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- 17 CFR 240.17g-3 · g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
- 17 CFR 240.17g-4 · g-4 Prevention of misuse of material nonpublic information.
- 17 CFR 240.17g-5 · g-5 Conflicts of interest.
- 17 CFR 240.17g-6 · g-6 Prohibited acts and practices.
- 17 CFR 240.17g-7 · g-7 Disclosure requirements.
- 17 CFR 240.17g-8 · g-8 Policies, procedures, and internal controls.
- 17 CFR 240.17g-9 · g-9 Standards of training, experience, and competence for credit analysts.
- 17 CFR 240.17g-10 · g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
- 17 CFR 240.17h-1T · h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
- 17 CFR 240.17h-2T · h-2T Risk assessment reporting requirements for brokers and dealers.
- 17 CFR 240.17ab2-1 · ab2-1 Registration of clearing agencies.
- 17 CFR 240.17Ab2-2 · Ab2-2 Determinations affecting covered clearing agencies.
- 17 CFR 240.17Ac2-1 · Ac2-1 Application for registration of transfer agents.
- 17 CFR 240.17Ac2-2 · Ac2-2 Annual reporting requirement for registered transfer agents.
- 17 CFR 240.17Ac3-1 · Ac3-1 Withdrawal from registration with the Commission.
- 17 CFR 240.17Ad-1 · Ad-1 Definitions.
- 17 CFR 240.17Ad-2 · Ad-2 Turnaround, processing, and forwarding of items.
- 17 CFR 240.17Ad-3 · Ad-3 Limitations on expansion.
- 17 CFR 240.17Ad-4 · Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
- 17 CFR 240.17Ad-5 · Ad-5 Written inquiries and requests.
- 17 CFR 240.17Ad-6 · Ad-6 Recordkeeping.
- 17 CFR 240.17ad-7 · ad-7 (Rule 17Ad-7) Record retention.
- 17 CFR 240.17Ad-8 · Ad-8 Securities position listings.
- 17 CFR 240.17Ad-9 · Ad-9 Definitions.
- 17 CFR 240.17Ad-10 · Ad-10 Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.
- 17 CFR 240.17Ad-11 · Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
- 17 CFR 240.17Ad-12 · Ad-12 Safeguarding of funds and securities.
- 17 CFR 240.17Ad-13 · Ad-13 Annual study and evaluation of internal accounting control.
- 17 CFR 240.17Ad-14 · Ad-14 Tender agents.
- 17 CFR 240.17Ad-15 · Ad-15 Signature guarantees.
- 17 CFR 240.17Ad-16 · Ad-16 Notice of assumption or termination of transfer agent services.
- 17 CFR 240.17Ad-17 · Ad-17 Lost securityholders and unresponsive payees.
- 17 CFR 240.17Ad-18 · Ad-18 Year 2000 Reports to be made by certain transfer agents.
- 17 CFR 240.17Ad-19 · Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
- 17 CFR 240.17Ad-20 · Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
- 17 CFR 240.17Ad-21T · Ad-21T Operational capability in a Year 2000 environment.
- 17 CFR 240.17ad-22 · ad-22 Standards for clearing agencies.
- 17 CFR 240.17Ad-24 · Ad-24 Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).
- 17 CFR 240.17ad-25 · ad-25 Clearing agency boards of directors and conflicts of interest.
- 17 CFR 240.17ad-26 · ad-26 Recovery and orderly wind-down plans of covered clearing agencies.
- 17 CFR 240.17Ad-27 · Ad-27 Straight-through processing by clearing agencies that provide a central matching service.
- 17 CFR 240.18a-1 · a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
- 17 CFR 240.18a-1a · a-1a Options.
- 17 CFR 240.18a-1b · a-1b Adjustments to net worth for certain commodities transactions.
- 17 CFR 240.18a-1c · a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
- 17 CFR 240.18a-1d · a-1d Satisfactory Subordinated Loan Agreements.
- 17 CFR 240.18a-2 · a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
- 17 CFR 240.18a-3 · a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
- 17 CFR 240.18a-4 · a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
- 17 CFR 240.18a-4a · a-4a Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
- 17 CFR 240.18a-5 · a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.
- 17 CFR 240.18a-6 · a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
- 17 CFR 240.18a-7 · a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
- 17 CFR 240.18a-8 · a-8 Notification provisions for security-based swap dealers and major security-based swap participants.
- 17 CFR 240.18a-9 · a-9 Quarterly security counts to be made by certain security-based swap dealers.
- 17 CFR 240.18a-10 · a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.
- 17 CFR 240.19a3-1 · a3-1 [Reserved]
- 17 CFR 240.19b-3 · b-3 [Reserved]
- 17 CFR 240.19b-4 · b-4 Filings with respect to proposed rule changes by self-regulatory organizations.
- 17 CFR 240.19b-5 · b-5 Temporary exemption from the filing requirements of Section 19(b) of the Act.
- 17 CFR 240.19b-7 · b-7 Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
- 17 CFR 240.19c-1 · c-1 Governing certain off-board agency transactions by members of national securities exchanges.
- 17 CFR 240.19c-3 · c-3 Governing off-board trading by members of national securities exchanges.
- 17 CFR 240.19c-4 · c-4 Governing certain listing or authorization determinations by national securities exchanges and associations.
- 17 CFR 240.19c-5 · c-5 Governing the multiple listing of options on national securities exchanges.
- 17 CFR 240.19d-1 · d-1 Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
- 17 CFR 240.19d-2 · d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
- 17 CFR 240.19d-3 · d-3 Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
- 17 CFR 240.19d-4 · d-4 Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
- 17 CFR 240.19g2-1 · g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
- 17 CFR 240.19h-1 · h-1 Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.
- 17 CFR 240.21F-1 · F-1 General.
- 17 CFR 240.21F-2 · F-2 Whistleblower status, award eligibility, confidentiality, and retaliation protections.
- 17 CFR 240.21F-3 · F-3 Payment of awards.
- 17 CFR 240.21F-4 · F-4 Other definitions.
- 17 CFR 240.21F-5 · F-5 Amount of award.
- 17 CFR 240.21F-6 · F-6 Criteria for determining amount of award.
- 17 CFR 240.21F-7 · F-7 Confidentiality of submissions.
- 17 CFR 240.21F-8 · F-8 Eligibility and forms.
- 17 CFR 240.21F-9 · F-9 Procedures for submitting original information.
- 17 CFR 240.21F-10 · F-10 Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
- 17 CFR 240.21F-11 · F-11 Procedures for determining awards based upon a related action.
- 17 CFR 240.21F-12 · F-12 Materials that may form the basis of an award determination and that may comprise the record on appeal.
- 17 CFR 240.21F-13 · F-13 Appeals.
- 17 CFR 240.21F-14 · F-14 Procedures applicable to the payment of awards.
- 17 CFR 240.21F-15 · F-15 No amnesty.
- 17 CFR 240.21F-16 · F-16 Awards to whistleblowers who engage in culpable conduct.
- 17 CFR 240.21F-17 · F-17 Staff communications with individuals reporting possible securities law violations.
- 17 CFR 240.21F-18 · F-18 Summary disposition.
- 17 CFR 240.24b-1 · b-1 Documents to be kept public by exchanges.
- 17 CFR 240.24b-2 · b-2 Nondisclosure of information filed with the Commission and with any exchange.
- 17 CFR 240.24b-3 · b-3 Information filed by issuers and others under sections 12, 13, 14, and 16.
- 17 CFR 240.24c-1 · c-1 Access to nonpublic information.
- 17 CFR 240.31 · Section 31 transaction fees.
- 17 CFR 240.31T · T Temporary rule regarding fiscal year 2004.
- 17 CFR 240.36a1-1 · a1-1 Exemption from Section 7 for OTC derivatives dealers.
- 17 CFR 240.36a1-2 · a1-2 Exemption from SIPA for OTC derivatives dealers.
- 17 CFR 242.100 · Preliminary note; definitions.
- 17 CFR 242.101 · Activities by distribution participants.
- 17 CFR 242.102 · Activities by issuers and selling security holders during a distribution.