Source: http://ecfr.io/Title-17/cfr240_main
Timestamp: 2019-07-19 19:06:22
Document Index: 52821554

Matched Legal Cases: ['art 240', 'art 240', 'art 240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§230', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§249', '§240', '§249', '§240', '§240', '§240', '§240', '§249', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§249', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240', '§240']

[17 CFR 240] Title 17 Part 240 : Code of Federal Regulations ';
Title 17 Part 240
Title 17 → Chapter II → Part 240
§240.0-1
§240.0-2
§240.0-3
Filing of material with the Commission.
§240.0-4
§240.0-5
Reference to rule by obsolete designation.
§240.0-6
§240.0-8
§240.0-9
§240.0-10
Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
§240.0-11
Filing fees for certain acquisitions, dispositions and similar transactions.
§240.0-12
§240.0-13
Commission procedures for filing applications to request a substituted compliance order under the Exchange Act.
§240.3a1-1
§240.3a4-1
Associated persons of an issuer deemed not to be brokers.
§§240.3a4-2—240.3a4-6
§240.3a5-1
§240.3a5-2
§240.3a5-3
§240.3a11-1
§240.3a12-1
§240.3a12-2
§240.3a12-3
§240.3a12-4
§240.3a12-5
§240.3a12-6
Definition of “common trust fund” as used in section 3(a)(12) of the Act.
§240.3a12-7
Exemption for certain derivative securities traded otherwise than on a national securities exchange.
§240.3a12-8
Exemption for designated foreign government securities for purposes of futures trading.
§240.3a12-9
§240.3a12-10
§240.3a12-11
§240.3a12-12
Exemption from certain provisions of section 16 of the Act for asset-backed securities.
§240.3a40-1
§240.3a43-1
§240.3a44-1
§240.3a51-1
§240.3a55-1
§240.3a55-2
§240.3a55-3
§240.3a55-4
§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
§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 status.
§240.3a67-9
Calculation of major participant status by certain persons.
§240.3a67-10
Foreign major security-based swap participants.
§240.3a68-1a
§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
§240.3a68-3
Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
§240.3a68-4
§240.3a68-5
Regulation of certain futures contracts on foreign sovereign debt.
§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 agreements.
§240.3a71-1
Definition of “security-based swap dealer.”
§240.3a71-2
§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
Exception for cleared transactions executed on a swap execution facility.
§240.3a71-6
Substituted compliance for security-based swap dealers and major security-based swap participants.
§240.3b-1
§240.3b-2
§240.3b-3
§240.3b-4
§240.3b-5
§240.3b-6
§240.3b-7
§240.3b-8
§§240.3b-9—240.3b-10
§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
§240.3b-13
§240.3b-14
§240.3b-15
§240.3b-16
Definitions of terms used in Section 3(a)(1) of the Act.
§240.3b-17
§240.3b-18
§240.3b-19
§240.3Ca-1
Stay of clearing requirement and review by the Commission.
§240.3Ca-2
Submission of security-based swaps for clearing.
§240.6a-1
§240.6a-2
§240.6a-3
Supplemental material to be filed by exchanges.
§240.6a-4
§240.6h-1
§240.6h-2
§240.7c2-1
§240.8c-1
§240.9b-1
§§240.10a-1—240.10a-2
§240.10b-1
Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
§240.10b-2
§240.10b-3
Employment of manipulative and deceptive devices by brokers or dealers.
§240.10b-4
§240.10b-5
§240.10b5-1
§240.10b5-2
§§240.10b-6—240.10b-8
§240.10b-9
§240.10b-10
§240.10b-13
§240.10b-16
§240.10b-17
§240.10b-18
§240.10b-21
§240.10A-1
§240.10A-2
§240.10A-3
§240.10C-1
Listing standards relating to compensation committees.
§240.11a-1
§240.11a1-1(T)
§240.11a1-2
§240.11a1-3(T)
Bona fide hedge transactions in certain securities.
§240.11a1-4(T)
§240.11a1-5
§240.11a1-6
§240.11a2-2(T)
§240.11b-1
Regulation of specialists.
§240.11d1-1
§240.11d1-2
Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
§240.11d2-1
§240.12a-4
§240.12a-5
Temporary exemption of substituted or additional securities.
§240.12a-6
§240.12a-7
Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
§240.12a-8
§240.12a-9
§240.12a-10
§240.12a-11
Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§230.240) from section 12(a) of the Act.
§240.12b-1
§240.12b-2
§240.12b-3
§240.12b-4
§240.12b-5
§240.12b-6
§240.12b-7
§240.12b-10
§240.12b-11
§240.12b-12
§240.12b-13
§240.12b-14
§240.12b-15
§240.12b-20
§240.12b-21
§240.12b-22
§240.12b-23
§240.12b-24
§240.12b-25
Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-CEN , N-CSR, 10-Q, or 10-D.
§240.12b-30
§240.12b-31
§240.12b-32
§240.12b-33
§240.12b-35
§240.12b-36
Use of financial statements filed under other acts.
§240.12b-37
§240.12d1-1
§240.12d1-2
§240.12d1-3
§240.12d1-4
§240.12d1-5
§240.12d1-6
§240.12d2-1
§240.12d2-2
§240.12f-1
§240.12f-2
§240.12f-3
§240.12f-4
§240.12f-5
§240.12f-6
§240.12g-1
§240.12g-2
§240.12g-3
§240.12g-4
§240.12g-6
Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933.
§240.12g3-2
§240.12g5-1
§240.12g5-2
§240.12h-1
§240.12h-2
§240.12h-3
§240.12h-4
§240.12h-5
§240.12h-6
§240.12h-7
§240.13a-1
§240.13a-2
§240.13a-3
§240.13a-10
§240.13a-11
Current reports on Form 8-K (§249.308 of this chapter).
§240.13a-13
Quarterly reports on Form 10-Q (§249.308a of this chapter).
§240.13a-14
§240.13a-15
§240.13a-16
§240.13a-17
Reports of asset-backed issuers on Form 10-D (§249.312 of this chapter).
§240.13a-18
§240.13a-19
§240.13a-20
§240.13b2-1
§240.13b2-2
§240.13d-1
§240.13d-3
§240.13d-4
§240.13d-5
§240.13d-6
§240.13d-101
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).
§240.13d-102
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.
§240.13e-1
§240.13e-2
§240.13e-3
§240.13e-4
§240.13e-100
Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§240.13e-3) thereunder.
§240.13e-101
§240.13e-102
Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and §240.13e-4 thereunder.
§240.13f-1
§240.13h-l
§240.13k-1
§240.13n-1
Registration of security-based swap data repository.
§240.13n-2
Withdrawal from registration; revocation and cancellation.
§240.13n-3
Registration of successor to registered security-based swap data repository.
§240.13n-4
§240.13n-5
§240.13n-6
§240.13n-7
Recordkeeping of security-based swap data repository.
§240.13n-8
Reports to be provided to the Commission.
§240.13n-9
Privacy requirements of security-based swap data repository.
§240.13n-10
Disclosure requirements of security-based swap data repository.
§240.13n-11
Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
§240.13n-12
Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
§240.13p-1
Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
§240.13q-1
§240.14a-1
Solicitations to which §240.14a-3 to §240.14a-15 apply.
§240.14a-3
§240.14a-4
§240.14a-5
§240.14a-6
§240.14a-7
§240.14a-8
§240.14a-9
§240.14a-10
§240.14a-13
§240.14a-14
§240.14a-15
§240.14a-16
§240.14a-17
§240.14a-18
§240.14a-20
§240.14a-21
§240.14a-101
§240.14a-102
§240.14a-103
Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to §240.14a-6(g).
§240.14a-104
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).
§240.14b-1
§240.14b-2
§240.14c-1
§240.14c-2
§240.14c-3
§240.14c-4
§240.14c-5
§240.14c-6
§240.14c-7
§240.14c-101
§240.14d-1
§240.14d-2
§240.14d-3
§240.14d-4
§240.14d-5
§240.14d-6
§240.14d-7
§240.14d-8
§240.14d-9
§240.14d-10
§240.14d-11
§240.14d-100
§240.14d-101
§240.14d-102
§240.14d-103
§240.14e-1
§240.14e-2
§240.14e-3
§240.14e-4
§240.14e-5
§240.14e-6
§240.14e-7
§240.14e-8
§240.14f-1
§240.14n-1
§240.14n-2
Filing of amendments to Schedule 14N.
§240.14n-3
§240.14n-101
Schedule 14N—Information to be included in statements filed pursuant to §240.14n-1 and amendments thereto filed pursuant to §240.14n-2.
§240.15a-1
Securities activities of OTC derivatives dealers.
§240.15a-2
§240.15a-3
§240.15a-4
§240.15a-5
§240.15a-6
§§240.15a-7—240.15a-9
§240.15a-10
§240.15a-11
§240.15b1-1
§240.15b1-2
§240.15b1-3
§240.15b1-4
§240.15b1-5
§240.15b1-6
§240.15b2-2
§240.15b3-1
§240.15b5-1
§240.15b6-1
§240.15b7-1
§240.15b7-3T
§240.15b9-1
§240.15b9-2
Exemption from SRO membership for OTC derivatives dealers.
§240.15b11-1
§240.15c1-1
§240.15c1-2
§240.15c1-3
§240.15c1-4
§240.15c1-5
§240.15c1-6
§240.15c1-7
§240.15c1-8
Sales at the market.
§240.15c1-9
§240.15c2-1
§240.15c2-3
§240.15c2-4
§240.15c2-5
§240.15c2-6
§240.15c2-7
§240.15c2-8
§240.15c2-11
§240.15c2-12
§240.15c3-1
§240.15c3-1a
§240.15c3-1b
§240.15c3-1c
§240.15c3-1d
§240.15c3-1e
§240.15c3-1f
§240.15c3-1g
§240.15c3-2
§240.15c3-3
§240.15c3-3a
Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under §240.15c3-3.
§240.15c3-4
§240.15c3-5
§240.15c6-1
§240.15d-1
§240.15d-2
§240.15d-3
§240.15d-4
§240.15d-5
§240.15d-6
Suspension of duty to file reports.
§240.15d-10
§240.15d-11
§240.15d-13
Quarterly reports on Form 10-Q (§249.308 of this chapter).
§240.15d-14
§240.15d-15
§240.15d-16
§240.15d-17
§240.15d-18
§240.15d-19
§240.15d-20
§240.15d-21
Reports for employee stock purchase, savings and similar plans.
§240.15d-22
§240.15d-23
§240.15g-1
§240.15g-2
§240.15g-3
§240.15g-4
§240.15g-5
Disclosure of compensation of associated persons in connection with penny stock transactions.
§240.15g-6
§240.15g-8
§240.15g-9
§240.15g-100
§240.15l-1
§240.15Aa-1
§240.15Aj-1
§240.15Al2-1
§240.15Ba1-1
§240.15Ba1-2
Registration of municipal advisors and information regarding certain natural persons.
§240.15Ba1-3
Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.
§240.15Ba1-4
Withdrawal from municipal advisor registration.
§240.15Ba1-5
Amendments to Form MA and Form MA-I.
§240.15Ba1-6
Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.
§240.15Ba1-7
Registration of successor to municipal advisor.
§240.15Ba1-8
Books and records to be made and maintained by municipal advisors.
§240.15Ba2-1
§240.15Ba2-2
§240.15Ba2-4
§240.15Ba2-5
§240.15Ba2-6
§240.15Bc3-1
§240.15Bc4-1
Persons associated with municipal advisors.
§240.15Bc7-1
§240.15Ca1-1
§240.15Ca2-1
§240.15Ca2-2
§240.15Ca2-3
Registration of successor to registered government securities broker or government securities dealer.
§240.15Ca2-4
§240.15Ca2-5
§240.15Cc1-1
§240.15Fb1-1.
§240.15Fb2-1
Registration of security-based swap dealers and major security-based swap participants.
§240.15Fb2-3
Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
§240.15Fb2-4
Nonresident security-based swap dealers and major security-based swap participants.
§240.15Fb2-5
Registration of successor to registered security-based swap dealer or a major security-based swap participant.
§240.15Fb2-6
§240.15Fb3-1
§240.15Fb3-2
§240.15Fb3-3
Cancellation and revocation of registration.
§240.15Fb6-1
§240.15Fb6-2
Associated person certification.
§240.15Fh-1
Scope and reliance on representations.
§240.15Fh-2
§240.15Fh-3
Business conduct requirements.
§240.15Fh-4
Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
§240.15Fh-5
Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
§240.15Fh-6
Political contributions by certain security-based swap dealers.
§240.15Fi-1
§240.15Fi-2
§240.15Fk-1
Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
§240.15Ga-1
§240.16a-1
§240.15Ga-2
§240.16a-2
Persons and transactions subject to section 16.
§240.16a-3
§240.16a-4
§240.16a-5
§240.16a-6
§240.16a-7
§240.16a-8
§240.16a-9
Stock splits, stock dividends, and pro rata rights.
§240.16a-10
§240.16a-11
§240.16a-12
§240.16a-13
§240.16b-1
§240.16b-2
§240.16b-3
§240.16b-4
§240.16b-5
§240.16b-6
§240.16b-7
§240.16b-8
§240.16c-1
§240.16c-2
§240.16c-3
§240.16c-4
§240.16e-1
§240.17a-1
Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
§240.17a-2
§240.17a-3
§240.17a-4
§240.17a-5
§240.17a-6
§240.17a-7
§240.17a-8
§240.17a-9T
§240.17a-10
§240.17a-11
§240.17a-12
§240.17a-13
§240.17a-14
§240.17a-18
§240.17a-19
§240.17a-21
§240.17a-22
Supplemental material of registered clearing agencies.
§240.17a-25
§240.17d-1
§240.17d-2
§240.17f-1
§240.17f-2
§240.17g-1
§240.17g-2
§240.17g-3
Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
§240.17g-4
§240.17g-5
§240.17g-6
§240.17g-7
§240.17g-8
Policies, procedures, and internal controls.
§240.17g-9
Standards of training, experience, and competence for credit analysts.
§240.17g-10
§240.17h-1T
§240.17h-2T
§240.17Ab2-1
§240.17Ab2-2
Determinations affecting covered clearing agencies.
§240.17Ac2-1
§240.17Ac2-2
§240.17Ac3-1
§240.17Ad-1
§240.17Ad-2
§240.17Ad-3
§240.17Ad-4
Applicability of §§240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
§240.17Ad-5
§240.17Ad-6
§240.17Ad-7
§240.17Ad-8
§240.17Ad-9
§240.17Ad-10
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.
§240.17Ad-11
§240.17Ad-12
§240.17Ad-13
§240.17Ad-14
§240.17Ad-15
§240.17Ad-16
§240.17Ad-17
§240.17Ad-18
§240.17Ad-19
Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
§240.17Ad-20
§240.17Ad-21T
§240.17Ad-22
Standards for clearing agencies.
§240.19a3-1
§240.19b-3
§240.19b-4
§240.19b-5
§240.19b-7
§240.19c-1
§240.19c-3
§240.19c-4
§240.19c-5
§240.19d-1
§240.19d-2
§240.19d-3
§240.19d-4
§240.19g2-1
§240.19h-1
§240.21F-1
§240.21F-2
§240.21F-3
§240.21F-4
§240.21F-5
§240.21F-6
§240.21F-7
§240.21F-8
§240.21F-9
§240.21F-10
§240.21F-11
§240.21F-12
§240.21F-13
§240.21F-14
§240.21F-15
§240.21F-16
§240.21F-17
§240.24b-1
§240.24b-2
§240.24b-3
§240.24c-1
§240.31
§240.31T
§240.36a1-1
Exemption from Section 7 for OTC derivatives dealers.
§240.36a1-2
Subpart B—RULES AND REGULATIONS UNDER THE SECURITIES INVESTOR PROTECTION ACT OF 1970 [RESERVED]