Source: http://www.law.cornell.edu/cfr/text/17/part-240?qt-cfr_tabs=3
Timestamp: 2015-01-30 12:44:06
Document Index: 579188161

Matched Legal Cases: ['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', 'art 240']

17 CFR Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 | LII / Legal Information Institute
For the scope of and definitions applicable to Regulation 14E, refer to § 240.14d-1.
§ 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 — Purchase of securities by the issuer during a third-party tender offer.
§ 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-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 — Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
§ 240.13k-1 — Foreign bank exemption from the insider lending prohibition under section 13(k).
§ 240.13p-1 — Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
§ 240.14a-7 — Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
§ 240.14a-15 — Differential and contingent compensation in connection with roll-up transactions.
§ 240.14a-18 — Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.
§ 240.14a-21 — Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
§ 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 — Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14b-2 — Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14d-5 — Dissemination of certain tender offers by the use of stockholder lists and security position listings.
§ 240.14d-100 — Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
§ 240.14d-102 — Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
§ 240.14d-103 — Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.
§ 240.14e-3 — Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
§ 240.14e-6 — Repurchase offers by certain closed-end registered investment companies.
§ 240.14e-8 — Prohibited conduct in connection with pre-commencement communications.
§ 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.
§ 240.15Aa-1 — Registration of a national or an affiliated securities association.
§ 240.15Aj-1 — Amendments and supplements to registration statements of securities associations.
§ 240.15Ba2-1 — Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.
§ 240.15Ba2-2 — Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.
§ 240.15Ba2-4 — Registration of successor to registered municipal securities dealer.
§ 240.15Ba2-6T — Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration.
Sections 240.15.Ca1-1 through 240.15Cc1-1 appear at 52 FR 16839, May 6, 1987, unless otherwise noted.
§ 240.15Ca2-1 — Application for registration as a government securities broker or government securities dealer.
§ 240.15Ca2-3 — Registration of successor to registered government securities broker or government securities dealer.
§ 240.15Ca2-5 — Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
§ 240.15Cc1-1 — Withdrawal from registration of government securities brokers or government securities dealers.
§ 240.15Ga-1 — Repurchases and replacements relating to asset-backed securities.
§ 240.15a-2 — Exemption of certain securities of cooperative apartment houses from section 15(a).
§ 240.15a-4 — Forty-five day exemption from registration for certain members of national securities exchanges.
§ 240.15a-10 — Exemption of certain brokers or dealers with respect to security futures products.
§ 240.15b1-5 — Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.
§ 240.15b1-6 — Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
§ 240.15b5-1 — Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.
§ 240.15b7-1 — Compliance with qualification requirements of self-regulatory organizations.
§ 240.15b11-1 — Registration by notice of security futures product broker-dealers.
§ 240.15b12-1T — Brokers or dealers engaged in a retail forex business.
§ 240.15c1-3 — Misrepresentation by brokers, dealers and municipal securities dealers as to registration.
§ 240.15c2-4 — Transmission or maintenance of payments received in connection with underwritings.
§ 240.15c2-5 — Disclosure and other requirements when extending or arranging credit in certain transactions.
§ 240.15c2-11 — Initiation or resumption of quotations without specific information.
§ 240.15c3-1b — Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).
§ 240.15c3-1c — Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
§ 240.15c3-1d — Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
§ 240.15c3-1e — Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
§ 240.15c3-1f — Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
§ 240.15c3-1g — Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).
§ 240.15c3-2 — Customers' free credit balances.
§ 240.15c3-3a — Exhibit A—formula for determination reserve requirement of brokers and dealers under § 240.15c3-3.
§ 240.15c3-4 — Internal risk management control systems for OTC derivatives dealers.
§ 240.15c3-5 — Risk management controls for brokers or dealers with market access.
§ 240.15d-22 — Reporting regarding asset-backed securities under section 15(d) of the Act.
§ 240.15d-23 — Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
§ 240.15g-2 — Penny stock disclosure document relating to the penny stock market.
§ 240.15g-3 — Broker or dealer disclosure of quotations and other information relating to the penny stock market.
§ 240.15g-5 — Disclosure of compensation of associated persons in connection with penny stock transactions.
§ 240.15g-100 — Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
Sections 240.16b-1 through 240.16b-8 appear at 56 FR 7270, Feb. 21, 1991, unless otherwise noted.
Sections 240.16c-1 through 240.16c-4 appear at 56 FR 7273, Feb. 21, 1991, unless otherwise noted.
§ 240.17Ad-4 — Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
§ 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 — Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
§ 240.17Ad-19 — Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
§ 240.17Ad-20 — Issuer restrictions or prohibitions on ownership by securities intermediaries.
§ 240.17a-1 — Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.
§ 240.17a-3 — Records to be made by certain exchange members, brokers and dealers.
§ 240.17a-4 — Records to be preserved by certain exchange members, brokers and dealers.
§ 240.17a-6 — Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.
§ 240.17a-8 — Financial recordkeeping and reporting of currency and foreign transactions.
§ 240.17a-9T — Records to be made and retained by certain exchange members, brokers and dealers.
§ 240.17a-13 — Quarterly security counts to be made by certain exchange members, brokers, and dealers.
§ 240.17a-19 — Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
§ 240.17a-23 — Recordkeeping and reporting requirements relating to broker-dealer trading systems.
§ 240.17a-25 — Electronic submission of securities transaction information by exchange members, brokers, and dealers.
§ 240.17d-1 — Examination for compliance with applicable financial responsibility rules.
§ 240.17f-1 — Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
72 FR 33620, June 18, 2007, unless otherwise noted.
§ 240.17g-1 — Application for registration as a nationally recognized statistical rating organization.
§ 240.17g-2 — Records to be made and retained by nationally recognized statistical rating organizations.
§ 240.17g-3 — Annual financial reports to be furnished by nationally recognized statistical rating organizations.
§ 240.17h-1T — Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
Rules 17i-1 through 17i-8 set forth a program of supervision at the holding company level for supervised investment bank holding companies. This program is designed to reduce the likelihood that financial and operational weakness in a supervised investment bank holding company will destabilize broker or dealer or the broader financial system. The focus of this supervision of the supervised investment bank holding company is its financial and operational condition and its risk management controls and methodologies.
§ 240.17i-1 — Definitions.
§ 240.17i-2 — Notice of intention to be supervised by the Commission as a supervised investment bank holding company.
§ 240.17i-3 — Withdrawal from supervision by the Commission as a supervised investment bank holding company.
§ 240.17i-4 — Internal risk management control system requirements for supervised investment bank holding companies.
§ 240.17i-5 — Record creation, maintenance, and access requirements for supervised investment bank holding companies.
§ 240.17i-6 — Reporting requirements for supervised investment bank holding companies.
§ 240.17i-7 — Calculations of allowable capital and risk allowances or alternative capital assessment.
§ 240.17i-8 — Notification provisions for supervised investment bank holding companies.
§ 240.19b-4 — Filings with respect to proposed rule changes by self-regulatory organizations.
§ 240.19b-5 — Temporary exemption from the filing requirements of Section 19(b) of the Act.
§ 240.19b-7 — Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.
§ 240.19c-1 — Governing certain off-board agency transactions by members of national securities exchanges.
§ 240.19c-3 — Governing off-board trading by members of national securities exchanges.
§ 240.19c-4 — Governing certain listing or authorization determinations by national securities exchanges and associations.
§ 240.19c-5 — Governing the multiple listing of options on national securities exchanges.
§ 240.19d-1 — Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.
§ 240.19d-2 — Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.
§ 240.19d-3 — Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.
§ 240.19d-4 — Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.
§ 240.19g2-1 — Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.
§ 240.19h-1 — Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.
Sections 240.21F-1 through 240.21F-17 appear at 76 FR 34363, June 13, 2011.
§ 240.21F-10 — Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.
§ 240.21F-12 — Materials that may form the basis of an award determination and that may comprise the record on appeal.
§ 240.21F-17 — Staff communications with individuals reporting possible securities law violations.
§ 240.24b-2 — Nondisclosure of information filed with the Commission and with any exchange.
§ 240.24b-3 — Information filed by issuers and others under sections 12, 13, 14, and 16.
15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78mm, 78n, 78n-1, 78o, 78o-4, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201 et seq.;
18 U.S.C. 1350; and 12 U.S.C. 5221(e)(3) unless otherwise noted.
Section 240.14e-4 also issued under the Exchange Act, 15 U.S.C. 78a et seq., and particularly sections 3(b), 10(a), 10(b), 14(e), 15(c), and 23(a) of the Exchange Act (15 U.S.C. 78c(b), 78j(a), 78j(b), 78n(e), 78
o(c), and 78w(a)).
Section 240.15b1-3 also issued under sec. 15, 17; 15 U.S.C. 78
o 78q;
Sections 240.15b1-3 and 240.15b2-1 also issued under 15 U.S.C. 78
o, 78q;
Section 240.15b2-2 also issued under secs. 3, 15; 15 U.S.C. 78c, 78
Section 240.15c2-11 also issued under 15 U.S.C. 78j(b), 78
o(c), 78q(a), and 78w(a).
Section 240.15c2-12 also issued under 15 U.S.C. 78b, 78c, 78j, 78
o, 78o-4 and 78q.
Section 240.15c3-1 is also issued under secs. 15(c)(3), 15 U.S.C. 78o(c)(3).
Section 240.15c3-3 is also issued under 15 U.S.C. 78
o(c)(2), 78(c)(3), 78q(a), 78w(a); sec. 6(c), 84 Stat. 1652; 15 U.S.C. 78fff.
Sections 240.15Ca1-1, 240.15Ca2-1, 240.15Ca2-2, 240.15Ca2-3, 240.15Ca2-4, 240.15Ca2-5, 240.15Cc1-1 also issued under secs. 3, 15C; 15 U.S.C. 78c, 78
o-5;
Section 240.17Ad-22 is also issued under 12 U.S.C. 5464(a)(2).
Nomenclature changes to part 240 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.