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.
Notice is hereby given of the publication of technical amendments to Guide 3, Statistical Disclosure by Bank Holding Companies (“Industry Guide 3”), and Guide 7, Description of Property by Issuers Engaged or to be Engaged in Significant Mining Operations (“Industry Guide 7”), of the Securities Act of 1933 Industry Guides (“Industry Guides”). These revisions are to conform the Industry Guides to the FASB Accounting Standards Codification TM (“FASB Codification”).
We are adopting a new rule and amendments to our proxy disclosure rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10C to the Securities Exchange Act of 1934. Section 10C requires the Commission to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with Section 10C's compensation committee and compensation adviser requirements. In accordance with the statute, new Rule 10C-1 directs the national securities exchanges to establish listing standards that, among other things, require each member of a listed issuer's compensation committee to be a member of the board of directors and to be “independent,” as defined in the listing standards of the national securities exchanges adopted in accordance with the final rule. In addition, pursuant to Section 10C(c)(2), we are adopting amendments to our proxy disclosure rules concerning issuers' use of compensation consultants and related conflicts of interest.
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.
§ 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
§ 77k - Civil liabilities on account of false registration statement
§ 77s - Special powers of Commission
15 USC § 77z–2 - Application of safe harbor for forward-looking statements
15 USC § 77z–3 - General exemptive authority
§ 77aa - Schedule of information required in registration statement
§ 77ddd - Exempted securities and transactions
§ 77eee - Securities required to be registered under Securities Act
§ 77ggg - Qualification of indentures covering securities not required to be registered
§ 77hhh - Integration of procedure with Securities Act and other Acts
§ 77iii - Effective time of qualification
§ 77jjj - Eligibility and disqualification of trustee
§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions
§ 77sss - Rules, regulations, and orders
§ 78c - Definitions and application
§ 78i - Manipulation of security prices
§ 78j - Manipulative and deceptive devices
15 USC § -
§ 78m - Periodical and other reports
§ 78n - Proxies
15 U.S.C. § -
15 USC § 78u–5 - Application of safe harbor for forward-looking statements
§ 78w - Rules, regulations, and orders; annual reports
§ 78mm - General exemptive authority
15 USC § 80a–8 - Registration of investment companies
15 USC § 80a–9 - Ineligibility of certain affiliated persons and underwriters
15 USC § 80a–20 - Proxies; voting trusts; circular ownership
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–30 - Accounts and records
15 USC § 80a–31 - Accountants and auditors
15 USC § 80a–37 - Rules, regulations, and orders
15 USC § 80a–38 - Procedure for issuance of rules and regulations
15 USC § 80a–39 - Procedure for issuance of orders
15 USC § 80b–11 - Rules, regulations, and orders of Commission
§ 7201 - Definitions
§ 7202 - Commission rules and enforcement
§ 7241 - Corporate responsibility for financial reports
§ 1350 - Failure of corporate officers to certify financial reports
116 Stat. 745
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 229 after this date.