GroundRules
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- 15 U.S.C. § 77aaaa · Contrary stipulations void
- 15 U.S.C. § 77bbbb · Separability
- 15 U.S.C. § 78a · Short title
- 15 U.S.C. § 78b · Necessity for regulation
- 15 U.S.C. § 78c · Definitions and application
- 15 U.S.C. § 78c–1 · Swap agreements
- 15 U.S.C. § 78c–2 · Securities-related derivatives
- 15 U.S.C. § 78c–3 · Clearing for security-based swaps
- 15 U.S.C. § 78c–4 · Security-based swap execution facilities
- 15 U.S.C. § 78c–5 · Segregation of assets held as collateral in security-based swap transactions
- 15 U.S.C. § 78d · Securities and Exchange Commission
- 15 U.S.C. § 78d–1 · Delegation of functions by Commission
- 15 U.S.C. § 78d–2 · Transfer of functions with respect to assignment of personnel to chairman
- 15 U.S.C. § 78d–3 · Appearance and practice before the Commission
- 15 U.S.C. § 78d–4 · Additional duties of Inspector General
- 15 U.S.C. § 78d–5 · Deadline for completing enforcement investigations and compliance examinations and inspections
- 15 U.S.C. § 78d–6 · Report and certification of internal supervisory controls
- 15 U.S.C. § 78d–7 · Triennial report on personnel management
- 15 U.S.C. § 78d–8 · Annual financial controls audit
- 15 U.S.C. § 78d–9 · Report on oversight of national securities associations
- 15 U.S.C. § 78e · Transactions on unregistered exchanges
- 15 U.S.C. § 78f · National securities exchanges
- 15 U.S.C. § 78g · Margin requirements
- 15 U.S.C. § 78h · Restrictions on borrowing and lending by members, brokers, and dealers
- 15 U.S.C. § 78i · Manipulation of security prices
- 15 U.S.C. § 78j · Manipulative and deceptive devices
- 15 U.S.C. § 78j–1 · Audit requirements
- 15 U.S.C. § 78j–2 · Position limits and position accountability for security-based swaps and large trader reporting
- 15 U.S.C. § 78j–3 · Compensation committees
- 15 U.S.C. § 78j–4 · Recovery of erroneously awarded compensation policy
- 15 U.S.C. § 78k · Trading by members of exchanges, brokers, and dealers
- 15 U.S.C. § 78k–1 · National market system for securities; securities information processors
- 15 U.S.C. § 78l · Registration requirements for securities
- 15 U.S.C. § 78l–1 · Applications for unlisted trading privileges deemed filed under section 78l of this title
- 15 U.S.C. § 78m · Periodical and other reports
- 15 U.S.C. § 78m–1 · Reporting and recordkeeping for certain security-based swaps
- 15 U.S.C. § 78m–2 · Reporting requirements regarding coal or other mine safety
- 15 U.S.C. § 78n · Proxies
- 15 U.S.C. § 78n–1 · Shareholder approval of executive compensation
- 15 U.S.C. § 78n–2 · Corporate governance
- 15 U.S.C. § 78o · Registration and regulation of brokers and dealers
- 15 U.S.C. § 78o–1 · Brokers deemed to be registered
- 15 U.S.C. § 78o–2 · Liabilities arising prior to amendment unaffected
- 15 U.S.C. § 78o–3 · Registered securities associations
- 15 U.S.C. § 78o–4 · Municipal securities
- 15 U.S.C. § 78o–4a · Commission Office of Municipal Securities
- 15 U.S.C. § 78o–5 · Government securities brokers and dealers
- 15 U.S.C. § 78o–6 · Securities analysts and research reports
- 15 U.S.C. § 78o–7 · Registration of nationally recognized statistical rating organizations
- 15 U.S.C. § 78o–8 · Universal ratings symbols
- 15 U.S.C. § 78o–9 · Study and rulemaking on assigned credit ratings
- 15 U.S.C. § 78o–10 · Registration and regulation of security-based swap dealers and major security-based swap participants
- 15 U.S.C. § 78o–11 · Credit risk retention
- 15 U.S.C. § 78p · Directors, officers, and principal stockholders
- 15 U.S.C. § 78q · Records and reports
- 15 U.S.C. § 78q–1 · National system for clearance and settlement of securities transactions
- 15 U.S.C. § 78q–2 · Automated quotation systems for penny stocks
- 15 U.S.C. § 78r · Liability for misleading statements
- 15 U.S.C. § 78s · Registration, responsibilities, and oversight of self-regulatory organizations
- 15 U.S.C. § 78t · Liability of controlling persons and persons who aid and abet violations
- 15 U.S.C. § 78t–1 · Liability to contemporaneous traders for insider trading
- 15 U.S.C. § 78u · Investigations and actions
- 15 U.S.C. § 78u–1 · Civil penalties for insider trading
- 15 U.S.C. § 78u–2 · Civil remedies in administrative proceedings
- 15 U.S.C. § 78u–3 · Cease-and-desist proceedings
- 15 U.S.C. § 78u–4 · Private securities litigation
- 15 U.S.C. § 78u–5 · Application of safe harbor for forward-looking statements
- 15 U.S.C. § 78u–6 · Securities whistleblower incentives and protection
- 15 U.S.C. § 78u–7 · Implementation and transition provisions for whistleblower protection
- 15 U.S.C. § 78v · Hearings by Commission
- 15 U.S.C. § 78w · Rules, regulations, and orders; annual reports
- 15 U.S.C. § 78x · Public availability of information
- 15 U.S.C. § 78y · Court review of orders and rules
- 15 U.S.C. § 78z · Unlawful representations
- 15 U.S.C. § 78aa · Jurisdiction of offenses and suits
- 15 U.S.C. § 78aa–1 · Special provision relating to statute of limitations on private causes of action
- 15 U.S.C. § 78bb · Effect on existing law
- 15 U.S.C. § 78cc · Validity of contracts
- 15 U.S.C. § 78dd · Foreign securities exchanges
- 15 U.S.C. § 78dd–1 · Prohibited foreign trade practices by issuers
- 15 U.S.C. § 78dd–2 · Prohibited foreign trade practices by domestic concerns
- 15 U.S.C. § 78dd–3 · Prohibited foreign trade practices by persons other than issuers or domestic concerns
- 15 U.S.C. § 78ee · Transaction fees
- 15 U.S.C. § 78ff · Penalties
- 15 U.S.C. § 78gg · Separability
- 15 U.S.C. § 78hh · Effective date
- 15 U.S.C. § 78hh–1 · Effective date of certain sections
- 15 U.S.C. § 78ii · Omitted
- 15 U.S.C. § 78jj · Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259
- 15 U.S.C. § 78kk · Authorization of appropriations
- 15 U.S.C. § 78ll · Requirements for the EDGAR system
- 15 U.S.C. § 78mm · General exemptive authority
- 15 U.S.C. § 78nn · Tennessee Valley Authority
- 15 U.S.C. § 78oo · Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- 15 U.S.C. § 78pp · Investor Advisory Committee
- 15 U.S.C. § 78qq · Small Business Capital Formation Advisory Committee
- 15 U.S.C. § 78rr · Data standards for security-based swap reporting
- 15 U.S.C. § 78aaa · Short title
- 15 U.S.C. § 78bbb · Application of Securities Exchange Act of 1934
- 15 U.S.C. § 78ccc · Securities Investor Protection Corporation