CFR

PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

• 240.12a-10T—Temporary exemption of eligible credit default swaps from Section 12(a) of the Act.
• 240.12b-1—Scope of regulation.
• 240.12b-2—Definitions.
• 240.12b-3—Title of securities.
• 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-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-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-25—Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-SAR, N-CSR, 10-Q, or 10-D.
• 240.12b-30—Additional exhibits.
• 240.12b-31—Omission of substantially identical documents.
• 240.12b-32—Incorporation of exhibits by reference.
• 240.12b-33—Annual reports to other Federal agencies.
• 240.12b-36—Use of financial statements filed under other acts.
• 240.12b-37—Satisfaction of filing requirements.
• 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.
• 240.12g-1—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).
• 240.12g3-2—Exemptions for American depositary receipts and certain foreign securities.
• 240.12g-4—Certifications of termination of registration under section 12(g).
• 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-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 sec
• 240.12h-7—Exemption for issuers of securities that are subject to insurance regulation.
• 240.13a-1—Requirements of annual reports.
• 240.13a-3—Reporting by Form 40-F registrant.
• 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-20—Plain English presentation of specified information.
• 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-20—Plain English presentation of specified information.
• 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-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 securities.
• 240.13d-6—Exemption of certain acquisitions.
• 240.13d-7—Dissemination.
• 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.
• 240.13e-1—Purchase of securities by the issuer during a third-party tender offer.
• 240.13e-3—Going private transactions by certain issuers or their affiliates.
• 240.13e-4—Tender offers by issuers.
• 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-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.
• 240.13f-1—Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
• 240.13k-1—Foreign bank exemption from the insider lending prohibition under section 13(k).
• 240.13Aa-2T—Interim rule for reporting pre-enactment security-based swap transactions.
• 240.14a-1—Definitions.
• 240.14a-2—Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
• 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.
• 240.14a-10—Prohibition of certain solicitations.
• 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-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-101—Schedule 14A. Information required in proxy statement.
• 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
• 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-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.
• 240.14c-101—Schedule 14C. Information required in information statement.
• 240.14d-1—Scope of and definitions applicable to Regulations 14D and 14E.
• 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.
• 240.14d-10—Equal treatment of security holders.
• 240.14d-11—Subsequent offering period.
• 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.
• 240.14e-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.
• 240.15a-1—Securities activities of OTC derivatives dealers.
• 240.15a-2—Exemption of certain securities of cooperative apartment houses from section 15(a).
• 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-10—Exemption of certain brokers or dealers with respect to security futures products.
• 240.15b1-1—Application for registration of brokers or dealers.
• 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.
• 240.15b2-2—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.
• 240.15b11-1—Registration by notice of security futures product broker-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.
• 240.15c1-5—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.
• 240.15c2-4—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.
• 240.15c2-7—Identification of quotations.
• 240.15c2-8—Delivery of prospectus.
• 240.15c2-11—Initiation or resumption of quotations without specific information.
• 240.15c2-12—Municipal securities disclosure.
• 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—Customers' free credit balances.
• 240.15c3-3—Customer protection—reserves and custody of securities.
• 240.15c3-3a—Exhibit A—formula for determination reserve requirement 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.
• 240.15d-1—Requirement of annual reports.
• 240.15d-2—Special financial report.
• 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.
• 240.15d-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.
• 240.15g-1—Exemptions for certain transactions.
• 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.
• 240.15g-100—Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
• 240.15Aa-1—Registration of a national or an affiliated securities association.
• 240.15Aj-1—Amendments and supplements to registration statements of securities associations.
• 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.
• 240.15Ba2-6T—Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration.
• 240.15Bc3-1—Withdrawal from registration of municipal securities dealers.
• 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.
• 240.15Ca2-3—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
• 240.15Cc1-1—Withdrawal from registration of government securities brokers or government securities dealers.
• 240.15Ga-1—Repurchases and replacements relating to asset-backed securities.
• 240.16a-1—Definition of terms.
• 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.
• 240.16a-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.
• 240.16b-1—Transactions approved by a regulatory authority.
• 240.16b-3—Transactions between an issuer and its officers or directors.
• 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.
• 240.17a-1—Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
• 240.17a-2—Recordkeeping requirements relating to stabilizing activities.
• 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.
• 240.17a-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-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-21—Reports of the Municipal Securities Rulemaking Board.
• 240.17a-22—Supplemental material of registered clearing agencies.
• 240.17a-23—Recordkeeping and reporting requirements relating to broker-dealer trading systems.
• 240.17a-25—Electronic submission of securities transaction information by exchange members, brokers, and dealers.
• 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-2—Records to be made and retained by nationally recognized statistical rating organizations.
• 240.17g-3—Annual financial reports to be 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—Report of representations and warranties.
• 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.
• 240.17i-1—Definitions.
• 240.17i-2—Notice of intention to be supervised by the Commission as a supervised investment bank holding company.
• 240.17i-3—Withdrawal from supervision by the Commission as a supervised investment bank holding company.
• 240.17i-4—Internal risk management control system requirements for supervised investment bank holding companies.
• 240.17i-5—Record creation, maintenance, and access requirements for supervised investment bank holding companies.
• 240.17i-6—Reporting requirements for supervised investment bank holding companies.
• 240.17i-7—Calculations of allowable capital and risk allowances or alternative capital assessment.
• 240.17i-8—Notification provisions for supervised investment bank holding companies.
• 240.17Ab2-1—Registration of 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-2—Turnaround, processing, and forwarding of items.
• 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-7—Record retention.
• 240.17Ad-8—Securities position listings.
• 240.17Ad-9—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 transf
• 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—Transfer agents' obligation to search for lost securityholders.
• 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-20—Issuer restrictions or prohibitions on ownership by securities intermediaries.
• 240.17Ad-21T—Operational capability in a Year 2000 environment.
• 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 sum
• 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-regu
• 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 disqu
• 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.
• SUBPART A—Rules and Regulations Under the Securities Exchange Act of 1934 (§240.0-1 to §240.12a-9)

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