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CFR › Title 12 › Chapter I › Part 10

12 CFR 10 - MUNICIPAL SECURITIES DEALERS

Authority: 12 U.S.C. 93a, 481, and 1818; 15 U.S.C. 78o-4(c)(5) and 78q-78w.
Source: 63 FR 29094, May 28, 1998, unless otherwise noted.

Title 12 published on 2012-01-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

§ 93a

§ 481

§ 1818

USC : Title 15 - COMMERCE AND TRADE

15 USC § -

§ 78q - Records and reports

15 USC § 78q–1 - National system for clearance and settlement of securities transactions

15 USC § 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

15 USC § 78t–1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

15 USC § 78u–1 - Civil penalties for insider trading

15 USC § 78u–2 - Civil remedies in administrative proceedings

15 USC § 78u–3 - Cease-and-desist proceedings

15 USC § 78u–4 - Private securities litigation

15 USC § 78u–5 - Application of safe harbor for forward-looking statements

15 USC § 78u–6 - Securities whistleblower incentives and protection

15 USC § 78u–7 - Implementation and transition provisions for whistleblower protection

§ 78v - Hearings by Commission

§ 78w - Rules, regulations, and orders; annual reports