Source: https://www.lawserver.com/law/country/us/code/us_code_title_15_chapter_2b
Timestamp: 2020-01-20 12:12:30
Document Index: 744896149

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» U.S. Code > Title 15 > Chapter 2B – Securities ExchangesLawServer
U.S. Code > Title 15 > Chapter 2B
U.S. Code > Title 15 > Chapter 2B – Securities Exchanges
§ 78a Short title
§ 78b Necessity for regulation
§ 78c Definitions and application
§ 78c-1 Swap agreements
§ 78c-2 Securities-related derivatives
§ 78c-3 Clearing for security-based swaps
§ 78c-4 Security-based swap execution facilities
§ 78c-5 Segregation of assets held as collateral in security-based swap transactions
§ 78d Securities and Exchange Commission
§ 78d-1 Delegation of functions by Commission
§ 78d-2 Transfer of functions with respect to assignment of personnel to chairman
§ 78d-3 Appearance and practice before the Commission
§ 78d-4 Additional duties of Inspector General
§ 78d-5 Deadline for completing enforcement investigations and compliance examinations and inspections
§ 78d-6 Report and certification of internal supervisory controls
§ 78d-7 Triennial report on personnel management
§ 78d-8 Annual financial controls audit
§ 78d-9 Report on oversight of national securities associations
§ 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 devices
§ 78j-1 Audit requirements
§ 78j-2 Position limits and position accountability for security-based swaps and large trader reporting
§ 78j-3 Compensation committees
§ 78j-4 Recovery of erroneously awarded compensation policy
§ 78k Trading by members of exchanges, brokers, and dealers
§ 78k-1 National market system for securities; securities information processors
§ 78l Registration requirements for securities
§ 78l-1 Applications for unlisted trading privileges deemed filed under section 78l of this title
§ 78m Periodical and other reports
§ 78m-1 Reporting and recordkeeping for certain security-based swaps
§ 78m-2 Reporting requirements regarding coal or other mine safety
§ 78n Proxies
§ 78n-1 Shareholder approval of executive compensation
§ 78n-2 Corporate governance
§ 78o Registration and regulation of brokers and dealers
§ 78o-1 Brokers deemed to be registered
§ 78o-2 Liabilities arising prior to amendment unaffected
§ 78o-3 Registered securities associations
§ 78o-4 Municipal securities
§ 78o-4a Commission Office of Municipal Securities
§ 78o-5 Government securities brokers and dealers
§ 78o-6 Securities analysts and research reports
§ 78o-7 Registration of nationally recognized statistical rating organizations
§ 78o-8 Universal ratings symbols
§ 78o-9 Study and rulemaking on assigned credit ratings
§ 78o-10 Registration and regulation of security-based swap dealers and major security-based swap participants
§ 78o-11 Credit risk retention
§ 78p Directors, officers, and principal stockholders
§ 78q Records and reports
§ 78q-1 National system for clearance and settlement of securities transactions
§ 78q-2 Automated quotation systems for penny stocks
§ 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 violations
§ 78t-1 Liability to contemporaneous traders for insider trading
§ 78u Investigations and actions
§ 78u-1 Civil penalties for insider trading
§ 78u-2 Civil remedies in administrative proceedings
§ 78u-3 Cease-and-desist proceedings
§ 78u-4 Private securities litigation
§ 78u-5 Application of safe harbor for forward-looking statements
§ 78u-6 Securities whistleblower incentives and protection
§ 78u-7 Implementation and transition provisions for whistleblower protection
§ 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 suits
§ 78aa-1 Special provision relating to statute of limitations on private causes of action
§ 78bb Effect on existing law
§ 78cc Validity of contracts
§ 78dd Foreign securities exchanges
§ 78dd-1 Prohibited foreign trade practices by issuers
§ 78dd-2 Prohibited foreign trade practices by domestic concerns
§ 78dd-3 Prohibited foreign trade practices by persons other than issuers or domestic concerns
§ 78ee Transaction fees
§ 78ff Penalties
§ 78gg Separability
§ 78hh Effective date
§ 78hh-1 Effective date of certain sections
§ 78kk Authorization of appropriations
§ 78ll Requirements for the EDGAR system
§ 78mm General exemptive authority
§ 78nn Tennessee Valley Authority
§ 78oo Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
§ 78pp Investor Advisory Committee
§ 78qq Small Business Capital Formation Advisory Committee
Terms Used In U.S. Code > Title 15 > Chapter 2B