Source: http://www.law.cornell.edu/cfr/text/17/part-249
Timestamp: 2014-12-18 12:43:40
Document Index: 663953138

Matched Legal Cases: ['art 249', 'art 249', 'art 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 249', '§ 922', '§ 922', 'art 249', 'arts 232', '§ 78', '§ 78', '§ 78', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 78', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 32', '§ 32', '§ 32', '§ 32', '§ 78', '§ 32', '§ 32', '§ 78', '§ 32', '§ 32', '§ 78', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 78', '§ 78', '§ 32', '§ 32', '§ 78', '§ 78', '§ 78', '§ 32', '§ 78', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 32', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 32', '§ 78', '§ 78', '§ 78', '§ 32', '§ 32', '§ 32', '§ 78', '§ 78', '§ 78', '§ 78', '§ 32', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 7201', '§ 7202']

17 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934 | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 249 17 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
There are 7 Updates appearing in the Federal Register for 17 CFR 249. View below or at eCFR (GPOAccess)
§ 249.0-1 — Availability of forms.
SUBPART A — Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges (§§ 249.1 - 249.26)
SUBPART B — Forms for Reports To Be Filed by Officers, Directors, and Security Holders (§§ 249.103 - 249.105)
SUBPART C — Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters (§§ 249.208 - 249.250)
SUBPART D — Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 (§§ 249.306 - 249.447)
SUBPART E — Forms for Statements Made in Connection With Exempt Tender Offers (§§ 249.480 - 249.480)
SUBPART F — Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets (§§ 249.501 - 249.510)
SUBPART G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers (§§ 249.617 - 249.639)
SUBPART H — Forms For Reports as to Stabilization (§§ 249.709 - 249.709)
SUBPART I — Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations (§§ 249.801 - 249.822)
SUBPART K — Form for Registration of, and Reporting by Securities Information Processors (§§ 249.1001 - 249.1001)
SUBPART L — Forms for Registration of Municipal Securities Dealers (§§ 249.1100 - 249.1110)
SUBPART M — Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities (§§ 249.1200 - 249.1200)
SUBPART N — Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons (§§ 249.1300 - 249.1330)
SUBPART O — Forms for Securitizers of Asset-Backed Securities (§§ 249.1400 - 249.1400)
SUBPART S — Whistleblower Forms (§§ 249.1800 - 249.1801)
15 U.S.C. 78a
et seq. and 7201 et seq.;
12 U.S.C. 5461
et seq.; and 18 U.S.C. 1350, unless otherwise noted.
Section 249.220f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 401(b), 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.240f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.308 is also issued under 15 U.S.C. 80a-29 and 80a-37.
Section 249.308a is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.308b is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.310 is also issued under secs. 3(a), 202, 208, 302, 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.326(T) also issued under section 13(f)(1) (15 U.S.C. 78m(f)(1)).
Section 249.330 is also issued under secs. 3(a), 406, and 407, Pub. L. No. 107-204, 116 Stat. 745.
Section 249.331 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, 7265; and 18 U.S.C. 1350.
Section 249.819 is also issued under 12 U.S.C. 5465(e).
Section 249.1400 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.
Section 249.1800 is also issued under Public Law 111.203, § 922(a), 124 Stat 1841 (2010).
Section 249.1801 is also issued under Public Law 111.203, § 922(a), 124 Stat 1841 (2010).
Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.
Link to an amendment published at 79 FR 1550, Jan. 8, 2014.
2014-11-10; vol. 79 # 217 - Monday, November 10, 201479 FR 66607 - Asset-Backed Securities Disclosure and Registration; Correction
typeregulations.gov FR Doc.2014-26504 RIN3235-AK37 File No.S7-08-10 Release Nos.33-9638A 34-72982A SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective November 24, 2014. 17 CFR Parts 232 and 249 SummaryWe are making technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities.
U.S. Code: Title 15 - COMMERCE AND TRADE§ 78a - Short title§ 78b - Necessity for regulation§ 78c - Definitions and application15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78d - Securities and Exchange Commission15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78e - Transactions on unregistered exchanges§ 78f - National securities exchanges§ 78g - Margin requirements§ 78h - Restrictions on borrowing and lending by members, brokers, and dealers§ 78i - Manipulation of security prices§ 78j - Manipulative and deceptive devices15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78k - Trading by members of exchanges, brokers, and dealers15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § -15 U.S. Code § 32, 33 - Repealed.§ 78m - Periodical and other reports15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78n - Proxies15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § -15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § -15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78p - Directors, officers, and principal stockholders§ 78q - Records and reports15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78r - Liability for misleading statements§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations§ 78t - Liability of controlling persons and persons who aid and abet violations15 U.S. Code § 32, 33 - Repealed.§ 78u - Investigations and actions15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78v - Hearings by Commission§ 78w - Rules, regulations, and orders; annual reports§ 78x - Public availability of information§ 78y - Court review of orders and rules§ 78z - Unlawful representations§ 78aa - Jurisdiction of offenses and suits15 U.S. Code § 32, 33 - Repealed.§ 78bb - Effect on existing law§ 78cc - Validity of contracts§ 78dd - Foreign securities exchanges15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 32, 33 - Repealed.§ 78ee - Transaction fees§ 78ff - Penalties§ 78gg - Separability§ 78hh - Effective date15 U.S. Code § 32, 33 - Repealed.§ 78ii - Omitted§ 78jj - Repealed.§ 78kk - Authorization of appropriations15 U.S. Code § -§ 78mm - General exemptive authority§ 78nn - Tennessee Valley Authority15 U.S. Code § -§ 78pp - Investor Advisory Committee§ 7201 - Definitions§ 7202 - Commission rules and enforcement
Title 17 published on 2014-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 249 after this date.2014-12-05; vol. 79 # 234 - Friday, December 5, 201479 FR 72252 - Regulation Systems Compliance and Integrity