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- 17 CFR 240.14e-4 · e-4 Prohibited transactions in connection with partial tender offers.
- 17 CFR 240.14e-5 · e-5 Prohibiting purchases outside of a tender offer.
- 17 CFR 240.14e-6 · e-6 Repurchase offers by certain closed-end registered investment companies.
- 17 CFR 240.14e-7 · e-7 Unlawful tender offer practices in connection with roll-ups.
- 17 CFR 240.14e-8 · e-8 Prohibited conduct in connection with pre-commencement communications.
- 17 CFR 240.14f-1 · f-1 Change in majority of directors.
- 17 CFR 240.14n-1 · n-1 Filing of Schedule 14N.
- 17 CFR 240.14n-2 · n-2 Filing of amendments to Schedule 14N.
- 17 CFR 240.14n-3 · n-3 Dissemination.
- 17 CFR 240.14n-101 · n-101 Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.
- 17 CFR 240.15a-1 · a-1 Securities activities of OTC derivatives dealers.
- 17 CFR 240.15a-2 · a-2 Exemption of certain securities of cooperative apartment houses from section 15(a).
- 17 CFR 240.15a-3 · a-3 [Reserved]
- 17 CFR 240.15a-4 · a-4 Forty-five day exemption from registration for certain members of national securities exchanges.
- 17 CFR 240.15a-5 · a-5 Exemption of certain nonbank lenders.
- 17 CFR 240.15a-6 · a-6 Exemption of certain foreign brokers or dealers.
- 17 CFR 240.15a-7 - 240.15a-9 · §§ 240.15a-7-240.15a-9 [Reserved]
- 17 CFR 240.15a-10 · a-10 Exemption of certain brokers or dealers with respect to security futures products.
- 17 CFR 240.15a-11 · a-11 [Reserved]
- 17 CFR 240.15a-12 · a-12 Exemption for certain security-based swap execution facilities from certain broker requirements.
- 17 CFR 240.15b1-1 · b1-1 Application for registration of brokers or dealers.
- 17 CFR 240.15b1-2 · b1-2 [Reserved]
- 17 CFR 240.15b1-3 · b1-3 Registration of successor to registered broker or dealer.
- 17 CFR 240.15b1-4 · b1-4 Registration of fiduciaries.
- 17 CFR 240.15b1-5 · b1-5 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.
- 17 CFR 240.15b1-6 · b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
- 17 CFR 240.15b2-2 · b2-2 Inspection of newly registered brokers and dealers.
- 17 CFR 240.15b3-1 · b3-1 Amendments to application.
- 17 CFR 240.15b5-1 · b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
- 17 CFR 240.15b6-1 · b6-1 Withdrawal from registration.
- 17 CFR 240.15b7-1 · b7-1 Compliance with qualification requirements of self-regulatory organizations.
- 17 CFR 240.15b7-3T · b7-3T Operational capability in a Year 2000 environment.
- 17 CFR 240.15b9-1 · b9-1 Exemption for certain exchange members.
- 17 CFR 240.15b9-2 · b9-2 Exemption from SRO membership for OTC derivatives dealers.
- 17 CFR 240.15b11-1 · b11-1 Registration by notice of security futures product broker-dealers.
- 17 CFR 240.15c1-1 · c1-1 Definitions.
- 17 CFR 240.15c1-2 · c1-2 Fraud and misrepresentation.
- 17 CFR 240.15c1-3 · c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
- 17 CFR 240.15c1-4 · c1-4 [Reserved]
- 17 CFR 240.15c1-5 · c1-5 Disclosure of control.
- 17 CFR 240.15c1-6 · c1-6 Disclosure of interest in distribution.
- 17 CFR 240.15c1-7 · c1-7 Discretionary accounts.
- 17 CFR 240.15c1-8 · c1-8 Sales at the market.
- 17 CFR 240.15c1-9 · c1-9 Use of pro forma balance sheets.
- 17 CFR 240.15c2-1 · c2-1 Hypothecation of customers' securities.
- 17 CFR 240.15c2-3 · c2-3 [Reserved]
- 17 CFR 240.15c2-4 · c2-4 Transmission or maintenance of payments received in connection with underwritings.
- 17 CFR 240.15c2-5 · c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.
- 17 CFR 240.15c2-6 · c2-6 [Reserved]
- 17 CFR 240.15c2-7 · c2-7 Identification of quotations.
- 17 CFR 240.15c2-8 · c2-8 Delivery of prospectus.
- 17 CFR 240.15c2-11 · c2-11 Publication or submission of quotations without specified information.
- 17 CFR 240.15c2-12 · c2-12 Municipal securities disclosure.
- 17 CFR 240.15c3-1 · c3-1 Net capital requirements for brokers or dealers.
- 17 CFR 240.15c3-1a · c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1b · c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1c · c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1d · c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1e · c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1f · c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-1g · c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
- 17 CFR 240.15c3-2 · c3-2 [Reserved]
- 17 CFR 240.15c3-3 · c3-3 Customer protection—reserves and custody of securities.
- 17 CFR 240.15c3-3a · c3-3a Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.
- 17 CFR 240.15c3-3b · c3-3b Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.
- 17 CFR 240.15c3-4 · c3-4 Internal risk management control systems for OTC derivatives dealers.
- 17 CFR 240.15c3-5 · c3-5 Risk management controls for brokers or dealers with market access.
- 17 CFR 240.15c6-1 · c6-1 Settlement cycle.
- 17 CFR 240.15c6-2 · c6-2 Same-day allocation, confirmation, and affirmation.
- 17 CFR 240.15d-1 · d-1 Requirement of annual reports.
- 17 CFR 240.15d-2 · d-2 Special financial report.
- 17 CFR 240.15d-3 · d-3 Reports for depositary shares registered on Form F-6.
- 17 CFR 240.15d-4 · d-4 Reporting by Form 40-F registrants.
- 17 CFR 240.15d-5 · d-5 Reporting by successor issuers.
- 17 CFR 240.15d-6 · d-6 Suspension of duty to file reports.
- 17 CFR 240.15d-10 · d-10 Transition reports.
- 17 CFR 240.15d-11 · d-11 Current reports on Form 8-K (§ 249.308 of this chapter).
- 17 CFR 240.15d-13 · d-13 Quarterly reports on Form 10-Q (§ 249.308 of this chapter).
- 17 CFR 240.15d-14 · d-14 Certification of disclosure in annual and quarterly reports.
- 17 CFR 240.15d-15 · d-15 Controls and procedures.
- 17 CFR 240.15d-16 · d-16 Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
- 17 CFR 240.15d-17 · d-17 Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
- 17 CFR 240.15d-18 · d-18 Compliance with servicing criteria for asset-backed securities.
- 17 CFR 240.15d-19 · d-19 Reports by shell companies on Form 20-F.
- 17 CFR 240.15d-20 · d-20 Plain English presentation of specified information.
- 17 CFR 240.15d-21 · d-21 Reports for employee stock purchase, savings and similar plans.
- 17 CFR 240.15d-22 · d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.
- 17 CFR 240.15d-23 · d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
- 17 CFR 240.15g-1 · g-1 Exemptions for certain transactions.
- 17 CFR 240.15g-2 · g-2 Penny stock disclosure document relating to the penny stock market.
- 17 CFR 240.15g-3 · g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
- 17 CFR 240.15g-4 · g-4 Disclosure of compensation to brokers or dealers.
- 17 CFR 240.15g-5 · g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.
- 17 CFR 240.15g-6 · g-6 Account statements for penny stock customers.
- 17 CFR 240.15g-8 · g-8 Sales of escrowed securities of blank check companies.
- 17 CFR 240.15g-9 · g-9 Sales practice requirements for certain low-priced securities.
- 17 CFR 240.15g-100 · g-100 Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
- 17 CFR 240.15l-1 · l-1 Regulation best interest.
- 17 CFR 240.15aa-1 · aa-1 Registration of a national or an affiliated securities association.
- 17 CFR 240.15aa-2 · aa-2 Amendments and supplements to registration statements of securities associations.