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17 CFR 239.701 · [Reserved]
17 CFR 239.800 · Form CB, report of sales of securities in connection with an exchange offer or a rights offering.
17 CFR 239.900 · Form C.
17 CFR 240.0-1 · -1 Definitions.
17 CFR 240.0-2 · -2 Business hours of the Commission.
17 CFR 240.0-3 · -3 Filing of material with the Commission.
17 CFR 240.0-4 · -4 Nondisclosure of information obtained in examinations and investigations.
17 CFR 240.0-5 · -5 Reference to rule by obsolete designation.
17 CFR 240.0-6 · -6 Disclosure detrimental to the national defense or foreign policy.
17 CFR 240.0-8 · -8 Application of rules to registered broker-dealers.
17 CFR 240.0-9 · -9 Payment of filing fees.
17 CFR 240.0-10 · -10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
17 CFR 240.0-11 · -11 Filing fees for certain acquisitions, dispositions and similar transactions.
17 CFR 240.0-12 · -12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
17 CFR 240.0-13 · -13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
17 CFR 240.3a1-1 · a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
17 CFR 240.3a4-1 · a4-1 Associated persons of an issuer deemed not to be brokers.
17 CFR 240.3a4-2 - 240.3a4-6 · §§ 240.3a4-2-240.3a4-6 [Reserved]
17 CFR 240.3a5-1 · a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
17 CFR 240.3a5-2 · a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
17 CFR 240.3a5-3 · a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
17 CFR 240.3a5-4 · a5-4 Further definition of “as a part of a regular business” in connection with certain liquidity providers.
17 CFR 240.3a11-1 · a11-1 Definition of the term “equity security.”
17 CFR 240.3a12-1 · a12-1 Exemption of certain mortgages and interests in mortgages.
17 CFR 240.3a12-2 · a12-2 [Reserved]
17 CFR 240.3a12-3 · a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
17 CFR 240.3a12-4 · a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
17 CFR 240.3a12-5 · a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
17 CFR 240.3a12-6 · a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
17 CFR 240.3a12-7 · a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
17 CFR 240.3a12-8 · a12-8 Exemption for designated foreign government securities for purposes of futures trading.
17 CFR 240.3a12-9 · a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
17 CFR 240.3a12-10 · a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
17 CFR 240.3a12-11 · a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
17 CFR 240.3a12-12 · a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
17 CFR 240.3a40-1 · a40-1 Designation of financial responsibility rules.
17 CFR 240.3a43-1 · a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
17 CFR 240.3a44-1 · a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
17 CFR 240.3a44-2 · a44-2 Further definition of “as a part of a regular business” in connection with certain liquidity providers.
17 CFR 240.3a51-1 · a51-1 Definition of “penny stock”.
17 CFR 240.3a55-1 · a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
17 CFR 240.3a55-2 · a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
17 CFR 240.3a55-3 · a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17 CFR 240.3a55-4 · a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17 CFR 240.3a67-1 · a67-1 Definition of “major security-based swap participant.”
17 CFR 240.3a67-2 · a67-2 Categories of security-based swaps.
17 CFR 240.3a67-3 · a67-3 Definition of “substantial position.”
17 CFR 240.3a67-4 · a67-4 Definition of “hedging or mitigating commercial risk.”
17 CFR 240.3a67-5 · a67-5 Definition of “substantial counterparty exposure.”
17 CFR 240.3a67-6 · a67-6 Definition of “financial entity.”
17 CFR 240.3a67-7 · a67-7 Definition of “highly leveraged.”
17 CFR 240.3a67-8 · a67-8 Timing requirements, reevaluation period, and termination of status.
17 CFR 240.3a67-9 · a67-9 Calculation of major participant status by certain persons.
17 CFR 240.3a67-10 · a67-10 Foreign major security-based swap participants.
17 CFR 240.3a68-1a · a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
17 CFR 240.3a68-1b · a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
17 CFR 240.3a68-2 · a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
17 CFR 240.3a68-3 · a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
17 CFR 240.3a68-4 · a68-4 Regulation of mixed swaps.
17 CFR 240.3a68-5 · a68-5 Regulation of certain futures contracts on foreign sovereign debt.
17 CFR 240.3a69-1 · a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance.
17 CFR 240.3a69-2 · a69-2 Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
17 CFR 240.3a69-3 · a69-3 Books and records requirements for security-based swap agreements.
17 CFR 240.3a71-1 · a71-1 Definition of “security-based swap dealer.”
17 CFR 240.3a71-2 · a71-2 De minimis exception.
17 CFR 240.3a71-2A · a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
17 CFR 240.3a71-3 · a71-3 Cross-border security-based swap dealing activity.
17 CFR 240.3a71-4 · a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
17 CFR 240.3a71-5 · a71-5 Exception for cleared transactions executed on a swap execution facility.
17 CFR 240.3a71-6 · a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
17 CFR 240.3b-1 · b-1 Definition of “listed”.
17 CFR 240.3b-2 · b-2 Definition of “officer”.
17 CFR 240.3b-3 · b-3 [Reserved]
17 CFR 240.3b-4 · b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
17 CFR 240.3b-5 · b-5 Non-exempt securities issued under governmental obligations.
17 CFR 240.3b-6 · b-6 Liability for certain statements by issuers.
17 CFR 240.3b-7 · b-7 Definition of “executive officer”.
17 CFR 240.3b-8 · b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
17 CFR 240.3b-9 - 240.3b-10 · §§ 240.3b-9-240.3b-10 [Reserved]
17 CFR 240.3b-11 · b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
17 CFR 240.3b-12 · b-12 Definition of OTC derivatives dealer.
17 CFR 240.3b-13 · b-13 Definition of eligible OTC derivative instrument.
17 CFR 240.3b-14 · b-14 Definition of cash management securities activities.
17 CFR 240.3b-15 · b-15 Definition of ancillary portfolio management securities activities.
17 CFR 240.3b-16 · b-16 Definitions of terms used in Section 3(a)(1) of the Act.
17 CFR 240.3b-17 · b-17 [Reserved]
17 CFR 240.3b-18 · b-18 Definitions of terms used in Section 3(a)(5) of the Act.
17 CFR 240.3b-19 · b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
17 CFR 240.3Ca-1 · Ca-1 Stay of clearing requirement and review by the Commission.
17 CFR 240.3Ca-2 · Ca-2 Submission of security-based swaps for clearing.
17 CFR 240.6a-1 · a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.
17 CFR 240.6a-2 · a-2 Amendments to application.
17 CFR 240.6a-3 · a-3 Supplemental material to be filed by exchanges.
17 CFR 240.6a-4 · a-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.
17 CFR 240.6h-1 · h-1 Settlement and regulatory halt requirements for security futures products.
17 CFR 240.6h-2 · h-2 Security future based on note, bond, debenture, or evidence of indebtedness.
17 CFR 240.7c2-1 · c2-1 [Reserved]
17 CFR 240.8c-1 · c-1 Hypothecation of customers' securities.
17 CFR 240.9b-1 · b-1 Options disclosure document.
17 CFR 240.9j-1 · j-1 Prohibition against fraud, manipulation, or deception in connection with security-based swaps.