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8000 - Miscellaneous Statutes and Regulations


Subtitle A—Small Business Loan Securitization

SEC. 208 Insured depository institution capital requirements for transfers of small business obligations
SEC. 210 Consistent use of financial terminology

Subtitle B—Small Business Capital Enhancement

SEC. 251 Findings and Purpose
SEC. 252 Definitions
SEC. 253 Approving states for participation
SEC. 254 Participation agreements
SEC. 255 Terms of participation agreements
SEC. 256 Reports
SEC. 257 Reimbursement by the fund
SEC. 258 Reimbursement to the fund
SEC. 259 Regulations
SEC. 260 Authorization of appropriations
SEC. 261 Effective date


SEC. 301 Incorporated definitions
SEC. 302 Administrative consideration of burden with new regulations
SEC. 303 Streamlining of regulatory requirements
SEC. 304 Elimination of duplicative filings
SEC. 307 Call report simplification
SEC. 309 Regulatory appeals process, Ombudsman, and alternative dispute resolution
SEC. 328 Study and report on capital standards and their impact on the economy
SEC. 329 Study on the impact of the payment of interest on reserves
SEC. 330 Study and report on the consumer credit system
SEC. 341 Feasibility study of data bank
SEC. 342 Timely completion of CRA review
SEC. 343 Time limit on agency consideration of completed applications
SEC. 344 Waiver of right of rescission for certain refinancing transactions
SEC. 350 Revising regulatory requirements for transfers of all types of assets with recourse


SEC. 401 Short title
SEC. 404 Improvement of identification of money laundering schemes


SEC. 501 Short title

Subtitle E—Task Forces

SEC. 561 Flood insurance interagency task force


SEC.  1. Short title
SEC.  2. Definitions
SEC.  2A. Swap agreements
SEC.  3. Exempted securities
SEC.  4. Exempted transactions
SEC.  5. Prohibitions relating to interstate commerce and the mails
SEC.  6. Registration of securities and signing of registration statement
SEC.  7. Information required in registration statement
SEC.  8. Taking effect of registration statements and amendments thereto
SEC. 8A. Cease-and-desist proceedings
SEC.  9. Court review of orders
SEC. 10. Information required in prospectus
SEC. 11. Civil liabilities on account of false registration statement
SEC. 12. Civil liabilities arising in connection with prospectuses and communications
SEC. 13. Limitation of actions
SEC. 14. Contrary stipulations void
SEC. 15. Liability of controlling persons
SEC. 16. Additional remedies
SEC. 17. Fraudulent interstate transactions
SEC. 18. State control of securities
SEC. 19. Special powers of Commission
SEC. 20. Injunctions and prosecution of offenses
SEC. 21. Hearings by Commission
SEC. 22. Jurisdiction of offenses and suits
SEC. 23. Unlawful representations
SEC. 24. Penalties
SEC. 25. Jurisdiction of other Government agencies over securities
SEC. 26. Separability of provisions
SEC. 27. Private securities litigation
SEC. 27A. Application of safe harbor for forward-looking statements
SEC. 28. General exemptive authority


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


SEC. 1 Findings and declaration of policy
SEC. 2 General definitions
SEC. 3 Definition of investment company
SEC. 4 Classification of investment companies
SEC. 5 Subclassification of management companies
SEC. 6 Exemptions
SEC. 7 Transactions by unregistered investment companies
SEC. 8 Registration of investment companies
SEC. 9 Ineligibility of certain affiliated persons and underwriters
SEC. 10 Affiliations of directors
SEC. 11 Offers of exchange
SEC. 12 Functions and activities of investment companies
SEC. 13 Changes in investment policy
SEC. 14 Size of investment companies
SEC. 15 Investment advisory and underwriting contracts
SEC. 16 Changes in board of directors; provisions relative to strict trusts
SEC. 17 Transactions of certain affiliated persons and underwriters
SEC. 18 Capital structure
SEC. 19 Dividends
SEC. 20 Proxies; voting trusts; circular ownership
SEC. 21 Loans
SEC. 22 Distribution, redemption, and repurchase of redeemable securities
SEC. 23 Distribution and repurchase of securities; closed-end companies
SEC. 24 Registration of securities under Securities Act of 1933
SEC. 25 Plans of reorganization
SEC. 26 Unit investment trusts
SEC. 27 Periodic payment plans
SEC. 28 Face-amount certificate companies
SEC. 30 Periodic and other reports; reports of affiliated persons
SEC. 31 Accounts and records
SEC. 32 Accountants and auditors
SEC. 33 Filing of documents with Commission in civil actions
SEC. 34 Destruction and falsification of reports and records
SEC. 35 Unlawful representations and names
SEC. 36 Breach of fiduciary duty
SEC. 37 Larceny and embezzlement
SEC. 38 Rules, regulations, and orders; general powers of Commission
SEC. 39 Rules and regulations; procedure for issuance
SEC. 40 Orders; procedure for issuance
SEC. 41 Hearings by Commission
SEC. 42 Enforcement of title
SEC. 43 Court review of orders
SEC. 44 Jurisdiction of offenses and suits
SEC. 45 Information filed with Commission
SEC. 46 Annual reports of Commission; employees of the Commission
SEC. 47 Validity of contracts
SEC. 48 Liability of controlling persons; preventing compliance with title
SEC. 49 Penalties
SEC. 50 Effect on existing law
SEC. 51 Separability of provisions
SEC. 52 Short title
SEC. 53 Effective date
SEC. 54 Election to be regulated as a business development company
SEC. 55 Functions and activities of business development companies
SEC. 56 Qualifications of directors
SEC. 57 Transactions with certain affiliates
SEC. 58 Changes in investment policy
SEC. 59 Incorporation of provisions
SEC. 60 Functions and activities of business development companies
SEC. 61 Capital structure
SEC. 62 Loans
SEC. 63 Distribution and repurchase of securities
SEC. 64 Accounts and records
SEC. 65 Liability of controlling persons; preventing compliance with title


SEC. 201 Findings
SEC. 202 Definitions
SEC. 203 Registration of investment advisers
SEC. 203A State and Federal responsibilities
SEC. 204 Annual and other reports
SEC. 204A Prevention of misuse of nonpublic information
SEC. 205 Investment advisory contracts
SEC. 206 Prohibited transactions by investment advisers
SEC. 206A Exemptions
SEC. 207 Material misstatements
SEC. 208 General prohibitions
SEC. 209 Enforcement of title
SEC. 210 Publicity
SEC. 210A Consultation
SEC. 211 Rules, regulations, and orders
SEC. 212 Hearings
SEC. 213 Court review of orders
SEC. 214 Jurisdiction of offenses and suits
SEC. 215 Validity of contracts
SEC. 216 Annual reports of Commission
SEC. 217 Penalties
SEC. 218 Hiring and leasing authority of the Commission
SEC. 219 Separability of provisions
SEC. 220 Short title
SEC. 221 Effective date
SEC. 222 State regulation of investment advisers
SEC. 223 Custody of clients accounts
SEC. 224 Rule of construction relating to the commodities exchange act


SEC. 32.1 Authority, purpose and scope
SEC. 32.2 Definitions
SEC. 32.3 Lending limits
SEC. 32.4 Calculations of lending limits
SEC. 32.5 Combination rules
SEC. 32.6 Nonconforming loans
SEC. 32.7 Pilot program for residential real estate and small business loans
SEC. 32.8 Temporary funding arrangements in emergency situations 
SEC. 32.9 Credit exposure arising from derivative and securities financing transactions 
Appendix A to Part 32—Interpretations 


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


SEC. 249.220f Form 20–F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a–19 or 15d–19 (§ 240.13a–19 or § 240.15d–19 of this chapter)
SEC. 249.325 Form 13–F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934


SEC. 249b.102 Form TA-2

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