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- 17 CFR 240.13a-10 · a-10 Transition reports.
- 17 CFR 240.13a-11 · a-11 Current reports on Form 8-K (§ 249.308 of this chapter).
- 17 CFR 240.13a-13 · a-13 Quarterly reports on Form 10-Q (§ 249.308a of this chapter).
- 17 CFR 240.13a-14 · a-14 Certification of disclosure in annual and quarterly reports.
- 17 CFR 240.13a-15 · a-15 Controls and procedures.
- 17 CFR 240.13a-16 · a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
- 17 CFR 240.13a-17 · a-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
- 17 CFR 240.13a-18 · a-18 Compliance with servicing criteria for asset-backed securities.
- 17 CFR 240.13a-19 · a-19 Reports by shell companies on Form 20-F.
- 17 CFR 240.13a-20 · a-20 Plain English presentation of specified information.
- 17 CFR 240.13a-21 · a-21 [Reserved]
- 17 CFR 240.13b2-1 · b2-1 Falsification of accounting records.
- 17 CFR 240.13b2-2 · b2-2 Representations and conduct in connection with the preparation of required reports and documents.
- 17 CFR 240.13d-1 · d-1 Filing of Schedules 13D and 13G.
- 17 CFR 240.13d-2 · d-2 Filing of amendments to Schedules 13D or 13G.
- 17 CFR 240.13d-3 · d-3 Determination of beneficial owner.
- 17 CFR 240.13d-4 · d-4 Disclaimer of beneficial ownership.
- 17 CFR 240.13d-5 · d-5 Acquisition of beneficial ownership.
- 17 CFR 240.13d-6 · d-6 Exemption of certain acquisitions.
- 17 CFR 240.13d-7 · d-7 [Reserved]
- 17 CFR 240.13d-101 · d-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).
- 17 CFR 240.13d-102 · d-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.
- 17 CFR 240.13e-1 · e-1 Purchase of securities by the issuer during a third-party tender offer.
- 17 CFR 240.13e-2 · e-2 [Reserved]
- 17 CFR 240.13e-3 · e-3 Going private transactions by certain issuers or their affiliates.
- 17 CFR 240.13e-4 · e-4 Tender offers by issuers.
- 17 CFR 240.13e-100 · e-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.
- 17 CFR 240.13e-101 · e-101 [Reserved]
- 17 CFR 240.13e-102 · e-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.
- 17 CFR 240.13f-1 · f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
- 17 CFR 240.13f-2 · f-2 Reporting by institutional investment managers regarding gross short position and activity information.
- 17 CFR 240.13h-1 · h-1 Large trader reporting.
- 17 CFR 240.13k-1 · k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).
- 17 CFR 240.13n-1 · n-1 Registration of security-based swap data repository.
- 17 CFR 240.13n-2 · n-2 Withdrawal from registration; revocation and cancellation.
- 17 CFR 240.13n-3 · n-3 Registration of successor to registered security-based swap data repository.
- 17 CFR 240.13n-4 · n-4 Duties and core principles of security-based swap data repository.
- 17 CFR 240.13n-5 · n-5 Data collection and maintenance.
- 17 CFR 240.13n-6 · n-6 Automated systems.
- 17 CFR 240.13n-7 · n-7 Recordkeeping of security-based swap data repository.
- 17 CFR 240.13n-8 · n-8 Reports to be provided to the Commission.
- 17 CFR 240.13n-9 · n-9 Privacy requirements of security-based swap data repository.
- 17 CFR 240.13n-10 · n-10 Disclosure requirements of security-based swap data repository.
- 17 CFR 240.13n-11 · n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
- 17 CFR 240.13n-12 · n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
- 17 CFR 240.13p-1 · p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
- 17 CFR 240.13q-1 · q-1 Disclosure of payments made by resource extraction issuers.
- 17 CFR 240.14a-1 · a-1 Definitions.
- 17 CFR 240.14a-2 · a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
- 17 CFR 240.14a-3 · a-3 Information to be furnished to security holders.
- 17 CFR 240.14a-4 · a-4 Requirements as to proxy.
- 17 CFR 240.14a-5 · a-5 Presentation of information in proxy statement.
- 17 CFR 240.14a-6 · a-6 Filing requirements.
- 17 CFR 240.14a-7 · a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
- 17 CFR 240.14a-8 · a-8 Shareholder proposals.
- 17 CFR 240.14a-9 · a-9 False or misleading statements.
- 17 CFR 240.14a-10 · a-10 Prohibition of certain solicitations.
- 17 CFR 240.14a-12 · a-12 Solicitation before furnishing a proxy statement.
- 17 CFR 240.14a-13 · a-13 Obligation of registrants in communicating with beneficial owners.
- 17 CFR 240.14a-14 · a-14 Modified or superseded documents.
- 17 CFR 240.14a-15 · a-15 Differential and contingent compensation in connection with roll-up transactions.
- 17 CFR 240.14a-16 · a-16 Internet availability of proxy materials.
- 17 CFR 240.14a-17 · a-17 Electronic shareholder forums.
- 17 CFR 240.14a-18 · a-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.
- 17 CFR 240.14a-19 · a-19 Solicitation of proxies in support of director nominees other than the registrant's nominees.
- 17 CFR 240.14a-20 · a-20 Shareholder approval of executive compensation of TARP recipients.
- 17 CFR 240.14a-21 · a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
- 17 CFR 240.14a-101 · a-101 Schedule 14A. Information required in proxy statement.
- 17 CFR 240.14a-102 · a-102 [Reserved]
- 17 CFR 240.14a-103 · a-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).
- 17 CFR 240.14a-104 · a-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).
- 17 CFR 240.14Ad-1 · Ad-1 Report of proxy voting record.
- 17 CFR 240.14b-1 · b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
- 17 CFR 240.14b-2 · b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
- 17 CFR 240.14c-1 · c-1 Definitions.
- 17 CFR 240.14c-2 · c-2 Distribution of information statement.
- 17 CFR 240.14c-3 · c-3 Annual report to be furnished security holders.
- 17 CFR 240.14c-4 · c-4 Presentation of information in information statement.
- 17 CFR 240.14c-5 · c-5 Filing requirements.
- 17 CFR 240.14c-6 · c-6 False or misleading statements.
- 17 CFR 240.14c-7 · c-7 Providing copies of material for certain beneficial owners.
- 17 CFR 240.14c-101 · c-101 Schedule 14C. Information required in information statement.
- 17 CFR 240.14d-1 · d-1 Scope of and definitions applicable to Regulations 14D and 14E.
- 17 CFR 240.14d-2 · d-2 Commencement of a tender offer.
- 17 CFR 240.14d-3 · d-3 Filing and transmission of tender offer statement.
- 17 CFR 240.14d-4 · d-4 Dissemination of tender offers to security holders.
- 17 CFR 240.14d-5 · d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
- 17 CFR 240.14d-6 · d-6 Disclosure of tender offer information to security holders.
- 17 CFR 240.14d-7 · d-7 Additional withdrawal rights.
- 17 CFR 240.14d-8 · d-8 Exemption from statutory pro rata requirements.
- 17 CFR 240.14d-9 · d-9 Recommendation or solicitation by the subject company and others.
- 17 CFR 240.14d-10 · d-10 Equal treatment of security holders.
- 17 CFR 240.14d-11 · d-11 Subsequent offering period.
- 17 CFR 240.14d-100 · d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
- 17 CFR 240.14d-101 · d-101 Schedule 14D-9.
- 17 CFR 240.14d-102 · d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
- 17 CFR 240.14d-103 · d-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.
- 17 CFR 240.14e-1 · e-1 Unlawful tender offer practices.
- 17 CFR 240.14e-2 · e-2 Position of subject company with respect to a tender offer.
- 17 CFR 240.14e-3 · e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.