Source: https://www.law.cornell.edu/uscode/text/15/78e
Timestamp: 2016-02-11 08:49:15
Document Index: 299622866

Matched Legal Cases: ['§ 78', '§ 78', '§ 78', '§\u202f78', '§\u202f5', 'art 200', 'art 240', 'art 249', 'art 249']

15 U.S. Code § 78e - Transactions on unregistered exchanges | US Law | LII / Legal Information Institute
U.S. Code › Title 15 › Chapter 2B › § 78e 15 U.S. Code § 78e - Transactions on unregistered exchanges
§ 78e.
It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States to effect any transaction in a security, or to report any such transaction, unless such exchange (1) is registered as national securities exchange under section 78f of this title, or (2) is exempted from such registration upon application by the exchange because, in the opinion of the Commission, by reason of the limited volume of transactions effected on such exchange, it is not practicable and not necessary or appropriate in the public interest or for the protection of investors to require such registration.
(June 6, 1934, ch. 404, title I, § 5, 48 Stat. 885.)
This is a list of parts within the Code of Federal Regulations for which this US Code section provides rulemaking authority.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.17 CFR - Commodity and Securities Exchanges17 CFR Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS17 CFR Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 193417 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 193417 CFR Part 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934