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- 17 CFR 240.10a-1 - 240.10a-2 · §§ 240.10a-1-240.10a-2 [Reserved]
- 17 CFR 240.10b-1 · b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
- 17 CFR 240.10b-2 · b-2 [Reserved]
- 17 CFR 240.10b-3 · b-3 Employment of manipulative and deceptive devices by brokers or dealers.
- 17 CFR 240.10b-4 · b-4 [Reserved]
- 17 CFR 240.10b-5 · b-5 Employment of manipulative and deceptive devices.
- 17 CFR 240.10b5-1 · b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
- 17 CFR 240.10b5-2 · b5-2 Duties of trust or confidence in misappropriation insider trading cases.
- 17 CFR 240.10b-6 - 240.10b-8 · §§ 240.10b-6-240.10b-8 [Reserved]
- 17 CFR 240.10b-9 · b-9 Prohibited representations in connection with certain offerings.
- 17 CFR 240.10b-10 · b-10 Confirmation of transactions.
- 17 CFR 240.10b-13 · b-13 [Reserved]
- 17 CFR 240.10b-16 · b-16 Disclosure of credit terms in margin transactions.
- 17 CFR 240.10b-17 · b-17 Untimely announcements of record dates.
- 17 CFR 240.10b-18 · b-18 Purchases of certain equity securities by the issuer and others.
- 17 CFR 240.10b-21 · b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
- 17 CFR 240.10c-1a · c-1a Securities lending transparency.
- 17 CFR 240.10A-1 · A-1 Notice to the Commission Pursuant to Section 10A of the Act.
- 17 CFR 240.10A-2 · A-2 Auditor independence.
- 17 CFR 240.10A-3 · A-3 Listing standards relating to audit committees.
- 17 CFR 240.10C-1 · C-1 Listing standards relating to compensation committees.
- 17 CFR 240.10D-1 · D-1 Listing standards relating to recovery of erroneously awarded compensation.
- 17 CFR 240.11a-1 · a-1 Regulation of floor trading.
- 17 CFR 240.11a1-1(T) · a1-1(T) Transactions yielding priority, parity, and precedence.
- 17 CFR 240.11a1-2 · a1-2 Transactions for certain accounts of associated persons of members.
- 17 CFR 240.11a1-3(T) · a1-3(T) Bona fide hedge transactions in certain securities.
- 17 CFR 240.11a1-4(T) · a1-4(T) Bond transactions on national securities exchanges.
- 17 CFR 240.11a1-5 · a1-5 Transactions by registered competitive market makers and registered equity market makers.
- 17 CFR 240.11a1-6 · a1-6 Transactions for certain accounts of OTC derivatives dealers.
- 17 CFR 240.11a2-2(T) · a2-2(T) Transactions effected by exchange members through other members.
- 17 CFR 240.11b-1 · b-1 Regulation of specialists.
- 17 CFR 240.11d1-1 · d1-1 Exemption of certain securities from section 11(d)(1).
- 17 CFR 240.11d1-2 · d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
- 17 CFR 240.11d2-1 · d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
- 17 CFR 240.12a-4 · a-4 Exemption of certain warrants from section 12(a).
- 17 CFR 240.12a-5 · a-5 Temporary exemption of substituted or additional securities.
- 17 CFR 240.12a-6 · a-6 Exemption of securities underlying certain options from section 12(a).
- 17 CFR 240.12a-7 · a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
- 17 CFR 240.12a-8 · a-8 Exemption of depositary shares.
- 17 CFR 240.12a-9 · a-9 Exemption of standardized options from section 12(a) of the Act.
- 17 CFR 240.12a-10 · a-10 Exemption of security-based swaps from section 12(a) of the Act.
- 17 CFR 240.12a-11 · a-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.
- 17 CFR 240.12b-1 · b-1 Scope of regulation.
- 17 CFR 240.12b-2 · b-2 Definitions.
- 17 CFR 240.12b-3 · b-3 Title of securities.
- 17 CFR 240.12b-4 · b-4 Supplemental information.
- 17 CFR 240.12b-5 · b-5 Determination of affiliates of banks.
- 17 CFR 240.12b-6 · b-6 When securities are deemed to be registered.
- 17 CFR 240.12b-7 · b-7 [Reserved]
- 17 CFR 240.12b-10 · b-10 Requirements as to proper form.
- 17 CFR 240.12b-11 · b-11 Number of copies; signatures; binding.
- 17 CFR 240.12b-12 · b-12 Requirements as to paper, printing and language.
- 17 CFR 240.12b-13 · b-13 Preparation of statement or report.
- 17 CFR 240.12b-14 · b-14 Riders; inserts.
- 17 CFR 240.12b-15 · b-15 Amendments.
- 17 CFR 240.12b-20 · b-20 Additional information.
- 17 CFR 240.12b-21 · b-21 Information unknown or not available.
- 17 CFR 240.12b-22 · b-22 Disclaimer of control.
- 17 CFR 240.12b-23 · b-23 Incorporation by reference.
- 17 CFR 240.12b-24 · b-24 [Reserved]
- 17 CFR 240.12b-25 · b-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.
- 17 CFR 240.12b-30 · b-30 Additional exhibits.
- 17 CFR 240.12b-31 · b-31 Omission of substantially identical documents.
- 17 CFR 240.12b-32 · b-32 [Reserved]
- 17 CFR 240.12b-33 · b-33 Annual reports to other Federal agencies.
- 17 CFR 240.12b-35 · b-35 [Reserved]
- 17 CFR 240.12b-36 · b-36 Use of financial statements filed under other acts.
- 17 CFR 240.12b-37 · b-37 Satisfaction of filing requirements.
- 17 CFR 240.12d1-1 · d1-1 Registration effective as to class or series.
- 17 CFR 240.12d1-2 · d1-2 Effectiveness of registration.
- 17 CFR 240.12d1-3 · d1-3 Requirements as to certification.
- 17 CFR 240.12d1-4 · d1-4 Date of receipt of certification by Commission.
- 17 CFR 240.12d1-5 · d1-5 Operation of certification on subsequent amendments.
- 17 CFR 240.12d1-6 · d1-6 Withdrawal of certification.
- 17 CFR 240.12d2-1 · d2-1 Suspension of trading.
- 17 CFR 240.12d2-2 · d2-2 Removal from listing and registration.
- 17 CFR 240.12f-1 · f-1 Applications for permission to reinstate unlisted trading privileges.
- 17 CFR 240.12f-2 · f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering.
- 17 CFR 240.12f-3 · f-3 Termination or suspension of unlisted trading privileges.
- 17 CFR 240.12f-4 · f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
- 17 CFR 240.12f-5 · f-5 Exchange rules for securities to which unlisted trading privileges are extended.
- 17 CFR 240.12f-6 · f-6 [Reserved]
- 17 CFR 240.12g-1 · g-1 Registration of securities; exemption from section 12(g).
- 17 CFR 240.12g-2 · g-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).
- 17 CFR 240.12g-3 · g-3 Registration of securities of successor issuers under section 12(b) or 12(g).
- 17 CFR 240.12g-4 · g-4 Certifications of termination of registration under section 12(g).
- 17 CFR 240.12g-6 · g-6 Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.
- 17 CFR 240.12g3-2 · g3-2 Exemptions for American depositary receipts and certain foreign securities.
- 17 CFR 240.12g5-1 · g5-1 Definition of securities “held of record”.
- 17 CFR 240.12g5-2 · g5-2 Definition of “total assets”.
- 17 CFR 240.12h-1 · h-1 Exemptions from registration under section 12(g) of the Act.
- 17 CFR 240.12h-2 · h-2 [Reserved]
- 17 CFR 240.12h-3 · h-3 Suspension of duty to file reports under section 15(d).
- 17 CFR 240.12h-4 · h-4 Exemption from duty to file reports under section 15(d).
- 17 CFR 240.12h-5 · h-5 Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
- 17 CFR 240.12h-6 · h-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).
- 17 CFR 240.12h-7 · h-7 Exemption for issuers of securities that are subject to insurance regulation.
- 17 CFR 240.13a-1 · a-1 Requirements of annual reports.
- 17 CFR 240.13a-2 · a-2 [Reserved]
- 17 CFR 240.13a-3 · a-3 Reporting by Form 40-F registrant.