17 C.F.R. PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
TITLE 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
Subpart A--RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934
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| Business hours of the Commission.
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| Filing of material with the Commission.
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| Nondisclosure of information obtained in examinations and investigations.
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| Reference to rule by obsolete designation.
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| Disclosure detrimental to the national defense or foreign policy.
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| Application of rules to registered broker-dealers.
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| Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
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| Filing fees for certain acquisitions, dispositions and similar transactions.
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| Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
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| Exemption from the definition of ''Exchange'' under Section 3(a)(1) of the Act.
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| Associated persons of an issuer deemed not to be brokers.
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| Exemption from the definition of ''broker'' for bank calculating compensation for effecting transactions in fiduciary accounts.
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| Exemption from the definition of ''broker'' for bank effecting transactions as an indenture trustee in a no-load money market fund.
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| Exemption from the definition of ''broker'' for small bank effecting transactions in investment company securities in a tax-deferred custody account.
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| Exemption from the definition of ''broker'' for banks effecting transactions in securities in a custody account.
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| Exemption from the definition of ''broker'' for banks that execute transactions in investment company securities through NSCC Mutual Fund Services.
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| Exemption from the definition of ''dealer'' for a bank engaged in riskless principal transactions.
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| Definition of the term ''equity security.''
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| Exemption of certain mortgages and interests in mortgages.
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| Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
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| Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
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| Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
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| Definition of ''common trust fund'' as used in section 3(a)(12) of the Act.
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| Exemption for certain derivative securities traded otherwise than on a national securities exchange.
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| Exemption for designated foreign government securities for purposes of futures trading.
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| Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
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| Exemption of certain securities issued by the Resolution Funding Corporation.
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| Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
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| Exemption from certain provisions of section 16 of the Act for asset-backed securities.
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| Designation of financial responsibility rules.
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| Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
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| Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
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| Definition of ''penny stock''.
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| Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
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| Indexes underlying futures contracts trading for fewer than 30 days.
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| Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
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| Exclusion from definition of narrow-based security index for indexes composed of debt securities.
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| Definition of ''listed''.
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| Definition of ''officer''.
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| Definition of ''foreign government,'' ''foreign issuer'' and ''foreign private issuer''.
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| Non-exempt securities issued under governmental obligations.
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| Liability for certain statements by issuers.
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| Definition of ''executive officer''.
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| Definitions of ''Qualified OTC Market Maker, Qualified Third Market Maker'' and ''Qualified Block Positioner''.
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| Definition of ''bank'' for purposes of section 3(a) (4) and (5) of the Act.
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| Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
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| Definition of OTC derivatives dealer.
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| Definition of eligible OTC derivative instrument.
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| Definition of cash management securities activities.
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| Definition of ancillary portfolio management securities activities.
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| Definitions of terms used in Section 3(a)(1) of the Act.
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| Definitions of terms used in Section 3(a)(4) of the Act.
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| Definitions of terms used in Section 3(a)(5) of the Act.
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| Definition of ''issuer'' in section 3(a)(8) of the Act in relation to asset-backed securities.
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| Application for registration as a national securities exchange or exemption from registration based on limited volume.
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| Amendments to application.
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| Supplemental material to be filed by exchanges.
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| Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act.
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| Settlement and regulatory halt requirements for security futures products.
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| Security future based on note, bond, debenture, or evidence of indebtedness.
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| Hypothecation of customers' securities.
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| Options disclosure document.
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| Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
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| Employment of manipulative and deceptive devices by brokers or dealers.
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| Employment of manipulative and deceptive devices.
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| Trading ''on the basis of'' material nonpublic information in insider trading cases.
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| Duties of trust or confidence in misappropriation insider trading cases.
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| Prohibited representations in connection with certain offerings.
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| Confirmation of transactions.
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| Disclosure of credit terms in margin transactions.
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| Untimely announcements of record dates.
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| Purchases of certain equity securities by the issuer and others.
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| Notice to the Commission Pursuant to Section 10A of the Act.
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| Listing standards relating to audit committees.
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| Regulation of floor trading.
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| Transactions yielding priority, parity, and precedence.
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| Transactions for certain accounts of associated persons of members.
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| Bona fide hedge transactions in certain securities.
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| Bond transactions on national securities exchanges.
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| Transactions by registered competitive market makers and registered equity market makers.
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| Transactions for certain accounts of OTC derivatives dealers.
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| Transactions effected by exchange members through other members.
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| Regulation of specialists.
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| Exemption of certain securities from section 11(d)(1).
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| Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
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| Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
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| Exemption of certain warrants from section 12(a).
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| Temporary exemption of substituted or additional securities.
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| Exemption of securities underlying certain options from section 12(a).
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| Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
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| Exemption of depositary shares.
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| Exemption of standardized options from section 12(a) of the Act.
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| Supplemental information.
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| Determination of affiliates of banks.
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| When securities are deemed to be registered.
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| Requirements as to proper form.
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| Number of copies; signatures; binding.
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| Requirements as to paper, printing and language.
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| Preparation of statement or report.
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| Information unknown or not available.
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| Incorporation by reference.
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| Notification of inability to timely file all or any required portion of a Form 10-K, 10-KSB, 20-F, 11-K, N-SAR, N-CSR, 10-Q, 10-QSB or 10-D.
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| Omission of substantially identical documents.
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| Incorporation of exhibits by reference.
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| Annual reports to other Federal agencies.
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| Use of financial statements filed under other acts.
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| Satisfaction of filing requirements.
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| Registration effective as to class or series.
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| Effectiveness of registration.
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| Requirements as to certification.
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| Date of receipt of certification by Commission.
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| Operation of certification on subsequent amendments.
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| Withdrawal of certification.
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| Removal from listing and registration.
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| Applications for permission to reinstate unlisted trading privileges.
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| Extending unlisted trading privileges to a security that is the subject of an initial public offering.
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| Termination or suspension of unlisted trading privileges.
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| Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
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| Exchange rules for securities to which unlisted trading privileges are extended.
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| Exemption from section 12(g).
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| Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2) (A) or (B).
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| Registration of securities of successor issuers under section 12(b) or 12(g).
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| Exemptions for American depositary receipts and certain foreign securities.
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| Certifications of termination of registration under section 12(g).
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| Definition of securities ''held of record''.
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| Definition of ''total assets''.
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| Exemptions from registration under section 12(g) of the Act.
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| Suspension of duty to file reports under section 15(d).
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| Exemption from duty to file reports under section 15(d).
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| Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
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| Requirements of annual reports.
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| Reporting by Form 40-F registrant.
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| Current reports on Form 8-K ( 249.308 of this chapter).
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| Quarterly reports on Form 10-Q and Form 10-QSB ( 249.308a and 249.308b of this chapter).
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| Certification of disclosure in annual and quarterly reports.
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| Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
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| Reports of asset-backed issuers on Form 10-D ( 249.312 of this chapter).
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| Compliance with servicing criteria for asset-backed securities.
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| Reports by shell companies on Form 20-F.
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| Falsification of accounting records.
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| Representations and conduct in connection with the preparation of required reports and documents.
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| Filing of Schedules 13D and 13G.
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| Filing of amendments to Schedules 13D or 13G.
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| Determination of beneficial owner.
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| Disclaimer of beneficial ownership.
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| Acquisition of securities.
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| Exemption of certain acquisitions.
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| 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).
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| 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.
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| Purchase of securities by the issuer during a third-party tender offer.
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| Going private transactions by certain issuers or their affiliates.
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| Tender offers by issuers.
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| Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 ( 240.13e-3) thereunder.
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| Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and 240.13e-4 thereunder.
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| Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
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| Foreign bank exemption from the insider lending prohibition under section 13(k).
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| Solicitations to which 240.14a-3 to 240.14a-15 apply.
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| Information to be furnished to security holders.
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| Requirements as to proxy.
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| Presentation of information in proxy statement.
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| Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
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| False or misleading statements.
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| Prohibition of certain solicitations.
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| Solicitation before furnishing a proxy statement.
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| Obligation of registrants in communicating with beneficial owners.
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| Modified or superseded documents.
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| Differential and contingent compensation in connection with roll-up transactions.
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| Schedule 14A. Information required in proxy statement.
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| Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to 240.14a-6(g).
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| 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).
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| Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
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| Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
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| Distribution of information statement.
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| Annual report to be furnished security holders.
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| Presentation of information in information statement.
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| False or misleading statements.
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| Providing copies of material for certain beneficial owners.
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| Schedule 14C. Information required in information statement.
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| Scope of and definitions applicable to Regulations 14D and 14E.
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| Commencement of a tender offer.
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| Filing and transmission of tender offer statement.
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| Dissemination of tender offers to security holders.
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| Dissemination of certain tender offers by the use of stockholder lists and security position listings.
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| Disclosure of tender offer information to security holders.
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| Additional withdrawal rights.
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| Exemption from statutory pro rata requirements.
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| Recommendation or solicitation by the subject company and others.
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| Equal treatment of security holders.
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| Subsequent offering period.
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| Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
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| Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
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| 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.
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| Unlawful tender offer practices.
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| Position of subject company with respect to a tender offer.
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| Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
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| Prohibited transactions in connection with partial tender offers.
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| Prohibiting purchases outside of a tender offer.
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| Repurchase offers by certain closed-end registered investment companies.
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| Unlawful tender offer practices in connection with roll-ups.
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| Prohibited conduct in connection with pre-commencement communications.
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| Change in majority of directors.
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| Securities activities of OTC derivatives dealers.
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| Exemption of certain securities of cooperative apartment houses from section 15(a).
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| Forty-five day exemption from registration for certain members of national securities exchanges.
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| Exemption of certain nonbank lenders.
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| Exemption of certain foreign brokers or dealers.
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| Exemption from the definitions of ''broker'' or ''dealer'' for banks for limited period of time.
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| Exemption for banks from Section 29 liability.
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| Exemption from the definitions of ''broker'' and ''dealer'' for savings associations and savings banks.
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| Exemption of certain brokers or dealers with respect to security futures products.
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| Exemption from the definitions of ''broker'' and ''dealer'' for banks engaging in securities lending transactions.
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| Application for registration of brokers or dealers.
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| Registration of successor to registered broker or dealer.
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| Registration of fiduciaries.
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| 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.
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| Inspection of newly registered brokers and dealers.
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| Amendments to application.
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| Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
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| Withdrawal from registration.
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| Compliance with qualification requirements of self-regulatory organizations.
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| Operational capability in a Year 2000 environment.
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| Exemption for certain exchange members.
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| Exemption from SRO membership for OTC derivatives dealers.
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| Registration by notice of security futures product broker-dealers.
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| Fraud and misrepresentation.
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| Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
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| Disclosure of interest in distribution.
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| Use of pro forma balance sheets.
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| Hypothecation of customers' securities.
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| Transmission or maintenance of payments received in connection with underwritings.
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| Disclosure and other requirements when extending or arranging credit in certain transactions.
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| Identification of quotations.
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| Initiation or resumption of quotations without specific information.
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| Municipal securities disclosure.
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| Net capital requirements for brokers or dealers.
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| Options (Appendix A to 17 CFR 240.15c3-1).
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| Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to 17 CFR 240.15c3-1).
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| Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (Appendix C to 17 CFR 240.15c3-1).
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| Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
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| Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
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| Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
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| Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
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| Customers' free credit balances.
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| Customer protection--reserves and custody of securities.
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| Exhibit A--formula for determination reserve requirement of brokers and dealers under 240.15c3-3.
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| Internal risk management control systems for OTC derivatives dealers.
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| Requirement of annual reports.
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| Special financial report.
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| Reports for depositary shares registered on Form F-6.
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| Reporting by Form 40-F registrants.
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| Reporting by successor issuers.
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| Suspension of duty to file reports.
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| Current reports on Form 8-K ( 249.308 of this chapter).
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| Quarterly reports on Form 10-Q and Form 10-QSB ( 249.308a and 249.308b of this chapter).
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| Certification of disclosure in annual and quarterly reports.
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| Reports of foreign private issuers on Form 6-K [17 CFR 249.306].
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| Reports of asset-backed issuers on Form 10-D ( 249.312 of this chapter).
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| Compliance with servicing criteria for asset-backed securities.
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| Reports by shell companies on Form 20-F.
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| Reports for employee stock purchase, savings and similar plans.
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| Reporting regarding asset-backed securities under section 15(d) of the Act.
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| Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
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| Exemptions for certain transactions.
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| Penny stock disclosure document relating to the penny stock market.
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| Broker or dealer disclosure of quotations and other information relating to the penny stock market.
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| Disclosure of compensation to brokers or dealers.
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| Disclosure of compensation of associated persons in connection with penny stock transactions.
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| Account statements for penny stock customers.
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| Sales of escrowed securities of blank check companies.
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| Sales practice requirements for certain low-priced securities.
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| Schedule 15G--Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
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| Registration of a national or an affiliated securities association.
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| Amendments and supplements to registration statements of securities associations.
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| Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
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| Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
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| Registration of successor to registered municipal securities dealer.
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| Registration of fiduciaries.
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| Withdrawal from registration of municipal securities dealers.
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| Availability of examination reports.
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| Notice of government securities broker-dealer activities.
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| Application for registration as a government securities broker or government securities dealer.
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| Registration of successor to registered government securities broker or government securities dealer.
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| Registration of fiduciaries.
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| 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.
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| Withdrawal from registration of government securities brokers or government securities dealers.
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| Persons and transactions subject to section 16.
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| Reporting transactions and holdings.
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| Transactions effected in connection with a distribution.
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| Stock splits, stock dividends, and pro rata rights.
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| Exemptions under section 16(a).
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| Dividend or interest reinvestment plans.
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| Domestic relations orders.
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| Change in form of beneficial ownership.
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| Transactions approved by a regulatory authority.
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| Transactions between an issuer and its officers or directors.
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| Bona fide gifts and inheritance.
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| Mergers, reclassifications, and consolidations.
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| Transactions effected in connection with a distribution.
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| Exemption of sales of securities to be acquired.
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| Arbitrage transactions under section 16.
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| Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
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| Recordkeeping requirements relating to stabilizing activities.
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| Records to be made by certain exchange members, brokers and dealers.
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| Records to be preserved by certain exchange members, brokers and dealers.
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| Reports to be made by certain brokers and dealers.
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| Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
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| Records of non-resident brokers and dealers.
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| Financial recordkeeping and reporting of currency and foreign transactions.
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| Records to be made and retained by certain exchange members, brokers and dealers.
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| Report on revenue and expenses.
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| Notification provisions for brokers and dealers.
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| Reports to be made by certain OTC derivatives dealers.
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| Quarterly security counts to be made by certain exchange members, brokers, and dealers.
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| 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.
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| Reports of the Municipal Securities Rulemaking Board.
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| Supplemental material of registered clearing agencies.
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| Recordkeeping and reporting requirements relating to broker-dealer trading systems.
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| Electronic submission of securities transaction information by exchange members, brokers, and dealers.
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| Examination for compliance with applicable financial responsibility rules.
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| Program for allocation of regulatory responsibility.
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| Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
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| Fingerprinting of securities industry personnel.
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| Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
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| Risk assessment reporting requirements for brokers and dealers.
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| Notice of intention to be supervised by the Commission as a supervised investment bank holding company.
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| Withdrawal from supervision by the Commission as a supervised investment bank holding company.
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| Internal risk management control system requirements for supervised investment bank holding companies.
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| Record creation, maintenance, and access requirements for supervised investment bank holding companies.
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| Reporting requirements for supervised investment bank holding companies.
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| Calculations of allowable capital and risk allowances or alternative capital assessment.
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| Notification provisions for supervised investment bank holding companies.
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| Registration of clearing agencies.
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| Application for registration of transfer agents.
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| Annual reporting requirement for registered transfer agents.
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| Withdrawal from registration with the Commission.
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| Turnaround, processing, and forwarding of items.
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| Limitations on expansion.
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| Applicability of 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
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| Written inquiries and requests.
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| Securities position listings.
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| 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.
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| Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
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| Safeguarding of funds and securities.
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| Annual study and evaluation of internal accounting control.
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| Notice of assumption or termination of transfer agent services.
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| Transfer agents' obligation to search for lost securityholders.
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| Year 2000 Reports to be made by certain transfer agents.
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| Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
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| Issuer restrictions or prohibitions on ownership by securities intermediaries.
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| Operational capability in a Year 2000 environment.
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| Filings with respect to proposed rule changes by self-regulatory organizations.
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| Temporary exemption from the filing requirements of Section 19(b) of the Act.
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| Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
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| Governing certain off-board agency transactions by members of national securities exchanges.
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| Governing off-board trading by members of national securities exchanges.
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| Governing certain listing or authorization determinations by national securities exchanges and associations.
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| Governing the multiple listing of options on national securities exchanges.
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| Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
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| Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
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| 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.
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| Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
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| Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
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| 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.
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| Documents to be kept public by exchanges.
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| Nondisclosure of information filed with the Commission and with any exchange.
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| Information filed by issuers and others under sections 12, 13, 14, and 16.
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| Access to nonpublic information.
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| Section 31 transaction fees.
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| Temporary rule regarding fiscal year 2004.
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| Exemption from Section 7 for OTC derivatives dealers.
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| Exemption from SIPA for OTC derivatives dealers.
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Subpart B--RULES AND REGULATIONS UNDER THE SECURITIES INVESTOR PROTECTION ACT OF 1970--[RESERVED]
