Source: https://www.law.cornell.edu/cfr/text/17/part-240/subpart-A
Timestamp: 2016-09-27 08:19:22
Document Index: 233179307

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17 CFR Part 240, Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934 | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 240 › Subpart A 17 CFR Part 240, Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
There are 6 Updates appearing in the Federal Register for 17 CFR Part 240. View below or at eCFR (GPOAccess)
§ 240.0-1 — Definitions.
§ 240.0-2 — Business hours of the Commission.
§ 240.0-3 — Filing of material with the Commission.
§ 240.0-4 — Nondisclosure of information obtained in examinations and
§ 240.0-5 — Reference to rule by obsolete designation.
§ 240.0-6 — Disclosure detrimental to the national defense or foreign
§ 240.0-8 — Application of rules to registered broker-dealers.
§ 240.0-9 — Payment of fees.
§ 240.0-10 — Small entities under the Securities Exchange Act for purposes of
§ 240.0-11 — Filing fees for certain acquisitions, dispositions and similar
§ 240.0-12 — Commission procedures for filing applications for orders for
exemptive relief under Section 36 of the Exchange Act.
§ 240.3a1-1 — Exemption from the definition of “Exchange” under Section 3(a)(1)
§ 240.3a4-1 — Associated persons of an issuer deemed not to be brokers.
§§ 240.3a4-2—240.3a4-6 — [Reserved]
§ 240.3a5-1 — Exemption from the definition of “dealer” for a bank engaged in
§ 240.3a5-2 — Exemption from the definition of “dealer” for banks effecting
transactions in securities issued pursuant to Regulation S.
§ 240.3a5-3 — Exemption from the definition of “dealer” for banks engaging in
§ 240.3Ca-1 — Stay of clearing requirement and review by the Commission.
§ 240.3Ca-2 — Submission of security-based swaps for clearing.
Definition of “Equity Security” as Used in Sections 12( g ) and
§ 240.3a11-1 — Definition of the term “equity security.”
§ 240.3a12-1 — Exemption of certain mortgages and interests in mortgages.
§ 240.3a12-2 — [Reserved]
§ 240.3a12-3 — Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for
securities of certain foreign issuers.
§ 240.3a12-4 — Exemptions from sections 15(a) and 15(c)(3) for certain mortgage
§ 240.3a12-5 — Exemption of certain investment contract securities from sections
7(c) and 11(d)(1).
§ 240.3a12-6 — Definition of “common trust fund” as used in section 3(a)(12) of
§ 240.3a12-7 — Exemption for certain derivative securities traded otherwise than
§ 240.3a12-8 — Exemption for designated foreign government securities for
purposes of futures trading.
§ 240.3a12-9 — Exemption of certain direct participation program securities from
the arranging provisions of sections 7(c) and 11(d)(1).
§ 240.3a12-10 — Exemption of certain securities issued by the Resolution Funding
§ 240.3a12-11 — Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt
securities listed on a national securities exchange.
§ 240.3a12-12 — Exemption from certain provisions of section 16 of the Act for
§ 240.3a40-1 — Designation of financial responsibility rules.
§ 240.3a43-1 — Customer-related government securities activities incidental to
the futures-related business of a futures commission merchant
registered with the Commodity Futures Trading Commission.
§ 240.3a44-1 — Proprietary government securities transactions incidental to the
futures-related business of a CFTC-regulated person.
§ 240.3a51-1 — Definition of “penny stock”.
§ 240.3a55-1 — Method for determining market capitalization and dollar value of
average daily trading volume; application of the definition of
§ 240.3a55-2 — Indexes underlying futures contracts trading for fewer than 30
§ 240.3a55-3 — Futures contracts on security indexes trading on or subject to the
rules of a foreign board of trade.
§ 240.3a55-4 — Exclusion from definition of narrow-based security index for
indexes composed of debt securities.
77 FR 30751, May 23, 2012, unless
§ 240.3a67-1 — Definition of “major security-based swap participant.”
§ 240.3a67-2 — Categories of security-based swaps.
§ 240.3a67-3 — Definition of “substantial position.”
§ 240.3a67-4 — Definition of “hedging or mitigating commercial risk.”
§ 240.3a67-5 — Definition of “substantial counterparty exposure.”
§ 240.3a67-6 — Definition of “financial entity.”
§ 240.3a67-7 — Definition of “highly leveraged.”
§ 240.3a67-8 — Timing requirements, reevaluation period, and termination of
§ 240.3a67-9 — Calculation of major participant status by certain persons.
Further Definition of Swap, Security-Based Swap, and Security-Based
Swap Agreement; Mixed Swaps; Security-Based Swap Agreement
§ 240.3a68-1a — Meaning of “issuers of securities in a narrow-based security
index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
§ 240.3a68-1b — Meaning of “narrow-based security index” as used in section
3(a)(68)(A)(ii)(I) of the Act.
§ 240.3a68-2 — Requests for interpretation of swaps, security-based swaps, and
§ 240.3a68-3 — Meaning of “narrow-based security index” as used in the definition
of “security-based swap.”
§ 240.3a68-4 — Regulation of mixed swaps.
§ 240.3a68-5 — Regulation of certain futures contracts on foreign sovereign
§ 240.3a69-1 — Safe Harbor Definition of “security-based swap” and “swap” as used
in sections 3(a)(68) 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
§ 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).
§ 240.3b-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
§ 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
§ 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.
§ 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
§ 240.6h-2 — Security future based on note, bond, debenture, or evidence of
§ 240.7c2-1 — [Reserved]
§ 240.8c-1 — Hypothecation of customers' securities.
§ 240.9b-1 — Options disclosure document.
§§ 240.10a-1—240.10a-2 — [Reserved]
§ 240.10A-1 — Notice to the Commission Pursuant to Section 10A of the
§ 240.10A-2 — Auditor independence.
§ 240.10A-3 — Listing standards relating to audit committees.
§ 240.10C-1 — Listing standards relating to compensation committees.
§ 240.10b5-1 — Trading “on the basis of” material nonpublic information in
§ 240.10b5-2 — Duties of trust or confidence in misappropriation insider trading
§ 240.10b-1 — Prohibition of use of manipulative or deceptive devices or
contrivances with respect to certain securities exempted from
§ 240.10b-2 — [Reserved]
§ 240.10b-3 — Employment of manipulative and deceptive devices by brokers or
§ 240.10b-4 — [Reserved]
§ 240.10b-5 — Employment of manipulative and deceptive devices.
§§ 240.10b-6—240.10b-8 — [Reserved]
§ 240.10b-9 — Prohibited representations in connection with certain
§ 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
§ 240.10b-21 — Deception in connection with a seller's ability or intent to
deliver securities on the date delivery is due.
§ 240.11a1-1(T) — Transactions yielding priority, parity, and precedence.
§ 240.11a1-2 — Transactions for certain accounts of associated persons of
§ 240.11a1-3(T) — Bona fide hedge transactions in certain securities.
§ 240.11a1-4(T) — Bond transactions on national securities exchanges.
§ 240.11a1-5 — Transactions by registered competitive market makers and
registered equity market makers.
§ 240.11a1-6 — Transactions for certain accounts of OTC derivatives
§ 240.11a2-2(T) — Transactions effected by exchange members through other
§ 240.11a-1 — Regulation of floor trading.
§ 240.11b-1 — Regulation of specialists.
Exemption of Certain Securities From Section 11( d )(1)
§ 240.11d1-1 — Exemption of certain securities from section 11(d)(1).
§ 240.11d1-2 — Exemption from section 11(d)(1) for certain investment company
securities held by broker-dealers as collateral in margin
§ 240.11d2-1 — Exemption from Section 11(d)(2) for certain broker-dealers
effecting transactions for customers security futures products in
§ 240.12a-4 — Exemption of certain warrants from section 12(a).
§ 240.12a-5 — Temporary exemption of substituted or additional
§ 240.12a-6 — Exemption of securities underlying certain options from section
§ 240.12a-7 — Exemption of stock contained in standardized market baskets from
section 12(a) of the Act.
§ 240.12a-8 — Exemption of depositary shares.
§ 240.12a-9 — Exemption of standardized options from section 12(a) of the
Sections 240.12b-1 through 240.12b-36 appear at 13 FR
9321, Dec. 31, 1948, unless otherwise noted.