CFR

SUBPART A—Rules and Regulations Under the Securities Exchange Act of 1934 (§240.0-1 to §240.12a-9)

• 240.0-1—Definitions.
• 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 fees.
• 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.
• 240.3a1-1—Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
• 240.3a4-1—Associated persons of an issuer deemed not to be brokers.
• 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.
• 240.3a11-1—Definition of the term “equity security.”
• 240.3a12-1—Exemption of certain mortgages and interests in mortgages.
• 240.3a12-3—Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 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).
• 240.3a12-10—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.
• 240.3a40-1—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.
• 240.3a51-1—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.
• 240.3b-1—Definition of “listed”.
• 240.3b-2—Definition of “officer”.
• 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-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-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.
• 240.6a-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.
• 240.8c-1—Hypothecation of customers' securities.
• 240.9b-1—Options disclosure document.
• 240.10b-1—Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
• 240.10b-3—Employment of manipulative and deceptive devices by brokers or dealers.
• 240.10b-5—Employment of manipulative and deceptive devices.
• 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.
• 240.10b-9—Prohibited representations in connection with certain offerings.
• 240.10b-10—Confirmation of transactions.
• 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-21—Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
• 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.
• 240.11a-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-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.

Tips