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8000 - FDIC Miscellaneous Statutes and Regulations
TITLE IISMALL BUSINESS CAPITAL FORMATION
Subtitle ASmall Business Loan Securitization
Subtitle BSmall Business Capital Enhancement
TITLE IIIPAPERWORK REDUCTION AND REGULATORY IMPROVEMENT
TITLE IVMONEY LAUNDERING
TITLE VNATIONAL FLOOD INSURANCE REFORM
Subtitle ETask Forces
SECURITIES ACT OF 1933
SECURITIES EXCHANGE ACT OF 1934
| SEC. 1.
Short title |
9169
|
| SEC. 2.
Necessity for regulation as provided in this title |
9169
|
| SEC. 3.
Definitions and application of title |
9173
|
| SEC. 3A.
Swap agreements |
9186.04
|
| SEC. 4.
Securities and Exchange Commission |
9186.04
|
| SEC. 4A.
Delegation of functions by Commission |
9186.06
|
| SEC. 4B.
Transfer of functions with respect to appointment of personnel to
Chairman |
9186.07
|
| SEC. 4C.
Appearance and practice before the Commission |
9186.07
|
| SEC. 5.
Transactions on unregistered exchanges |
9186.07
|
| SEC. 6.
National securities exchanges |
9186.08
|
| SEC. 7.
Margin requirements |
9189
|
| SEC. 8.
Restrictions on borrowing by members, brokers, and dealers |
9192
|
| SEC. 9.
Prohibition against manipulation of security prices |
9193
|
| SEC. 10.
Regulation of the use of manipulative and deceptive devices |
9194.01
|
| SEC. 10A.
Audit requirements |
9194.02
|
| SEC. 11.
Trading by members of exchanges, brokers, and dealers |
9194.04-B
|
| SEC. 11A.
National market system for securities; securities information
processors |
9195
|
| SEC. 12.
Registration requirements for securities |
9200
|
| SEC. 13.
Periodical and other reports |
9206
|
| SEC. 14.
Proxies |
9214
|
| SEC. 15.
Registration and regulation of brokers and dealers |
9216.04
|
| SEC. 15A.
Registered securities associations |
9226.02
|
| SEC. 15B.
Municipal securities |
9228.02-B-1
|
| SEC. 15C.
Government securities brokers and dealers |
9228.06
|
| SEC. 15D.
Securities analysts and research reports |
9228.16
|
| SEC. 15E.
Registration of nationally recognized statistical rating
organizations |
9230
|
| SEC. 16.
Directors, officers, and principal stockholders |
9234.02
|
| SEC. 17.
Accounts and records, reports, examinations of exchanges, members, and
others |
9234.03
|
| SEC. 17A.
National system for clearance and settlement of securities
transactions |
9238.02
|
| SEC. 17B.
Automated quotation systems for penny stocks |
9240.03
|
| SEC. 18.
Liability for misleading statements |
9240.04
|
| SEC. 19.
Registration, responsibilities, and oversight of self-regulatory
organizations |
9240.05
|
| SEC. 20.
Liabilities of controlling persons and persons who aid and abet
violations |
9246
|
| SEC. 20A.
Liability to contemporaneous traders for insider trading |
9246.01 |
| {{10-31-07 p.8020.03}} |
| SEC. 21.
Investigations; injunctions and prosecution of offenses |
9247
|
| SEC. 21A.
Civil penalties for insider trading |
9252.01
|
| SEC. 21B.
Civil remedies in administrative proceedings |
9254
|
| SEC. 21C.
Cease-and-desist proceedings |
9255
|
| SEC. 21D.
Private securities litigation |
9258
|
| SEC. 21E.
Application of safe harbor for forward-looking statements |
9258.06
|
| SEC. 22.
Hearings by Commission |
9258.09
|
| SEC. 23.
Rules, regulations, and orders; annual reports |
9258.09
|
| SEC. 24.
Public availability of information |
9258.11
|
| SEC. 25.
Court review of orders and rules |
9258.12
|
| SEC. 26.
Unlawful representations |
9258.14
|
| SEC. 27.
Jurisdiction of offenses and suits |
9258.14
|
| SEC. 27A.
Special provision relating to statute of limitations on private causes
of action |
9258.15
|
| SEC. 28.
Effect on existing law |
9258.15
|
| SEC. 29.
Validity of contracts |
9258.18
|
| SEC. 30.
Foreign securities exchanges |
9258.19
|
| SEC. 30A.
Foreign corrupt practices by issuers |
9259
|
| SEC. 31.
Transaction fees |
9269
|
| SEC. 32.
Penalties |
9271
|
| SEC. 33.
Separability of provisions |
9272
|
| SEC. 34.
Effective date |
9272
|
| SEC. 35.
Authorization of appropriations |
9272
|
| SEC. 35A.
Requirements for the Edgar System |
9273
|
| SEC. 36.
General Exempted Authority |
9275
|
| SEC. 37.
Tennessee Valley Authority |
9275
|
INVESTMENT COMPANY ACT OF 1940
INVESTMENT ADVISERS ACT OF 1940
PART 32LENDING LIMITS
PART 240GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT
OF 1934
| SEC. 240.10b-5
Employment of manipulative and deceptive devices |
9401
|
| SEC. 240.10b-6
[Reserved]
|
| SEC. 240.10b-13
[Reserved]
|
| SEC. 240.10b-17
Untimely announcements of record dates |
9401
|
| SEC. 240.10b-18
Purchases of certain equity securities by the issuer and others |
9403
|
| SEC. 240.13e-3
Going private transactions by certain issuers or their affiliates |
9407
|
| SEC. 240.13e-4
Tender offers by issuers |
9413
|
| 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 |
9421
|
|
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 |
9425
|
| SEC. 240.14e-1
Unlawful tender offer practices |
9426
|
| SEC. 240.14e-2
Position of subject company with respect to a tender offer |
9430.01
|
| SEC. 240.14e-3
Transactions in securities on the basis of material, nonpublic
information in the context of tender offers |
9430.01
|
| SEC. 240.16a-1
Definition of terms |
9432
|
| SEC. 240.16a-2
Persons and transactions subject to section 16 |
9432.03
|
| SEC. 240.16a-3
Reporting transactions and holdings |
9432.04
|
| SEC. 240.16a-4
Derivative securities |
9432.06
|
| SEC. 240.16a-5
Odd-lot dealers |
9432.06
|
| SEC. 240.16a-6
Small acquisitions |
9432.06
|
| SEC. 240.16a-7
Transactions effected in connection with a distribution |
9432.07
|
| SEC. 240.16a-8
Trusts |
9432.07
|
| SEC. 240.16a-9
Stock splits, stock dividends, and pro rata rights |
9432.08
|
| SEC. 240.16a-10
Exemptions under 16(a) |
9432.08-A
|
| SEC. 240.16a-11
Dividend or interest reinvestment plans |
9432.09
|
| SEC. 240.16a-12
Domestic relations orders |
9432.09 |
| {{12-31-07 p.8020.06}} |
| SEC. 240.16a-13
Change in form of beneficial ownership |
9432.09
|
| SEC. 240.16b-1
Transactions approved by a regulatory authority |
9432.09
|
| SEC. 240.16b-2
[Reserved]
|
| SEC. 240.16b-3
Transactions between an issuer and its officers or directors |
9432.09
|
| SEC. 240.16b-4
[Reserved]
|
| SEC. 240.16b-5
Bona fide gifts and inheritance |
9432.12
|
| SEC. 240.16b-6
Derivative securities |
9432.12
|
| SEC. 240.16b-7
Mergers, reclassifications, and consolidations |
9432.13
|
| SEC. 240.16b-8
Voting trusts |
9432.13
|
| SEC. 240.16c-1
Brokers |
9432.15
|
| SEC. 240.16c-2
Transactions effected in connection with a distribution |
9432.15
|
| SEC. 240.16c-3
Exemption of sales of securities to be acquired |
9432.15
|
| SEC. 240.16c-4
Derivative securities |
9432.15
|
| SEC. 240.16e-1
Arbitrage transactions under section 16 |
9432.15
|
| SEC. 240.17Ac2-2
Annual reporting requirement for registered transfer agents |
9432.16
|
| SEC. 240.17Ad-1
Definitions |
9432.16-A
|
| SEC. 240.17Ad-2
Turnaround `processing' and forwarding of items |
9434
|
| SEC. 240.17Ad-3
Limitations on expansion |
9434.01
|
| SEC. 240.17Ad-4
Applicability of §§ 240.17Ad-2, 240.17Ad-3, and 240.17Ad-6(a)(1)
through (7) and (11) |
9435
|
| SEC. 240.17Ad-5
Written inquiries and requests |
9435
|
| SEC. 240.17Ad-6
Recordkeeping |
9436.01
|
| SEC. 240.17Ad-7
Record retention |
9438
|
| SEC. 240.17Ad-8
Securities position listings |
9438.02
|
| SEC. 240.17Ad-9
Definitions |
9438.02
|
| 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 |
9438.02-A
|
| SEC. 240.17Ad-11
Reports regarding aged record differences, buy-ins and failure to post
certificate detail to master security holder and subsidiary files |
9438.04
|
| SEC. 240.17Ad-12
Safeguarding of funds and securities |
9438.05
|
| SEC. 240.17Ad-13
Annual study and evaluation of internal accounting control |
9438.06
|
| SEC. 240.17Ad-14
Tender agents |
9439
|
| SEC. 240.17Ad-15
Signature guarantees |
9440
|
| SEC. 240.17Ad-16
Notice of assumption or termination of transfer agent services |
9440.02
|
| SEC. 240.17Ad-17
Transfer agents' obligation to search for lost securityholders |
9440.03
|
| SEC. 240.17Ad-19
Requirements for cancellation, processing, storage, transportation and
destruction or other disposition of securities certificates |
9440.04
|
| SEC. 240.17Ad-20
Issuer restrictions or prohibitions on ownership by securities
intermediaries |
9440.05
|
| SEC. 240.17f-1
Requirements for reporting and inquiry with respect to missing, lost,
counterfeit or stolen securities |
9440.05
|
| SEC. 240.17f-2
Fingerprinting of securities industry personnel |
9442.01
|
PART 249FORMS, SECURITIES EXCHANGE ACT OF 1934
PART 249bFURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
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