17 CFR Part 240 — General Rules and Regulations, Securities Exchange Act of 1934

Contents

7,849 provisions, too many to show on one page. Open a part or section to read it with its history and connections, or search inside the text.

1. 240.0-1 · -1 Definitions.
2. 240.0-10 · -10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
3. 240.0-11 · -11 Filing fees for certain acquisitions, dispositions and similar transactions.
4. 240.0-12 · -12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
5. 240.0-13 · -13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
6. 240.0-2 · -2 Business hours of the Commission.
7. 240.0-3 · -3 Filing of material with the Commission.
8. 240.0-4 · -4 Nondisclosure of information obtained in examinations and investigations.
9. 240.0-5 · -5 Reference to rule by obsolete designation.
10. 240.0-6 · -6 Disclosure detrimental to the national defense or foreign policy.
11. 240.0-8 · -8 Application of rules to registered broker-dealers.
12. 240.0-9 · -9 Payment of filing fees.
13. 240.10A-1 · -1 Notice to the Commission Pursuant to Section 10A of the Act.
14. 240.10a-1 - 240.10a-2 · -1-240.10a-2 [Reserved]
15. 240.10A-2 · -2 Auditor independence.
16. 240.10A-3 · -3 Listing standards relating to audit committees.
17. 240.10b-1 · -1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
18. 240.10b-10 · -10 Confirmation of transactions.
19. 240.10b-13 · -13 [Reserved]
20. 240.10b-16 · -16 Disclosure of credit terms in margin transactions.
21. 240.10b-17 · -17 Untimely announcements of record dates.
22. 240.10b-18 · -18 Purchases of certain equity securities by the issuer and others.
23. 240.10b-2 · -2 [Reserved]
24. 240.10b-21 · -21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
25. 240.10b-3 · -3 Employment of manipulative and deceptive devices by brokers or dealers.
26. 240.10b-4 · -4 [Reserved]
27. 240.10b-5 · -5 Employment of manipulative and deceptive devices.
28. 240.10b-6 - 240.10b-8 · -6-240.10b-8 [Reserved]
29. 240.10b-9 · -9 Prohibited representations in connection with certain offerings.
30. 240.10b5-1 · 5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
31. 240.10b5-2 · 5-2 Duties of trust or confidence in misappropriation insider trading cases.
32. 240.10C-1 · -1 Listing standards relating to compensation committees.
33. 240.10c-1a · -1a Securities lending transparency.
34. 240.10D-1 · -1 Listing standards relating to recovery of erroneously awarded compensation.
35. 240.11a-1 · -1 Regulation of floor trading.
36. 240.11a1-1(T) · 1-1(T) Transactions yielding priority, parity, and precedence.
37. 240.11a1-2 · 1-2 Transactions for certain accounts of associated persons of members.
38. 240.11a1-3(T) · 1-3(T) Bona fide hedge transactions in certain securities.
39. 240.11a1-4(T) · 1-4(T) Bond transactions on national securities exchanges.
40. 240.11a1-5 · 1-5 Transactions by registered competitive market makers and registered equity market makers.
41. 240.11a1-6 · 1-6 Transactions for certain accounts of OTC derivatives dealers.
42. 240.11a2-2(T) · 2-2(T) Transactions effected by exchange members through other members.
43. 240.11b-1 · -1 Regulation of specialists.
44. 240.11d1-1 · 1-1 Exemption of certain securities from section 11(d)(1).
45. 240.11d1-2 · 1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
46. 240.11d2-1 · 2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
47. 240.12a-10 · -10 Exemption of security-based swaps from section 12(a) of the Act.
48. 240.12a-11 · -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.
49. 240.12a-4 · -4 Exemption of certain warrants from section 12(a).
50. 240.12a-5 · -5 Temporary exemption of substituted or additional securities.
51. 240.12a-6 · -6 Exemption of securities underlying certain options from section 12(a).
52. 240.12a-7 · -7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
53. 240.12a-8 · -8 Exemption of depositary shares.
54. 240.12a-9 · -9 Exemption of standardized options from section 12(a) of the Act.
55. 240.12b-1 · -1 Scope of regulation.
56. 240.12b-10 · -10 Requirements as to proper form.
57. 240.12b-11 · -11 Number of copies; signatures; binding.
58. 240.12b-12 · -12 Requirements as to paper, printing and language.
59. 240.12b-13 · -13 Preparation of statement or report.
60. 240.12b-14 · -14 Riders; inserts.
61. 240.12b-15 · -15 Amendments.
62. 240.12b-2 · -2 Definitions.
    1. (i) The issuer had an aggregate worldwide market value of the voting and non-voting common equity held by its non-affiliates of $75 million or more, but less th
    2. (ii) The issuer has been subject to the requirements of section 13(a) or 15(d) of the Act (15 U.S.C. 78m or 78o(d)) for a period of at least twelve calendar mon
63. 240.12b-20 · -20 Additional information.
64. 240.12b-21 · -21 Information unknown or not available.
65. 240.12b-22 · -22 Disclaimer of control.
66. 240.12b-23 · -23 Incorporation by reference.
67. 240.12b-24 · -24 [Reserved]
68. 240.12b-25 · -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.
69. 240.12b-3 · -3 Title of securities.
70. 240.12b-30 · -30 Additional exhibits.
71. 240.12b-31 · -31 Omission of substantially identical documents.
72. 240.12b-32 · -32 [Reserved]
73. 240.12b-33 · -33 Annual reports to other Federal agencies.
74. 240.12b-35 · -35 [Reserved]
75. 240.12b-36 · -36 Use of financial statements filed under other acts.
76. 240.12b-37 · -37 Satisfaction of filing requirements.
77. 240.12b-4 · -4 Supplemental information.
78. 240.12b-5 · -5 Determination of affiliates of banks.
79. 240.12b-6 · -6 When securities are deemed to be registered.
80. 240.12b-7 · -7 [Reserved]
81. 240.12d1-1 · 1-1 Registration effective as to class or series.
82. 240.12d1-2 · 1-2 Effectiveness of registration.
83. 240.12d1-3 · 1-3 Requirements as to certification.
84. 240.12d1-4 · 1-4 Date of receipt of certification by Commission.
85. 240.12d1-5 · 1-5 Operation of certification on subsequent amendments.
86. 240.12d1-6 · 1-6 Withdrawal of certification.
87. 240.12d2-1 · 2-1 Suspension of trading.
88. 240.12d2-2 · 2-2 Removal from listing and registration.
89. 240.12f-1 · -1 Applications for permission to reinstate unlisted trading privileges.
90. 240.12f-2 · -2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.
91. 240.12f-3 · -3 Termination or suspension of unlisted trading privileges.
92. 240.12f-4 · -4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
93. 240.12f-5 · -5 Exchange rules for securities to which unlisted trading privileges are extended.
94. 240.12f-6 · -6 [Reserved]
95. 240.12g-1 · -1 Registration of securities; exemption from section 12(g).
96. 240.12g-2 · -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).
97. 240.12g-3 · -3 Registration of securities of successor issuers under section 12(b) or 12(g).
98. 240.12g-4 · -4 Certifications of termination of registration under section 12(g).
99. 240.12g-6 · -6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
100. 240.12g3-2 · 3-2 Exemptions for American depositary receipts and certain foreign securities.
101. 240.12g5-1 · 5-1 Definition of securities “held of record”.
102. 240.12g5-2 · 5-2 Definition of “total assets”.
103. 240.12h-1 · -1 Exemptions from registration under section 12(g) of the Act.
104. 240.12h-2 · -2 [Reserved]
105. 240.12h-3 · -3 Suspension of duty to file reports under section 15(d).
106. 240.12h-4 · -4 Exemption from duty to file reports under section 15(d).
107. 240.12h-5 · -5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
108. 240.12h-6 · -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).
109. 240.12h-7 · -7 Exemption for issuers of securities that are subject to insurance regulation.
110. 240.13a-1 · -1 Requirements of annual reports.
111. 240.13a-10 · -10 Transition reports.
112. 240.13a-11 · -11 Current reports on Form 8-K (§ 249.308 of this chapter).
113. 240.13a-13 · -13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
114. 240.13a-14 · -14 Certification of disclosure in annual and quarterly reports.
115. 240.13a-15 · -15 Controls and procedures.
116. 240.13a-16 · -16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
117. 240.13a-17 · -17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
118. 240.13a-18 · -18 Compliance with servicing criteria for asset-backed securities.
119. 240.13a-19 · -19 Reports by shell companies on Form 20-F.
120. 240.13a-2 · -2 [Reserved]
121. 240.13a-20 · -20 Plain English presentation of specified information.
122. 240.13a-21 · -21 [Reserved]
123. 240.13a-3 · -3 Reporting by Form 40-F registrant.
124. 240.13b2-1 · 2-1 Falsification of accounting records.
125. 240.13b2-2 · 2-2 Representations and conduct in connection with the preparation of required reports and documents.
126. 240.13d-1 · -1 Filing of Schedules 13D and 13G.
127. 240.13d-101 · -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).
128. 240.13d-102 · -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.
129. 240.13d-2 · -2 Filing of amendments to Schedules 13D or 13G.
130. 240.13d-3 · -3 Determination of beneficial owner.
131. 240.13d-4 · -4 Disclaimer of beneficial ownership.
132. 240.13d-5 · -5 Acquisition of beneficial ownership.
133. 240.13d-6 · -6 Exemption of certain acquisitions.
134. 240.13d-7 · -7 [Reserved]
135. 240.13e-1 · -1 Purchase of securities by the issuer during a third-party tender offer.
     1. (a) Files a statement with the Commission containing the following information:
     2. (b) Pays the fee required by § 240.0-11 when it files the initial statement and any amendment with respect to which an additional fee is due.
     3. (c) Submits to the Commission the exhibit required by paragraph (a)(7) of this section as required by § 232.408 of this chapter (Rule 408 of Regulation S-T).
     4. (d) This section does not apply to periodic repurchases in connection with an employee benefit plan or other similar plan of the issuer so long as the purchases
136. 240.13e-100 · -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.
137. 240.13e-101 · -101 [Reserved]
138. 240.13e-102 · -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.
139. 240.13e-2 · -2 [Reserved]
140. 240.13e-3 · -3 Going private transactions by certain issuers or their affiliates.
141. 240.13e-4 · -4 Tender offers by issuers.
142. 240.13f-1 · -1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
143. 240.13f-2 · -2 Reporting by institutional investment managers regarding gross short position and activity information.
144. 240.13h-1 · -1 Large trader reporting.
145. 240.13k-1 · -1 Foreign bank exemption from the insider lending prohibition under section 13(k).
146. 240.13n-1 · -1 Registration of security-based swap data repository.
147. 240.13n-10 · -10 Disclosure requirements of security-based swap data repository.
148. 240.13n-11 · -11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
149. 240.13n-12 · -12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
150. 240.13n-2 · -2 Withdrawal from registration; revocation and cancellation.
151. 240.13n-3 · -3 Registration of successor to registered security-based swap data repository.
152. 240.13n-4 · -4 Duties and core principles of security-based swap data repository.
153. 240.13n-5 · -5 Data collection and maintenance.
154. 240.13n-6 · -6 Automated systems.
155. 240.13n-7 · -7 Recordkeeping of security-based swap data repository.
156. 240.13n-8 · -8 Reports to be provided to the Commission.
157. 240.13n-9 · -9 Privacy requirements of security-based swap data repository.
158. 240.13p-1 · -1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
159. 240.13q-1 · -1 Disclosure of payments made by resource extraction issuers.
160. 240.14a-1 · -1 Definitions.
161. 240.14a-10 · -10 Prohibition of certain solicitations.
162. 240.14a-101 · -101 Schedule 14A. Information required in proxy statement.
     1. (1) Describe the nature of the action to be taken on the Distribution Plan and the reason therefor, the terms of the Distribution Plan to be acted upon, and, if
     2. (2) If the Fund has a Distribution Plan in effect:
     3. (3) Describe briefly and state the approximate amount of, where practicable, any material interest, direct or indirect, of any director or nominee for election
     4. (4) Discuss in reasonable detail the material factors and the conclusions with respect thereto which form the basis for the conclusion of the board of directors
     5. (5) Name each officer or director of the Fund who is an officer, employee, director, general partner or shareholder of the investment adviser. As to any officer
     6. (6) Describe briefly and state the approximate amount of, where practicable, any material interest, direct or indirect, of any director of the Fund in any mater
     7. (7) Disclose any financial condition of the investment adviser that is reasonably likely to impair the financial ability of the adviser to fulfill its commitmen
     8. (8) Describe the nature of the action to be taken on the investment advisory contract and the reasons therefor, the terms of the contract to be acted upon, and,
     9. (9) If a change in the investment advisory fee is sought, state:
     10. (10) If the investment adviser acts as such with respect to any other Fund having a similar investment objective, identify and state the size of such other Fund
     11. (11) Discuss in reasonable detail the material factors and the conclusions with respect thereto that form the basis for the recommendation of the board of direc
     12. (12) Describe any arrangement or understanding made in connection with the proposed investment advisory contract with respect to the composition of the board of
     13. (13) For the most recently completed fiscal year, state:
     14. (14) Disclose the amount of any fees paid by the Fund to the investment adviser, its affiliated persons or any affiliated person of such person during the most
     15. (15) (i) Provide the information (and in the format) required by Items 407(b)(1), (b)(2) and (f) of Regulation S-K (§ 229.407(b)(1), (b)(2) and (f) of this chap
     16. (16) In the case of a Fund that is a closed-end investment company:
     17. (17) In the case of a Fund that is an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a), if a director has resigned or decl
     18. (18) [Reserved]
     19. (19) If a Fund is required to include a shareholder nominee or nominees submitted to the Fund for inclusion in the Fund's proxy materials pursuant to a procedur
     20. (20) In the case of a Fund that is an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a) that is required to develop and imp
163. 240.14a-102 · -102 [Reserved]
164. 240.14a-103 · -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).
165. 240.14a-104 · -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).
166. 240.14a-12 · -12 Solicitation before furnishing a proxy statement.
167. 240.14a-13 · -13 Obligation of registrants in communicating with beneficial owners.
168. 240.14a-14 · -14 Modified or superseded documents.
169. 240.14a-15 · -15 Differential and contingent compensation in connection with roll-up transactions.
170. 240.14a-16 · -16 Internet availability of proxy materials.
171. 240.14a-17 · -17 Electronic shareholder forums.
172. 240.14a-18 · -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.
173. 240.14a-19 · -19 Solicitation of proxies in support of director nominees other than the registrant's nominees.
174. 240.14a-2 · -2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
175. 240.14a-20 · -20 Shareholder approval of executive compensation of TARP recipients.
176. 240.14a-21 · -21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
177. 240.14a-3 · -3 Information to be furnished to security holders.
178. 240.14a-4 · -4 Requirements as to proxy.
179. 240.14a-5 · -5 Presentation of information in proxy statement.
180. 240.14a-6 · -6 Filing requirements.
181. 240.14a-7 · -7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
182. 240.14a-8 · -8 Shareholder proposals.
183. 240.14a-9 · -9 False or misleading statements.
184. 240.14Ad-1 · d-1 Report of proxy voting record.
185. 240.14b-1 · -1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
186. 240.14b-2 · -2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
187. 240.14c-1 · -1 Definitions.
188. 240.14c-101 · -101 Schedule 14C. Information required in information statement.
189. 240.14c-2 · -2 Distribution of information statement.
190. 240.14c-3 · -3 Annual report to be furnished security holders.
191. 240.14c-4 · -4 Presentation of information in information statement.
192. 240.14c-5 · -5 Filing requirements.
193. 240.14c-6 · -6 False or misleading statements.
194. 240.14c-7 · -7 Providing copies of material for certain beneficial owners.
195. 240.14d-1 · -1 Scope of and definitions applicable to Regulations 14D and 14E.
196. 240.14d-10 · -10 Equal treatment of security holders.
197. 240.14d-100 · -100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
198. 240.14d-101 · -101 Schedule 14D-9.
199. 240.14d-102 · -102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
200. 240.14d-103 · -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.
201. 240.14d-11 · -11 Subsequent offering period.
202. 240.14d-2 · -2 Commencement of a tender offer.
203. 240.14d-3 · -3 Filing and transmission of tender offer statement.
204. 240.14d-4 · -4 Dissemination of tender offers to security holders.
205. 240.14d-5 · -5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
206. 240.14d-6 · -6 Disclosure of tender offer information to security holders.
207. 240.14d-7 · -7 Additional withdrawal rights.
208. 240.14d-8 · -8 Exemption from statutory pro rata requirements.
209. 240.14d-9 · -9 Recommendation or solicitation by the subject company and others.
210. 240.14e-1 · -1 Unlawful tender offer practices.
211. 240.14e-2 · -2 Position of subject company with respect to a tender offer.
212. 240.14e-3 · -3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
213. 240.14e-4 · -4 Prohibited transactions in connection with partial tender offers.
214. 240.14e-5 · -5 Prohibiting purchases outside of a tender offer.
215. 240.14e-6 · -6 Repurchase offers by certain closed-end registered investment companies.
216. 240.14e-7 · -7 Unlawful tender offer practices in connection with roll-ups.
217. 240.14e-8 · -8 Prohibited conduct in connection with pre-commencement communications.
218. 240.14f-1 · -1 Change in majority of directors.
219. 240.14n-1 · -1 Filing of Schedule 14N.
220. 240.14n-101 · -101 Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
221. 240.14n-2 · -2 Filing of amendments to Schedule 14N.
222. 240.14n-3 · -3 Dissemination.
223. 240.15a-1 · -1 Securities activities of OTC derivatives dealers.
224. 240.15a-10 · -10 Exemption of certain brokers or dealers with respect to security futures products.
225. 240.15a-11 · -11 [Reserved]
226. 240.15a-12 · -12 Exemption for certain security-based swap execution facilities from certain broker requirements.
227. 240.15a-2 · -2 Exemption of certain securities of cooperative apartment houses from section 15(a).
228. 240.15a-3 · -3 [Reserved]
229. 240.15a-4 · -4 Forty-five day exemption from registration for certain members of national securities exchanges.
230. 240.15a-5 · -5 Exemption of certain nonbank lenders.
231. 240.15a-6 · -6 Exemption of certain foreign brokers or dealers.
232. 240.15a-7 - 240.15a-9 · -7-240.15a-9 [Reserved]
233. 240.15aa-1 · a-1 Registration of a national or an affiliated securities association.
234. 240.15aa-2 · a-2 Amendments and supplements to registration statements of securities associations.
235. 240.15Al2-1 · l2-1 [Reserved]
236. 240.15b1-1 · 1-1 Application for registration of brokers or dealers.
237. 240.15b1-2 · 1-2 [Reserved]
238. 240.15b1-3 · 1-3 Registration of successor to registered broker or dealer.
239. 240.15b1-4 · 1-4 Registration of fiduciaries.
240. 240.15b1-5 · 1-5 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.
241. 240.15b1-6 · 1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
242. 240.15b11-1 · 11-1 Registration by notice of security futures product broker-dealers.
243. 240.15b2-2 · 2-2 Inspection of newly registered brokers and dealers.
244. 240.15b3-1 · 3-1 Amendments to application.
245. 240.15b5-1 · 5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
246. 240.15b6-1 · 6-1 Withdrawal from registration.
247. 240.15b7-1 · 7-1 Compliance with qualification requirements of self-regulatory organizations.
248. 240.15b7-3T · 7-3T Operational capability in a Year 2000 environment.
249. 240.15b9-1 · 9-1 Exemption for certain exchange members.
250. 240.15b9-2 · 9-2 Exemption from SRO membership for OTC derivatives dealers.
251. 240.15Ba1-1 · a1-1 Definitions.
252. 240.15Ba1-2 · a1-2 Registration of municipal advisors and information regarding certain natural persons.
253. 240.15Ba1-3 · a1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
254. 240.15Ba1-4 · a1-4 Withdrawal from municipal advisor registration.
255. 240.15Ba1-5 · a1-5 Amendments to Form MA and Form MA-I.
256. 240.15Ba1-6 · a1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
257. 240.15Ba1-7 · a1-7 Registration of successor to municipal advisor.
258. 240.15Ba1-8 · a1-8 Books and records to be made and maintained by municipal advisors.
259. 240.15Ba2-1 · a2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
260. 240.15Ba2-2 · a2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
261. 240.15Ba2-4 · a2-4 Registration of successor to registered municipal securities dealer.
262. 240.15Ba2-5 · a2-5 Registration of fiduciaries.
263. 240.15Ba2-6 · a2-6 [Reserved]
264. 240.15Bc3-1 · c3-1 Withdrawal from registration of municipal securities dealers.
265. 240.15Bc4-1 · c4-1 Persons associated with municipal advisors.
266. 240.15Bc7-1 · c7-1 Availability of examination reports.
267. 240.15c1-1 · 1-1 Definitions.
268. 240.15c1-2 · 1-2 Fraud and misrepresentation.
269. 240.15c1-3 · 1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
270. 240.15c1-4 · 1-4 [Reserved]
271. 240.15c1-5 · 1-5 Disclosure of control.
272. 240.15c1-6 · 1-6 Disclosure of interest in distribution.
273. 240.15c1-7 · 1-7 Discretionary accounts.
274. 240.15c1-8 · 1-8 Sales at the market.
275. 240.15c1-9 · 1-9 Use of pro forma balance sheets.
276. 240.15c2-1 · 2-1 Hypothecation of customers' securities.
277. 240.15c2-11 · 2-11 Publication or submission of quotations without specified information.
278. 240.15c2-12 · 2-12 Municipal securities disclosure.
279. 240.15c2-3 · 2-3 [Reserved]
280. 240.15c2-4 · 2-4 Transmission or maintenance of payments received in connection with underwritings.
281. 240.15c2-5 · 2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
282. 240.15c2-6 · 2-6 [Reserved]
283. 240.15c2-7 · 2-7 Identification of quotations.
284. 240.15c2-8 · 2-8 Delivery of prospectus.
285. 240.15c3-1 · 3-1 Net capital requirements for brokers or dealers.
     1. (a) Every broker or dealer must at all times have and maintain net capital no less than the greater of the highest minimum requirement applicable to its ratio r
     2. (b) Exemptions:
     3. (c) Definitions. For the purpose of this section: Aggregate Indebtedness
     4. (e) (1) Notice provisions relating to limitations on the withdrawal of equity capital. No equity capital of the broker or dealer or a subsidiary or affiliate co
     5. (i) Two business days prior to any withdrawals, advances or loans if those withdrawals, advances or loans on a net basis exceed in the aggregate in any 30 calen
     6. (ii) Two business days after any withdrawals, advances or loans if those withdrawals, advances or loans on a net basis exceed in the aggregate in any 30 calenda
286. 240.15c3-1a · 3-1a Options (Appendix A to 17 CFR 240.15c3-1).
287. 240.15c3-1b · 3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
     1. (a) Every broker or dealer in computing net capital pursuant to 17 CFR 240.15c3-1 shall comply with the following:
     2. (b) Every broker or dealer in computing net capital pursuant to § 240.15c3-1 must comply with the following:
     3. (ii) All other swaps. (A) In the case of a non-cleared swap that is not a credit default swap for which the deductions in § 240.15c3-1e do not apply, deducting
288. 240.15c3-1c · 3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
289. 240.15c3-1d · 3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
290. 240.15c3-1e · 3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
     1. (a) A broker or dealer may apply to the Commission for authorization to compute deductions for market risk pursuant to this section in lieu of computing deducti
     2. (b) A broker or dealer whose application, including amendments, has been approved under paragraph (a) of this appendix E shall compute a deduction for market ri
     3. (c) A broker or dealer whose application, including amendments, has been approved under paragraph (a) of this appendix E shall compute a deduction for credit ri
     4. (e) As a condition for the broker or dealer to use this appendix E to calculate certain of its capital charges, the Commission may impose additional conditions
     5. (i) It will notify the Commission 45 days before it ceases to compute deductions for market and credit risk under this appendix E; and
     6. (ii) The maximum potential exposure is the VaR of the counterparty's positions with the broker or dealer, after applying netting agreements with the counterpart
291. 240.15c3-1f · 3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
     1. (a) An OTC derivatives dealer may apply to the Commission for authorization to compute capital charges for market and credit risk pursuant to this Appendix F in
     2. (b) An OTC derivatives dealer must be in compliance in all material respects with § 240.15c3-4 regarding its internal risk management control systems in order t
     3. (c) An OTC derivatives dealer electing to apply this appendix F shall compute a capital charge for market risk which shall be the aggregate of the charges compu
     4. (d) The capital charge for credit risk arising from an OTC derivatives dealer's transactions in eligible OTC derivative instruments shall be:
     5. (e) An OTC derivatives dealer's VAR model must meet the following qualitative and quantitative requirements:
292. 240.15c3-1g · 3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
293. 240.15c3-2 · 3-2 [Reserved]
294. 240.15c3-3 · 3-3 Customer protection—reserves and custody of securities.
295. 240.15c3-3a · 3-3a Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
296. 240.15c3-3b · 3-3b Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
297. 240.15c3-4 · 3-4 Internal risk management control systems for OTC derivatives dealers.
298. 240.15c3-5 · 3-5 Risk management controls for brokers or dealers with market access.
299. 240.15c6-1 · 6-1 Settlement cycle.
300. 240.15c6-2 · 6-2 Same-day allocation, confirmation, and affirmation.
301. 240.15Ca1-1 · a1-1 Notice of government securities broker-dealer activities.
302. 240.15Ca2-1 · a2-1 Application for registration as a government securities broker or government securities dealer.
303. 240.15Ca2-2 · a2-2 [Reserved]
304. 240.15Ca2-3 · a2-3 Registration of successor to registered government securities broker or government securities dealer.
305. 240.15Ca2-4 · a2-4 Registration of fiduciaries.
306. 240.15Ca2-5 · a2-5 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.
307. 240.15Cc1-1 · c1-1 Withdrawal from registration of government securities brokers or government securities dealers.
308. 240.15d-1 · -1 Requirement of annual reports.
309. 240.15d-10 · -10 Transition reports.
310. 240.15d-11 · -11 Current reports on Form 8-K (§ 249.308 of this chapter).
311. 240.15d-13 · -13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
312. 240.15d-14 · -14 Certification of disclosure in annual and quarterly reports.
313. 240.15d-15 · -15 Controls and procedures.
314. 240.15d-16 · -16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
315. 240.15d-17 · -17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
316. 240.15d-18 · -18 Compliance with servicing criteria for asset-backed securities.
317. 240.15d-19 · -19 Reports by shell companies on Form 20-F.
318. 240.15d-2 · -2 Special financial report.
319. 240.15d-20 · -20 Plain English presentation of specified information.
320. 240.15d-21 · -21 Reports for employee stock purchase, savings and similar plans.
321. 240.15d-22 · -22 Reporting regarding asset-backed securities under section 15(d) of the Act.
322. 240.15d-23 · -23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
323. 240.15d-3 · -3 Reports for depositary shares registered on Form F-6.
324. 240.15d-4 · -4 Reporting by Form 40-F registrants.
325. 240.15d-5 · -5 Reporting by successor issuers.
326. 240.15d-6 · -6 Suspension of duty to file reports.
327. 240.15Fb1-1 · b1-1. Signatures.
328. 240.15Fb2-1 · b2-1 Registration of security-based swap dealers and major security-based swap participants.
329. 240.15Fb2-3 · b2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
330. 240.15Fb2-4 · b2-4 Nonresident security-based swap dealers and major security-based swap participants.
331. 240.15Fb2-5 · b2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
332. 240.15Fb2-6 · b2-6 Registration of fiduciaries.
333. 240.15Fb3-1 · b3-1 Duration of registration.
334. 240.15Fb3-2 · b3-2 Withdrawal from registration.
335. 240.15Fb3-3 · b3-3 Cancellation and revocation of registration.
336. 240.15Fb6-1 · b6-1 [Reserved]
337. 240.15Fb6-2 · b6-2 Associated person certification.
338. 240.15Fh-1 · h-1 Scope and reliance on representations.
339. 240.15Fh-2 · h-2 Definitions.
340. 240.15Fh-3 · h-3 Business conduct requirements.
341. 240.15fh-4 · h-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.
342. 240.15Fh-5 · h-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
343. 240.15Fh-6 · h-6 Political contributions by certain security-based swap dealers.
344. 240.15Fi-1 · i-1 Definitions.
345. 240.15Fi-2 · i-2 Acknowledgment and verification of security-based swap transactions.
346. 240.15fi-3 · i-3 Security-based swap portfolio reconciliation.
347. 240.15Fi-4 · i-4 Security-based swap portfolio compression.
348. 240.15Fi-5 · i-5 Security-based swap trading relationship documentation.
349. 240.15fk-1 · k-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
350. 240.15g-1 · -1 Exemptions for certain transactions.
351. 240.15g-100 · -100 Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
352. 240.15g-2 · -2 Penny stock disclosure document relating to the penny stock market.
353. 240.15g-3 · -3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
354. 240.15g-4 · -4 Disclosure of compensation to brokers or dealers.
355. 240.15g-5 · -5 Disclosure of compensation of associated persons in connection with penny stock transactions.
356. 240.15g-6 · -6 Account statements for penny stock customers.
357. 240.15g-8 · -8 Sales of escrowed securities of blank check companies.
358. 240.15g-9 · -9 Sales practice requirements for certain low-priced securities.
359. 240.15Ga-1 · a-1 Repurchases and replacements relating to asset-backed securities.
360. 240.15Ga-2 · a-2 Findings and conclusions of third-party due diligence reports.
361. 240.15l-1 · -1 Regulation best interest.
362. 240.16a-1 · -1 Definition of terms.
363. 240.16a-10 · -10 Exemptions under section 16(a).
364. 240.16a-11 · -11 Dividend or interest reinvestment plans.
365. 240.16a-12 · -12 Domestic relations orders.
366. 240.16a-13 · -13 Change in form of beneficial ownership.
367. 240.16a-2 · -2 Persons and transactions subject to section 16.
     1. (a) A transaction(s) carried out by a director or officer in the six months prior to the director or officer becoming subject to section 16 of the Act shall be
     2. (b) A transaction(s) following the cessation of director or officer status shall be subject to section 16 of the Act only if:
     3. (c) The transaction that results in a person becoming a ten percent beneficial owner is not subject to section 16 of the Act unless the person otherwise is subj
     4. (d) (1) Transactions by a person or entity shall be exempt from the provisions of section 16 of the Act for the 12 months following appointment and qualificatio
     5. (i) Executor or administrator of the estate of a decedent;
     6. (ii) Guardian or member of a committee for an incompetent;
368. 240.16a-3 · -3 Reporting transactions and holdings.
369. 240.16a-4 · -4 Derivative securities.
370. 240.16a-5 · -5 Odd-lot dealers.
371. 240.16a-6 · -6 Small acquisitions.
372. 240.16a-7 · -7 Transactions effected in connection with a distribution.
373. 240.16a-8 · -8 Trusts.
374. 240.16a-9 · -9 Stock splits, stock dividends, and pro rata rights.
375. 240.16b-1 · -1 Transactions approved by a regulatory authority.
376. 240.16b-2 · -2 [Reserved]
377. 240.16b-3 · -3 Transactions between an issuer and its officers or directors.
378. 240.16b-4 · -4 [Reserved]
379. 240.16b-5 · -5 Bona fide gifts and inheritance.
380. 240.16b-6 · -6 Derivative securities.
381. 240.16b-7 · -7 Mergers, reclassifications, and consolidations.
382. 240.16b-8 · -8 Voting trusts.
383. 240.16c-1 · -1 Brokers.
384. 240.16c-2 · -2 Transactions effected in connection with a distribution.
385. 240.16c-3 · -3 Exemption of sales of securities to be acquired.
386. 240.16c-4 · -4 Derivative securities.
387. 240.16e-1 · -1 Arbitrage transactions under section 16.
388. 240.17a-1 · -1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
389. 240.17a-10 · -10 Report on revenue and expenses.
390. 240.17a-11 · -11 Notification provisions for brokers and dealers.
391. 240.17a-12 · -12 Reports to be made by certain OTC derivatives dealers.
392. 240.17a-13 · -13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
393. 240.17a-14 · -14 Form CRS, for preparation, filing and delivery of Form CRS.
394. 240.17a-18 · -18 [Reserved]
395. 240.17a-19 · -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.
396. 240.17a-2 · -2 Recordkeeping requirements relating to stabilizing activities.
397. 240.17a-21 · -21 Reports of the Municipal Securities Rulemaking Board.
398. 240.17a-22 · -22 Supplemental material of registered clearing agencies.
399. 240.17a-25 · -25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
400. 240.17a-3 · -3 Records to be made by certain exchange members, brokers and dealers.
401. 240.17a-4 · -4 Records to be preserved by certain exchange members, brokers and dealers.
402. 240.17a-5 · -5 Reports to be made by certain brokers and dealers.
403. 240.17a-6 · -6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
404. 240.17a-7 · -7 Records of non-resident brokers and dealers.
405. 240.17a-8 · -8 Financial recordkeeping and reporting of currency and foreign transactions.
406. 240.17a-9T · -9T Records to be made and retained by certain exchange members, brokers and dealers.
407. 240.17ab2-1 · b2-1 Registration of clearing agencies.
408. 240.17Ab2-2 · b2-2 Determinations affecting covered clearing agencies.
409. 240.17Ac2-1 · c2-1 Application for registration of transfer agents.
410. 240.17Ac2-2 · c2-2 Annual reporting requirement for registered transfer agents.
411. 240.17Ac3-1 · c3-1 Withdrawal from registration with the Commission.
412. 240.17Ad-1 · d-1 Definitions.
413. 240.17Ad-10 · d-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.
414. 240.17Ad-11 · d-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
     1. (a) Definitions. (1) Issuer capitalization means the market value of the issuer's authorized and outstanding equity securities or, with respect to a municipal s
     2. (b) Reports to Issuers. (1) Within ten business days following the end of each month, every recordkeeping transfer agent shall report the information specified
     3. (c) Reports to appropriate regulatory agencies (1) Within ten business days following the end of each calendar quarter, every recordkeeping transfer agent shall
     4. (e) For purposes of this section, the market value of an issue shall be determined as of the last business day on which market value information is available du
     5. (f) A copy of any report required under this section shall be retained by the reporting transfer agent for a period of not less than three years, the first year
     6. (i) $300,000 if it is a recordkeeping transfer agent for 5 or fewer issues;
     7. (ii) $500,000 for 6-24 issues;
415. 240.17Ad-12 · d-12 Safeguarding of funds and securities.
416. 240.17Ad-13 · d-13 Annual study and evaluation of internal accounting control.
417. 240.17Ad-14 · d-14 Tender agents.
418. 240.17Ad-15 · d-15 Signature guarantees.
419. 240.17Ad-16 · d-16 Notice of assumption or termination of transfer agent services.
420. 240.17Ad-17 · d-17 Lost securityholders and unresponsive payees.
421. 240.17Ad-18 · d-18 Year 2000 Reports to be made by certain transfer agents.
422. 240.17Ad-19 · d-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
423. 240.17Ad-2 · d-2 Turnaround, processing, and forwarding of items.
424. 240.17Ad-20 · d-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
425. 240.17Ad-21T · d-21T Operational capability in a Year 2000 environment.
426. 240.17ad-22 · d-22 Standards for clearing agencies.
427. 240.17Ad-24 · d-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)).
428. 240.17ad-25 · d-25 Clearing agency boards of directors and conflicts of interest.
429. 240.17ad-26 · d-26 Recovery and orderly wind-down plans of covered clearing agencies.
430. 240.17Ad-27 · d-27 Straight-through processing by clearing agencies that provide a central matching service.
431. 240.17Ad-3 · d-3 Limitations on expansion.
432. 240.17Ad-4 · d-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
433. 240.17Ad-5 · d-5 Written inquiries and requests.
434. 240.17Ad-6 · d-6 Recordkeeping.
435. 240.17ad-7 · d-7 (Rule 17Ad-7) Record retention.
436. 240.17Ad-8 · d-8 Securities position listings.
437. 240.17Ad-9 · d-9 Definitions.
438. 240.17d-1 · -1 Examination for compliance with applicable financial responsibility rules.
439. 240.17d-2 · -2 Program for allocation of regulatory responsibility.
440. 240.17f-1 · -1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
441. 240.17f-2 · -2 Fingerprinting of securities industry personnel.
442. 240.17g-1 · -1 Application for registration as a nationally recognized statistical rating organization.
443. 240.17g-10 · -10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
444. 240.17g-2 · -2 Records to be made and retained by nationally recognized statistical rating organizations.
445. 240.17g-3 · -3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
446. 240.17g-4 · -4 Prevention of misuse of material nonpublic information.
447. 240.17g-5 · -5 Conflicts of interest.
448. 240.17g-6 · -6 Prohibited acts and practices.
449. 240.17g-7 · -7 Disclosure requirements.
450. 240.17g-8 · -8 Policies, procedures, and internal controls.
451. 240.17g-9 · -9 Standards of training, experience, and competence for credit analysts.
452. 240.17h-1T · -1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
453. 240.17h-2T · -2T Risk assessment reporting requirements for brokers and dealers.
454. 240.18a-1 · -1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
     1. (a) Minimum requirements. Every registered security-based swap dealer must at all times have and maintain net capital no less than the greater of the highest mi
     2. (b) A security-based swap dealer must at all times maintain net capital in addition to the amounts required under paragraph (a)(1) or (2) of this section, as ap
     3. (c) Definitions. For purpose of this section:
     4. (e) Models to compute deductions for market risk and credit risk—(1) Market risk. A security-based swap dealer whose application, including amendments, has been
     5. (f) Internal risk management control systems. A security-based swap dealer must comply with § 240.15c3-4 as if it were an OTC derivatives dealer with respect to
     6. (g) Debt-equity requirements. No security-based swap dealer shall permit the total of outstanding principal amounts of its satisfactory subordination agreements
     7. (h) Provisions relating to the withdrawal of equity capital—(1) Notice provisions relating to limitations on the withdrawal of equity capital. No equity capital
     8. (i) Two business days prior to any withdrawals, advances or loans if those withdrawals, advances or loans on a net basis exceed in the aggregate in any 30 calen
     9. (ii) Two business days after any withdrawals, advances or loans if those withdrawals, advances or loans on a net basis exceed in the aggregate in any 30 calenda
455. 240.18a-10 · -10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
456. 240.18a-1a · -1a Options.
457. 240.18a-1b · -1b Adjustments to net worth for certain commodities transactions.
     1. (a) Every registered security-based swap dealer in computing net capital pursuant to § 240.18a-1 shall comply with the following:
     2. (b) Every registered security-based swap dealer in computing net capital pursuant to § 240.18a-1 shall comply with the following:
     3. (ii) All other swaps. (A) In the case of any non-cleared swap that is not a credit default swap for which the deductions in § 240.18a-1(e) do not apply, deducti
458. 240.18a-1c · -1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
459. 240.18a-1d · -1d Satisfactory Subordinated Loan Agreements.
460. 240.18a-2 · -2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
461. 240.18a-3 · -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.
462. 240.18a-4 · -4 Segregation requirements for security-based swap dealers and major security-based swap participants.
463. 240.18a-4a · -4a Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
464. 240.18a-5 · -5 Records to be made by certain security-based swap dealers and major security-based swap participants.
465. 240.18a-6 · -6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
466. 240.18a-7 · -7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
467. 240.18a-8 · -8 Notification provisions for security-based swap dealers and major security-based swap participants.
468. 240.18a-9 · -9 Quarterly security counts to be made by certain security-based swap dealers.
469. 240.19a3-1 · 3-1 [Reserved]
470. 240.19b-3 · -3 [Reserved]
471. 240.19b-4 · -4 Filings with respect to proposed rule changes by self-regulatory organizations.