and 3(a)(69) of the Act - insurance.
240.3a69-2
Definition of "swap" as used in section 3(a)(69) of the Act - additional products.
240.3a69-3
Books and records requirements for security-based swap agreements.
240.3a71-1
Definition of "security-based swap dealer."
240.3a71-2
De minimis exception.
240.3a71-2A
Report regarding the "security-based swap dealer" and "major security-based swap participant" definitions (Appendix A to 17 CFR 240.3a71-2)
240.3a71-3
Cross-border security-based swap dealing activity.
240.3a71-4
Exception from aggregation for affiliated groups with registered security-based swap dealers.
240.3a71-5
Substituted compliance for foreign security-based swap dealers.
240.3a71-6
Substituted compliance for security-based swap dealers and major security-based swap participants.
Definitions
240.3b-1
Definition of "listed".
240.3b-2
Definition of "officer".
240.3b-3
[Reserved]
240.3b-4
Definition of "foreign government," "foreign issuer" and "foreign private issuer".
240.3b-5
Non-exempt securities issued under governmental obligations.
240.3b-6
Liability for certain statements by issuers.
240.3b-7
Definition of "executive officer".
240.3b-8
Definitions of "Qualified OTC Market Maker, Qualified Third Market Maker" and "Qualified Block Positioner".
240.3b-9 - 240.3b-10
[Reserved]
240.3b-11
Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
240.3b-12
Definition of OTC derivatives dealer.
240.3b-13
Definition of eligible OTC derivative instrument.
240.3b-14
Definition of cash management securities activities.
240.3b-15
Definition of ancillary portfolio management securities activities.
240.3b-16
Definitions of terms used in Section 3(a)(1) of the Act.
240.3b-17
[Reserved]
240.3b-18
Definitions of terms used in Section 3(a)(5) of the Act.
240.3b-19
Definition of "issuer" in section 3(a)(8) of the Act in relation to asset-backed securities.
Clearing of Security-Based Swaps
240.3Ca-1
Stay of clearing requirement and review by the Commission.
240.3Ca-2
Submission of security-based swaps for clearing.
Registration and Exemption of Exchanges
240.6a-1
Application for registration as a national securities exchange or exemption from registration based on limited volume.
240.6a-2
Amendments to application.
240.6a-3
Supplemental material to be filed by exchanges.
240.6a-4
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.
240.6h-1
Settlement and regulatory halt requirements for security futures products.
240.6h-2
Security future based on note, bond, debenture, or evidence of indebtedness.
240.7c2-1
[Reserved]
Hypothecation of Customers' Securities
240.8c-1
Hypothecation of customers' securities.
240.9b-1
Options disclosure document.
240.10a-1 - 240.10a-2
[Reserved]
Manipulative and Deceptive Devices and Contrivances
240.10b-1
Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
240.10b-2
[Reserved]
240.10b-3
Employment of manipulative and deceptive devices by brokers or dealers.
240.10b-4
[Reserved]
240.10b-5
Employment of manipulative and deceptive devices.
240.10b5-1
Trading "on the basis of" material nonpublic information in insider trading cases.
240.10b5-2
Duties of trust or confidence in misappropriation insider trading cases.
240.10b-6 - 240.10b-8
[Reserved]
240.10b-9
Prohibited representations in connection with certain offerings.
240.10b-10
Confirmation of transactions.
240.10b-13
[Reserved]
240.10b-16
Disclosure of credit terms in margin transactions.
240.10b-17
Untimely announcements of record dates.
240.10b-18
Purchases of certain equity securities by the issuer and others.
240.10b-21
Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
Reports Under Section 10A
240.10A-1
Notice to the Commission Pursuant to