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- 17 CFR 240.15Al2-1 · Al2-1 [Reserved]
- 17 CFR 240.15Ba1-1 · Ba1-1 Definitions.
- 17 CFR 240.15Ba1-2 · Ba1-2 Registration of municipal advisors and information regarding certain natural persons.
- 17 CFR 240.15Ba1-3 · Ba1-3 Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
- 17 CFR 240.15Ba1-4 · Ba1-4 Withdrawal from municipal advisor registration.
- 17 CFR 240.15Ba1-5 · Ba1-5 Amendments to Form MA and Form MA-I.
- 17 CFR 240.15Ba1-6 · Ba1-6 Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
- 17 CFR 240.15Ba1-7 · Ba1-7 Registration of successor to municipal advisor.
- 17 CFR 240.15Ba1-8 · Ba1-8 Books and records to be made and maintained by municipal advisors.
- 17 CFR 240.15Ba2-1 · Ba2-1 Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
- 17 CFR 240.15Ba2-2 · Ba2-2 Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
- 17 CFR 240.15Ba2-4 · Ba2-4 Registration of successor to registered municipal securities dealer.
- 17 CFR 240.15Ba2-5 · Ba2-5 Registration of fiduciaries.
- 17 CFR 240.15Ba2-6 · Ba2-6 [Reserved]
- 17 CFR 240.15Bc3-1 · Bc3-1 Withdrawal from registration of municipal securities dealers.
- 17 CFR 240.15Bc4-1 · Bc4-1 Persons associated with municipal advisors.
- 17 CFR 240.15Bc7-1 · Bc7-1 Availability of examination reports.
- 17 CFR 240.15Ca1-1 · Ca1-1 Notice of government securities broker-dealer activities.
- 17 CFR 240.15Ca2-1 · Ca2-1 Application for registration as a government securities broker or government securities dealer.
- 17 CFR 240.15Ca2-2 · Ca2-2 [Reserved]
- 17 CFR 240.15Ca2-3 · Ca2-3 Registration of successor to registered government securities broker or government securities dealer.
- 17 CFR 240.15Ca2-4 · Ca2-4 Registration of fiduciaries.
- 17 CFR 240.15Ca2-5 · Ca2-5 Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
- 17 CFR 240.15Cc1-1 · Cc1-1 Withdrawal from registration of government securities brokers or government securities dealers.
- 17 CFR 240.15Fb1-1 · Fb1-1. Signatures.
- 17 CFR 240.15Fb2-1 · Fb2-1 Registration of security-based swap dealers and major security-based swap participants.
- 17 CFR 240.15Fb2-3 · Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
- 17 CFR 240.15Fb2-4 · Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.
- 17 CFR 240.15Fb2-5 · Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
- 17 CFR 240.15Fb2-6 · Fb2-6 Registration of fiduciaries.
- 17 CFR 240.15Fb3-1 · Fb3-1 Duration of registration.
- 17 CFR 240.15Fb3-2 · Fb3-2 Withdrawal from registration.
- 17 CFR 240.15Fb3-3 · Fb3-3 Cancellation and revocation of registration.
- 17 CFR 240.15Fb6-1 · Fb6-1 [Reserved]
- 17 CFR 240.15Fb6-2 · Fb6-2 Associated person certification.
- 17 CFR 240.15Fh-1 · Fh-1 Scope and reliance on representations.
- 17 CFR 240.15Fh-2 · Fh-2 Definitions.
- 17 CFR 240.15Fh-3 · Fh-3 Business conduct requirements.
- 17 CFR 240.15fh-4 · fh-4 (Rule 15fh-4) Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
- 17 CFR 240.15Fh-5 · Fh-5 Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
- 17 CFR 240.15Fh-6 · Fh-6 Political contributions by certain security-based swap dealers.
- 17 CFR 240.15Fi-1 · Fi-1 Definitions.
- 17 CFR 240.15Fi-2 · Fi-2 Acknowledgment and verification of security-based swap transactions.
- 17 CFR 240.15fi-3 · fi-3 Security-based swap portfolio reconciliation.
- 17 CFR 240.15Fi-4 · Fi-4 Security-based swap portfolio compression.
- 17 CFR 240.15Fi-5 · Fi-5 Security-based swap trading relationship documentation.
- 17 CFR 240.15fk-1 · fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
- 17 CFR 240.15Ga-1 · Ga-1 Repurchases and replacements relating to asset-backed securities.
- 17 CFR 240.15Ga-2 · Ga-2 Findings and conclusions of third-party due diligence reports.
- 17 CFR 240.16a-1 · a-1 Definition of terms.
- 17 CFR 240.16a-2 · a-2 Persons and transactions subject to section 16.
- 17 CFR 240.16a-3 · a-3 Reporting transactions and holdings.
- 17 CFR 240.16a-4 · a-4 Derivative securities.
- 17 CFR 240.16a-5 · a-5 Odd-lot dealers.
- 17 CFR 240.16a-6 · a-6 Small acquisitions.
- 17 CFR 240.16a-7 · a-7 Transactions effected in connection with a distribution.
- 17 CFR 240.16a-8 · a-8 Trusts.
- 17 CFR 240.16a-9 · a-9 Stock splits, stock dividends, and pro rata rights.
- 17 CFR 240.16a-10 · a-10 Exemptions under section 16(a).
- 17 CFR 240.16a-11 · a-11 Dividend or interest reinvestment plans.
- 17 CFR 240.16a-12 · a-12 Domestic relations orders.
- 17 CFR 240.16a-13 · a-13 Change in form of beneficial ownership.
- 17 CFR 240.16b-1 · b-1 Transactions approved by a regulatory authority.
- 17 CFR 240.16b-2 · b-2 [Reserved]
- 17 CFR 240.16b-3 · b-3 Transactions between an issuer and its officers or directors.
- 17 CFR 240.16b-4 · b-4 [Reserved]
- 17 CFR 240.16b-5 · b-5 Bona fide gifts and inheritance.
- 17 CFR 240.16b-6 · b-6 Derivative securities.
- 17 CFR 240.16b-7 · b-7 Mergers, reclassifications, and consolidations.
- 17 CFR 240.16b-8 · b-8 Voting trusts.
- 17 CFR 240.16c-1 · c-1 Brokers.
- 17 CFR 240.16c-2 · c-2 Transactions effected in connection with a distribution.
- 17 CFR 240.16c-3 · c-3 Exemption of sales of securities to be acquired.
- 17 CFR 240.16c-4 · c-4 Derivative securities.
- 17 CFR 240.16e-1 · e-1 Arbitrage transactions under section 16.
- 17 CFR 240.17a-1 · a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
- 17 CFR 240.17a-2 · a-2 Recordkeeping requirements relating to stabilizing activities.
- 17 CFR 240.17a-3 · a-3 Records to be made by certain exchange members, brokers and dealers.
- 17 CFR 240.17a-4 · a-4 Records to be preserved by certain exchange members, brokers and dealers.
- 17 CFR 240.17a-5 · a-5 Reports to be made by certain brokers and dealers.
- 17 CFR 240.17a-6 · a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
- 17 CFR 240.17a-7 · a-7 Records of non-resident brokers and dealers.
- 17 CFR 240.17a-8 · a-8 Financial recordkeeping and reporting of currency and foreign transactions.
- 17 CFR 240.17a-9T · a-9T Records to be made and retained by certain exchange members, brokers and dealers.
- 17 CFR 240.17a-10 · a-10 Report on revenue and expenses.
- 17 CFR 240.17a-11 · a-11 Notification provisions for brokers and dealers.
- 17 CFR 240.17a-12 · a-12 Reports to be made by certain OTC derivatives dealers.
- 17 CFR 240.17a-13 · a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
- 17 CFR 240.17a-14 · a-14 Form CRS, for preparation, filing and delivery of Form CRS.
- 17 CFR 240.17a-18 · a-18 [Reserved]
- 17 CFR 240.17a-19 · a-19 Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
- 17 CFR 240.17a-21 · a-21 Reports of the Municipal Securities Rulemaking Board.
- 17 CFR 240.17a-22 · a-22 Supplemental material of registered clearing agencies.
- 17 CFR 240.17a-25 · a-25 Electronic submission of securities transaction information by exchange members, brokers, and dealers.
- 17 CFR 240.17d-1 · d-1 Examination for compliance with applicable financial responsibility rules.
- 17 CFR 240.17d-2 · d-2 Program for allocation of regulatory responsibility.
- 17 CFR 240.17f-1 · f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
- 17 CFR 240.17f-2 · f-2 Fingerprinting of securities industry personnel.
- 17 CFR 240.17g-1 · g-1 Application for registration as a nationally recognized statistical rating organization.
- 17 CFR 240.17g-2 · g-2 Records to be made and retained by nationally recognized statistical rating organizations.