17 CFR Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
- SUBPART A — Organization and Program Management (§§ 200.1 - 200.30-18)
- SUBPART B — Disposition of Commission Business (§§ 200.40 - 200.43)
- SUBPART C — Canons of Ethics (§§ 200.50 - 200.72)
- SUBPART D — Information and Requests (§§ 200.80 - 200.83)
- SUBPART E — [Reserved]
- SUBPART F — Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees (§§ 200.110 - 200.114)
- SUBPART G — Plan of Organization and Operation Effective During Emergency Conditions (§§ 200.200 - 200.205)
- SUBPART H — Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission (§§ 200.301 - 200.313)
- SUBPART I — Regulations Pertaining to Public Observation of Commission Meetings (§§ 200.400 - 200.410)
- SUBPART J — Classification and Declassification of National Security Information and Material (§§ 200.500 - 200.511)
- SUBPART K — Regulations Pertaining to the Protection of the Environment (§§ 200.550 - 200.554)
- SUBPART L — Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission (§§ 200.601 - 200.671-200.699)
- SUBPART M — Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission (§§ 200.735-1 - 200.735-18)
- SUBPART N — Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers (§§ 200.800 - 200.800)
Title 17 published on 2012-04-01
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
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.
§ 552 - Public information; agency rules, opinions, orders, records, and proceedings
§ 552a - Records maintained on individuals
§ 552b - Open meetings
§ 557 - Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record
§ 901 - Applicability of other sections of this title
§ 1109 - Right to be heard
§ 77e - Prohibitions relating to interstate commerce and the mails
§ 77f - Registration of securities
§ 77g - Information required in registration statement
§ 77h - Taking effect of registration statements and amendments thereto
§ 77j - Information required in prospectus
15 USC § -
§ 77q - Fraudulent interstate transactions
§ 77s - Special powers of Commission
§ 77u - Hearings by Commission
§ 77ggg - Qualification of indentures covering securities not required to be registered
§ 77hhh - Integration of procedure with Securities Act and other Acts
§ 77sss - Rules, regulations, and orders
§ 77uuu - Special powers of the Commission
§ 78a - Short title
§ 78b - Necessity for regulation
§ 78c - Definitions and application
15 USC § 78c–1 - Swap agreements
15 USC § 78c–2 - Securities-related derivatives
15 USC § 78c–3 - Clearing for security-based swaps
15 USC § 78c–4 - Security-based swap execution facilities
15 USC § 78c–5 - Segregation of assets held as collateral in security-based swap transactions
§ 78d - Securities and Exchange Commission
15 USC § 78d–1 - Delegation of functions by Commission
15 USC § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman
15 USC § 78d–3 - Appearance and practice before the Commission
15 USC § 78d–4 - Additional duties of Inspector General
15 USC § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections
15 USC § 78d–6 - Report and certification of internal supervisory controls
15 USC § 78d–7 - Triennial report on personnel management
15 USC § 78d–8 - Annual financial controls audit
15 USC § 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
15 USC § 78j–1 - Audit requirements
15 USC § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting
15 USC § 78j–3 - Compensation committees
15 USC § 78j–4 - Recovery of erroneously awarded compensation policy
§ 78k - Trading by members of exchanges, brokers, and dealers
15 USC § 78k–1 - National market system for securities; securities information processors
15 USC § -
15 USC § -
§ 78m - Periodical and other reports
15 USC § 78m–1 - Reporting and recordkeeping for certain security-based swaps
15 USC § 78m–2 - Reporting requirements regarding coal or other mine safety
§ 78n - Proxies
15 USC § 78n–1 - Shareholder approval of executive compensation
15 USC § 78n–2 - Corporate governance
15 U.S.C. § -
15 U.S.C. § -
15 U.S.C. § -
15 U.S.C. § -
15 USC § -
15 USC § -
15 USC § -
15 U.S.C. § -
15 USC § -
15 USC § -
15 USC § -
15 USC § -
15 USC § -
§ 78p - Directors, officers, and principal stockholders
§ 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
§ 78x - Public availability of information
§ 78y - Court review of orders and rules
§ 78z - Unlawful representations
§ 78aa - Jurisdiction of offenses and suits
15 USC § 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
15 USC § 78dd–1 - Prohibited foreign trade practices by issuers
15 USC § 78dd–2 - Prohibited foreign trade practices by domestic concerns
15 USC § 78dd–3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns
§ 78ee - Transaction fees
§ 78ff - Penalties
§ 78gg - Separability
§ 78hh - Effective date
15 USC § 78hh–1 - Effective date of certain sections
§ 78ii - Omitted
§ 78jj - Repealed.
§ 78kk - Authorization of appropriations
15 USC § -
§ 78mm - General exemptive authority
§ 78nn - Tennessee Valley Authority
15 USC § -
§ 78pp - Investor Advisory Committee
§ 78d note - Securities and Exchange Commission
§ 78eee - Protection of customers
15 USC § 80a–8 - Registration of investment companies
15 USC § 80a–20 - Proxies; voting trusts; circular ownership
15 USC § 80a–24 - Registration of securities under Securities Act of 1933
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–37 - Rules, regulations, and orders
15 USC § 80a–41 - Enforcement of subchapter
15 USC § 80a–44 - Disclosure of information filed with Commission; copies
15 USC § 80b–3 - Registration of investment advisers
15 USC § 80b–4 - Reports by investment advisers
15 USC § 80b–5 - Investment advisory contracts
15 USC § 80b–9 - Enforcement of subchapter
15 USC § 80b–10 - Disclosure of information by Commission
15 USC § 80b–11 - Rules, regulations, and orders of Commission
§ 7202 - Commission rules and enforcement
§ 794 - Nondiscrimination under Federal grants and programs
§ 3506 - Federal agency responsibilities
§ 3507 - Public information collection activities; submission to Director; approval and delegation
Executive Order ... 11222
Executive Order ... 12356
Executive Order ... 12600
Reorganization ... 1950 Plan No. 10
Title 17 published on 2012-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 200 after this date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2013-01202 RIN Release Nos. 34-62575A and PA-47A File No. S7-19-11 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective Date: January 23, 2013. 17 CFR Part 200 On August 6, 2010 and September 16, 2011, the Securities and Exchange Commission (“Commission”) published documents in the Federal Register (75 FR 47449 and76 FR 57637, respectively) that each included an inaccurate amendatory instruction pertaining to an authority citation. The Commission is publishing this technical amendment to accurately reflect the authority citation in the Code of Federal Regulations.