities
• § 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
• § 270.22d-2 — Exemption from section 22(d) for certain registered separate accounts
• § 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
• § 270.22e-2 — Pricing of redemption requests in accordance with Rule 22c-1
• § 270.22e-3 — Exemption for liquidation of money market funds
• § 270.22e-4 — Liquidity risk management programs
• § 270.23c-1 — Repurchase of securities by closed-end companies
• § 270.23c-2 — Call and redemption of securities issued by registered closed-end companies
• § 270.23c-3 — Repurchase offers by closed-end companies
• § 270.24b-1 — Definitions
• § 270.24b-2 — Filing copies of sales literature
• § 270.24b-3 — Sales literature deemed filed
• § 270.24b-4 — Filing copies of covered investment fund research reports
• § 270.24e-1 — Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933
• § 270.24f-2 — Registration under the Securities Act of 1933 of certain investment company securities
• § 270.26a-1 — Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts
• § 270.27c-1 — [Reserved]
• § 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
• § 270.27d-2 — [Reserved]
• § 270.27e-1 — [Reserved]
• § 270.27f-1 — [Reserved]
• § 270.27g-1 — [Reserved]
• § 270.27h-1 — [Reserved]
• § 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
• § 270.28b-1 — Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended
• § 270.30a-1 — Annual report for registered investment companies
• § 270.30a-2 — Certification of Form N-CSR
• § 270.30a-3 — Controls and procedures
• § 270.30a-4 — Annual report for wholly-owned registered management investment company subsidiary of registered management investment company
• § 270.30b1-1 — 270.30b1-1-270.b1-3 [Reserved]
• § 270.30b1-10 — Current report for open-end and closed-end management investment companies
• § 270.30b1-4 — Report of proxy voting record
• § 270.30b1-5 — [Reserved]
• § 270.30b1-7 — Monthly report for money market funds
• § 270.30b1-8 — Current report for money market funds
• § 270.30b1-9 — Monthly report
• § 270.30b2-1 — Filing of reports to stockholders
• § 270.30d-1 — Filing of copies of reports to shareholders
• § 270.30e-1 — Reports to stockholders of management companies
• § 270.30e-2 — Reports to shareholders of unit investment trusts
• § 270.30e-3 — Internet availability of reports to shareholders
• § 270.30h-1 — Applicability of section 16 of the Exchange Act to section 30(h)
• § 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
• § 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
• § 270.31a-3 — Records prepared or maintained by other than person required to maintain and preserve them
• § 270.31a-4 — Records to be maintained and preserved by registered investment companies relating to fair value determinations
• § 270.32a-1 — Exemption of certain companies from affiliation provisions of section 32(a)
• § 270.32a-2 — Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts
• § 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
• § 270.32a-4 — Independent audit committees
• § 270.34b-1 — Sales literature deemed to be misleading
• § 270.35d-1 — Investment company names
• § 270.38a-1 — Compliance procedures and practices of certain investment companies
• § 270.45a-1 — Confidential treatment of names and addresses of dealers of registered investment company securities
• § 270.55a-1 — Investment activities of business development companies
• § 270.57b-1 — Exemption for downstream affiliates of business development companies
• § 270.60a-1 — Exemption for certain business development companies

PART 274

• § 274.0-1 — Availability of forms
• § 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
• § 274.10 — Form N-8A, for notification of registration
• § 274.11 — [Reserved]
• § 274.11A — Form N-1A, registration statement of open-end management investment companies
• § 274.11a-1 — Form N-2, registration statement of closed end management investment companies
• § 274.11b — Form N-3, registration statement of separate accounts organized as management investment companies
• § 274.11c — Form N-4, registration statement of separate accounts organized as unit investment trusts
• § 274.11d — Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies
• § 274.12 — Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities
• § 274.13 — Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates
• § 274.14 — Form N-8B-4, registration statements of face-amount certificate companies
• § 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
• § 274.24 — Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities
• § 274.51 — Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter
• § 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
• § 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
• § 274.101 — Form N-CEN, annual report of registered investment companies
• § 274.102-274.126 — 274.102-274.126 [Reserved]
• § 274.127d-1 — Form N-27D-1 accounting of segregated trust account
• § 274.128 — Form N-CSR, certified shareholder report
• § 274.129 — Form N-PX, annual report of proxy voting record
• § 274.130 — [Reserved]
• § 274.150 — Form N-PORT, Monthly portfolio holdings report
• § 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
• § 274.201 — Form N-MFP, portfolio holdings of money market funds
• § 274.202 — Form 3, initial statement of beneficial ownership of securities
• § 274.203 — Form 4, statement of changes in beneficial ownership of securities
• § 274.218 — Form N-8F, application for deregistration of certain registered investment companies
• § 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
• § 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
• § 274.221 — Form N-23c-3, Notification of repurchase offer
• § 274.222 — Form N-CR, Current report of money market fund material events
• § 274.223 — Form N-RN, Current report, open- and closed-end investment company reporting
• § 274.301 — Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act
• § 274.401 — [Reserved]
• § 274.402 — Form ID, uniform application for access codes to file on EDGAR
• § 274.403 — Form SE, form for submission of paper format exhibits by electronic filers
• § 274.404 — Form TH—Notification of reliance on temporary hardship exemption

PART 275

• § 275.0-2 — General procedures for serving non-residents
• § 275.0-3 — References to rules and regulations
• § 275.0-4 — General requirements of papers and applications
• § 275.0-5 — Procedure with respect to applications and other matters
• § 275.0-6 — Incorporation by reference in applications
• § 275.0-7 — Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act
• § 275.202(a)(1)-1 — Certain transactions not deemed assignments
• § 275.202(a)(11)(G)-1 — Family offices
• § 275.202(a)(30)-1 — Foreign private advisers
• § 275.203(l)-1 — Venture capital fund defined
• § 275.203(m)-1 — Private fund adviser exemption
• § 275.203-1 — Application for investment adviser registration
• § 275.203-2 — Withdrawal from investment adviser registration
• § 275.203-3 — Hardship exemptions
• § 275.203A-1 — Eligibility for SEC registration; Switching to or from SEC registration
• § 275.203A-2 — Exemptions from prohibition on Commission registration
• § 275.203A-3 — Definitions
• § 275.203A-4 — 275.203A-4-275.203A-6 [Reserved]
• § 275.204(b)-1 — Reporting by investment advisers to private funds
• § 275.204-1 — Amendments to Form ADV
• § 275.204-2 — Books and records to be maintained by investment advisers
• § 275.204-3 — Delivery of brochures and brochure supplements
• § 275.204-4 — Reporting by exempt reporting advisers
• § 275.204-5 — Delivery of Form CRS
• § 275.204A-1 — Investment adviser codes of ethics
• § 275.205-1 — Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices
• § 275.205-2 — Definition of “specified period” over which the asset value of the company or fund under management is averaged
• § 275.205-3 — Exemption from the compensation prohibition of section 205(a)(1) for investment advisers
• § 275.206(3)-1 — Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services
• § 275.206(3)-2 — Agency cross transactions for advisory clients
• § 275.206(4)-(3) — 275.206(4)-(3)-275.206(4)-4 [Reserved]
• § 275.206(4)-1 — Investment adviser marketing
• § 275.206(4)-2 — Custody of funds or securities of clients by investment advisers
• § 275.206(4)-5 — Political contributions by certain investment advisers
• § 275.206(4)-6 — Proxy voting
• § 275.206(4)-7 — Compliance procedures and practices
• § 275.206(4)-8 — Pooled investment vehicles
• § 275.222-1 — Definitions
• § 275.222-2 — Definition of “client” for purposes of the national de minimis standard

PART 279

• § 279.0-1 — Availability of forms
• § 279.1 — Form ADV, for application for registration of investment adviser and for amendments to such registration statement
• § 279.2 — Form ADV-W, notice of withdrawal from registration as investment adviser
• § 279.3 — Form ADV-H, application for a temporary or continuing hardship exemption
• § 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
• § 279.5-279.7 — 279.5-279.7 [Reserved]
• § 279.8 — Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser
• § 279.9 — Form PF, reporting by investment advisers to private funds

PART 285

• § 285.1 — Applicability of part
• § 285.2 — Periodic reports
• § 285.3 — Reports with respect to proposed distribution of primary obligations
• § 285.4 — Preparation and filing of reports

PART 286

• § 286.1 — Applicability of this part
• § 286.2 — Periodic reports
• § 286.3 — Reports with respect to proposed distribution of primary obligations
• § 286.4 — Preparation and filing of reports

PART 287

• § 287.1 — Applicability of this part
• § 287.2 — Periodic reports
• § 287.3 — Reports with respect to proposed distribution of primary obligations
• § 287.4 — Preparation and filing of reports
• § 287.101 — Schedule A—Information required in reports pursuant to § 287.3

PART 288

• § 288.1 — Applicability of this part
• § 288.2 — Periodic reports
• § 288.3 — Reports with respect to proposed distribution of primary obligations
• § 288.4 — Preparation and filing of reports
• § 288.101 — Schedule A. Information required in reports pursuant to § 288.3

PART 289

• § 289.1 — Applicability of this part
• § 289.2 — Periodic reports
• § 289.3 — Reports with respect to proposed distribution of primary obligations
• § 289.4 — Preparation and filing of reports
• § 289.101 — Schedule A. Information required in reports pursuant to § 289.3

PART 290

• § 290.1 — Applicability of this part
• § 290.2 — Periodic reports
• § 290.3 — Reports with respect to proposed distribution of obligations
• § 290.4 — Preparation and filing of reports
• § 290.101 — Schedule A. Information required in reports pursuant to § 290.3

PART 300

• § 300.100 — General
• § 300.101 — Individual accounts
• § 300.102 — Accounts held by executors, administrators, guardians, etc
• § 300.103 — Accounts held by a corporation, partnership or unincorporated association
• § 300.104 — Trust accounts
• § 300.105 — Joint accounts
• § 300.200 — General
• § 300.201 — Accounts introduced by same or different broker or dealer
• § 300.300 — Definitions
• § 300.301 — Contracts to be closed out or completed
• § 300.302 — Mechanics of closeout or completion
• § 300.303 — Report to trustee
• § 300.304 — Retained rights of brokers or dealers
• § 300.305 — Excluded contracts
• § 300.306 — Completion or closeout pursuant to SIPC direction
• § 300.307 — Completion with cash or securities of customer
• § 300.400 — Satisfaction of customer claims for standardized options
• § 300.500 — General
• § 300.501 — Claim for cash
• § 300.502 — Claim for securities
• § 300.503 — Voidable securities transactions
• § 300.600 — Rules relating to supplemental report on SIPC membership

PART 301

• § 301.0-1 — Availability of forms
• § 301.300a — Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments
• § 301.300b — Form 300-B, for report of all fails to deliver
• § 301.300c — Form 300-C, for report of all fails to receive

PART 302

• § 302.100 — Definitions
• § 302.101 — Appointment of receiver and trustee for covered broker or dealer
• § 302.102 — Notice and application for protective decree for covered broker or dealer
• § 302.103 — Bridge broker or dealer
• § 302.104 — Claims of customers and other creditors of a covered broker or dealer
• § 302.105 — Priorities for unsecured claims against a covered broker or dealer
• § 302.106 — Administrative expenses of SIPC
• § 302.107 — Qualified Financial Contracts

PART 400

• § 400.1 — Scope of regulations
• § 400.2 — Office responsible for regulations; filing of requests for exemptions, for interpretations and of other materials
• § 400.3 — Definitions
• § 400.4 — Information concerning associated persons of financial institutions that are government securities brokers or dealers
• § 400.5 — Amendments to application for registration and to notice of status as a government securities broker or dealer
• § 400.6 — Notice of withdrawal from business as a government securities broker or dealer by a financial institution

PART 401

• § 401.1 — Exemption for organizations handling transactions in United States Savings Bonds
• § 401.2 — Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities
• § 401.3 — Exemption for financial institutions that are engaged in limited government securities brokerage activities
• § 401.4 — Exemption for financial institutions engaged in limited government securities dealer activities
• § 401.5 — Exemption for corporate credit unions transacting limited government securities business with other credit unions
• § 401.6 — Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore
• § 401.7 — Exemption for certain foreign government securities brokers or dealers

PART 402

• § 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
• § 402.2 — Capital requirements for registered government securities brokers and dealers
• § 402.2a — Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2)
• § 402.2b — [Reserved]
• § 402.2c — Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates
• § 402.2d — Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2

PART 403

• § 403.1 — Application of part to registered brokers and dealers
• § 403.2 — Hypothecation of customer securities
• § 403.3 — Use of customers' free credit balances
• § 403.4 — Customer protection—reserves and custody of securities
• § 403.5 — Custody of securities held by financial institutions that are government securities brokers or dealers
• § 403.6 — Compliance with part by futures commission merchants
• § 403.7 — Effective dates

PART 404

• § 404.1 — Application of part to registered brokers and dealers
• § 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
• § 404.3 — Records to be preserved by registered government securities brokers and dealers
• § 404.4 — Records to be made and preserved by government securities brokers and dealers that are financial institutions
• § 404.5 — Securities counts by registered government securities brokers and dealers

PART 405

• § 405.1 — Application of part to registered brokers and dealers and to financial institutions; transition rule
• § 405.2 — Reports to be made by registered government securities brokers and dealers
• § 405.3 — Notification provisions for certain registered government securities brokers and dealers
• § 405.4 — Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers
• § 405.5 — Risk assessment reporting requirements for registered government securities brokers and dealers

PART 420

• § 420.1 — Applicability
• § 420.2 — Definitions
• § 420.3 — Reporting
• § 420.4 — Recordkeeping
• § 420.5 — Applicability date

PART 449

• § 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
• § 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
• § 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
• § 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
• § 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

PART 450

• § 450.1 — Scope of regulations; office responsible
• § 450.2 — Definitions
• § 450.3 — Exemption for holdings subject to fiduciary standards
• § 450.4 — Custodial holdings of government securities
• § 450.5 — Effective date