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8000 - Miscellaneous Statutes and Regulations
TITLE II—SMALL BUSINESS CAPITAL FORMATION
Subtitle A—Small Business Loan Securitization
Subtitle B—Small Business Capital Enhancement
TITLE III—PAPERWORK REDUCTION AND REGULATORY IMPROVEMENT
TITLE IV—MONEY LAUNDERING
TITLE V—NATIONAL FLOOD INSURANCE REFORM
Subtitle E—Task Forces
SECURITIES ACT OF 1933
SECURITIES EXCHANGE ACT OF 1934
SEC. 1.
Short title
SEC. 2.
Necessity for regulation as provided in this title
SEC. 3.
Definitions and application of title
SEC. 3A.
Swap agreements
SEC. 3B.
Securities-Related Derivatives
SEC. 3C.
Clearing for security-based swaps
SEC. 3D.
Security-based swap execution facilities
SEC. 3E.
Segregation of assets held as collateral in security-based swap
transactions
SEC. 4.
Securities and Exchange Commission
SEC. 4A.
Delegation of functions by Commission
SEC. 4B.
Transfer of functions with respect to appointment of personnel to
Chairman
SEC. 4C.
Appearance and practice before the Commission
SEC. 4D.
Additional duties of Inspector General
SEC. 4E.
Deadline for completing enforcement investigations and compliance
examinations and inspections
SEC. 961.
Report and certification of internal supervisory controls
SEC. 962.
Triennial report on personnel management
SEC. 963.
Annual financial controls audit
SEC. 964.
Report on oversight of national securities associations
SEC. 5.
Transactions on unregistered exchanges
SEC. 6.
National securities exchanges
SEC. 7.
Margin requirements
SEC. 8.
Restrictions on borrowing by members, brokers, and dealers
SEC. 9.
Prohibition against manipulation of security prices
SEC. 10.
Regulation of the use of manipulative and deceptive devices
SEC. 10A.
Audit requirements
SEC. 10B.
Position limits and position accountability for security-based swaps
and large trader reporting
SEC. 10C.
Compensation Committees
SEC. 10D.
Recovery of erroneously awarded compensation policy
SEC. 11.
Trading by members of exchanges, brokers, and dealers
SEC. 11A.
National market system for securities; securities information
processors
SEC. 12.
Registration requirements for securities
SEC. 13.
Periodical and other reports
SEC. 13A.
Reporting and recordkeeping for certain security-based swaps
SEC. 14.
Proxies
SEC. 15.
Registration and regulation of brokers and dealers
SEC. 15A.
Registered securities associations
SEC. 15B.
Municipal securities
SEC. 15C.
Government securities brokers and dealers
SEC. 15D.
Securities analysts and research reports
SEC. 15E.
Registration of nationally recognized statistical rating
organizations
SEC. 15F.
Registration and Regulation of security-based swap dealers and majority
security-based swap participants
SEC. 15G.
Credit risk retention
SEC. 16.
Directors, officers, and principal stockholders
SEC. 17.
Accounts and records, reports, examinations of exchanges, members, and
others
SEC. 17A.
National system for clearance and settlement of securities
transactions
SEC. 17B.
Automated quotation systems for penny stocks
SEC. 18.
Liability for misleading statements
SEC. 19.
Registration, responsibilities, and oversight of self-regulatory
organizations
SEC. 20.
Liabilities of controlling persons and persons who aid and abet
violations
SEC. 20A.
Liability to contemporaneous traders for insider trading
SEC. 21.
Investigations; injunctions and prosecution of offenses
SEC. 21A.
Civil penalties for insider trading
SEC. 21B.
Civil remedies in administrative proceedings
SEC. 21C.
Cease-and-desist proceedings
SEC. 21D.
Private securities litigation
SEC. 21E.
Application of safe harbor for forward-looking statements
SEC. 22.
Hearings by Commission
SEC. 23.
Rules, regulations, and orders; annual reports
SEC. 24.
Public availability of information
SEC. 25.
Court review of orders and rules
SEC. 26.
Unlawful representations
SEC. 27.
Jurisdiction of offenses and suits
SEC. 27A.
Special provision relating to statute of limitations on private causes
of action
SEC. 28.
Effect on existing law
SEC. 29.
Validity of contracts
SEC. 30.
Foreign securities exchanges
SEC. 30A.
Foreign corrupt practices by issuers
SEC. 31.
Transaction fees
SEC. 32.
Penalties
SEC. 33.
Separability of provisions
SEC. 34.
Effective date
SEC. 35.
Authorization of appropriations
SEC. 35A.
Requirements for the Edgar System
SEC. 36.
General Exempted Authority
SEC. 37.
Tennessee Valley Authority
SEC. 38.
Federal National Mortgage Association, Federal Home Loan Mortgage
Corporation, Federal Home Loan Banks
SEC. 39.
Investor advisory committee
INVESTMENT COMPANY ACT OF 1940
INVESTMENT ADVISERS ACT OF 1940
PART 32—LENDING LIMITS
PART 240—GENERAL RULES AND REGULATIONS, SECURITIES
EXCHANGE ACT OF 1934
SEC. 240.10b-5
Employment of manipulative and deceptive devices
SEC. 240.10b-6
[Reserved]
SEC. 240.10b-13
[Reserved]
SEC. 240.10b-17
Untimely announcements of record dates
SEC. 240.10b-18
Purchases of certain equity securities by the issuer and others
SEC. 240.13e-3
Going private transactions by certain issuers or their affiliates
SEC. 240.13e-4
Tender offers by issuers
SEC. 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
SEC. 240.13e-101
[Reserved]
SEC. 240.13f-1
Reporting by institutional investment managers of information with
respect to accounts over which they exercise investment discretion
SEC. 240.14e-1
Unlawful tender offer practices
SEC. 240.14e-2
Position of subject company with respect to a tender offer
SEC. 240.14e-3
Transactions in securities on the basis of material, nonpublic
information in the context of tender offers
SEC. 240.16a-1
Definition of terms
SEC. 240.16a-2
Persons and transactions subject to section 16
SEC. 240.16a-3
Reporting transactions and holdings
SEC. 240.16a-4
Derivative securities
SEC. 240.16a-5
Odd-lot dealers
SEC. 240.16a-6
Small acquisitions
SEC. 240.16a-7
Transactions effected in connection with a distribution
SEC. 240.16a-8
Trusts
SEC. 240.16a-9
Stock splits, stock dividends, and pro rata rights
SEC. 240.16a-10
Exemptions under section 16(a)
SEC. 240.16a-11
Dividend or interest reinvestment plans
SEC. 240.16a-12
Domestic relations orders
SEC. 240.16a-13
Change in form of beneficial ownership
SEC. 240.16b-1
Transactions approved by a regulatory authority
SEC. 240.16b-2
[Reserved]
SEC. 240.16b-3
Transactions between an issuer and its officers or directors
SEC. 240.16b-4
[Reserved]
SEC. 240.16b-5
Bona fide gifts and inheritance
SEC. 240.16b-6
Derivative securities
SEC. 240.16b-7
Mergers, reclassifications, and consolidations
SEC. 240.16b-8
Voting trusts
SEC. 240.16c-1
Brokers
SEC. 240.16c-2
Transactions effected in connection with a distribution
SEC. 240.16c-3
Exemption of sales of securities to be acquired
SEC. 240.16c-4
Derivative securities
SEC. 240.16e-1
Arbitrage transactions under section 16
SEC. 240.17Ac2-2
Annual reporting requirement for registered transfer agents
SEC. 240.17Ad-1
Definitions
SEC. 240.17Ad-2
Turnaround `processing' and forwarding of items
SEC. 240.17Ad-3
Limitations on expansion
SEC. 240.17Ad-4
Applicability of §§ 240.17Ad-2, 240.17Ad-3, and 240.17Ad-6(a)(1)
through (7) and (11)
SEC. 240.17Ad-5
Written inquiries and requests
SEC. 240.17Ad-6
Recordkeeping
SEC. 240.17Ad-7
Record retention
SEC. 240.17Ad-8
Securities position listings
SEC. 240.17Ad-9
Definitions
SEC. 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
SEC. 240.17Ad-11
Reports regarding aged record differences, buy-ins and failure to post
certificate detail to master security holder and subsidiary files
SEC. 240.17Ad-12
Safeguarding of funds and securities
SEC. 240.17Ad-13
Annual study and evaluation of internal accounting control
SEC. 240.17Ad-14
Tender agents
SEC. 240.17Ad-15
Signature guarantees
SEC. 240.17Ad-16
Notice of assumption or termination of transfer agent services
SEC. 240.17Ad-17
Transfer agents' obligation to search for lost securityholders
SEC. 240.17Ad-19
Requirements for cancellation, processing, storage, transportation and
destruction or other disposition of securities certificates
SEC. 240.17Ad-20
Issuer restrictions or prohibitions on ownership by securities
intermediaries
SEC. 240.17f-1
Requirements for reporting and inquiry with respect to missing, lost,
counterfeit or stolen securities
SEC. 240.17f-2
Fingerprinting of securities industry personnel
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
PART 249b—FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
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