17 CFR 242.502 - Certifications in connection with public appearances. | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations

§ 242.502 Certifications in connection with public appearances.

(a) If a broker or dealer publishes, circulates, or provides a research report prepared by a research analyst employed by the broker or dealer or covered person to a U.S. person in the United States, the broker or dealer must make a record within 30 days after any calendar quarter in which the research analyst made a public appearance that contains the following:

(1) A statement by the research analyst attesting that the views expressed by the research analyst in all public appearances during the calendar quarter accurately reflected the research analyst's personal views at that time about any and all of the subject securities or issuers; and

(2) A statement by the research analyst attesting that no part of the research analyst's compensation was, is, or will be, directly or indirectly, related to the specific recommendations or views expressed by the research analyst in such public appearances.

(b) If the broker or dealer does not obtain a statement by the research analyst in accordance with paragraph (a) of this section:

(1) The broker or dealer shall promptly notify in writing its examining authority, designated pursuant to section 17(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78q(d)) and § 240.17d-2 of this chapter, that the research analyst did not provide the certifications specified in paragraph (a) of this section; and

(2) For 120 days following notification pursuant to paragraph (b)(1) of this section, the broker or dealer shall disclose in any research report prepared by the research analyst and published, circulated, or provided to a U.S. person in the United States that the research analyst did not provide the certifications specified in paragraph (a) of this section.

(c) In the case of a research analyst who is employed outside the United States by a foreign person located outside the United States, this section shall only apply to a public appearance while the research analyst is physically present in the United States.

(d) A broker or dealer shall preserve the records specified in paragraphs (a) and (b) of this section in accordance with § 240.17a-4 of this chapter and for a period of not less than 3 years, the first 2 years in an accessible place.

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.

2012-08-01; vol. 77 # 148 - Wednesday, August 1, 2012

77 FR 45722 - Consolidated Audit Trail

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17918
RIN	3235-AK51
Release No.	34-67457
File No.	S7-11-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: October 1, 2012.

17 CFR Part 242

Summary

The Securities and Exchange Commission (“Commission”) is adopting Rule 613 under the Securities Exchange Act of 1934 (“Exchange Act” or “Act”) to require national securities exchanges and national securities associations (“self-regulatory organizations” or “SROs”) to submit a national market system (“NMS”) plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.

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 15 - COMMERCE AND TRADE

§ 77g - Information required in registration statement

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 78b - Necessity for regulation

§ 78c - Definitions and application

§ 78g - Margin requirements

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 USC § 78k–1 - National market system for securities; securities information processors

15 USC § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S.C. § -

§ 78q - Records and reports

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

15 USC § 78dd–1 - Prohibited foreign trade practices by issuers

§ 78mm - General exemptive authority

15 USC § 80a–23 - Closed-end companies

15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 USC § 80a–37 - Rules, regulations, and orders

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 242 after this date.

2013-05-23; vol. 78 # 100 - Thursday, May 23, 2013

78 FR 30800 - Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-10836
RIN	3235-AK74
Release No.	34-69491
File Nos.	S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11,

SECURITIES AND EXCHANGE COMMISSION

Reopening of comment periods.

For the Proposed Rules and the Policy Statement, the comment periods are reopened until July 22, 2013.

17 CFR Parts 240, 242, and 249

Summary

The Securities and Exchange Commission (“Commission”) is reopening the comment periods for its outstanding rulemaking releases, published in the Federal Register and listed herein, that concern security-based swaps (“SB swaps”) and SB swap market participants and were proposed pursuant to certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”), among other provisions (together, the “Proposed Rules”). The Commission is also reopening the comment period for its Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps adopted pursuant to the Exchange Act and the Dodd-Frank Act, published in the Federal Register on June 14, 2012 (the “Policy Statement”). The reopening of these comment periods is intended to allow interested persons additional time to analyze and comment upon the Proposed Rules and the Policy Statement in light of the Commission's proposal of substantially all of the rules required to be adopted by Title VII of the Dodd-Frank Act, its proposal of rules and interpretations addressing the application of the SB swap provisions of Title VII of the Dodd-Frank Act to cross-border SB swap transactions and non-U.S. persons that act in capacities regulated under the Dodd-Frank Act (the “Cross-Border Proposed Rules”), and the Commodity Futures Trading Commission's (the “CFTC”) adoption of substantially all of the rulemakings establishing the new regulatory framework for swaps. All comments received to date on the Proposed Rules and the Policy Statement will be considered and need not be resubmitted.

78 FR 30803 - Regulation Systems Compliance and Integrity

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-12289
RIN	3235-AL43
File No.	S7-01-13
Release No.	34-69606

SECURITIES AND EXCHANGE COMMISSION

Proposed rule, form, and rule amendment; extension of comment period.

The comment period for the proposed rule published March 25, 2013 (78 FR 18084), is extended. Comments should be received on or before July 8, 2013.

17 CFR Parts 242 and 249

Summary

On March 25, 2013, the Securities and Exchange Commission (“Commission”) published in the Federal Register a proposed rule, Regulation Systems Compliance and Integrity (“Regulation SCI”) under the Securities Exchange Act of 1934, for public comment. Proposed Regulation SCI would apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (“ATSs”), plan processors, and exempt clearing agencies subject to the Commission's Automation Review Policy (collectively, “SCI entities”), and would require these SCI entities to comply with requirements with respect to their automated systems that support the performance of their regulated activities. The Commission is extending the time period in which to provide the Commission with comments.

78 FR 30968 - Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-10835
RIN	3235-AL25
Release No.	34-69490
File Nos.	S7-02-13
	S7-34-10
	S7-40-11

SECURITIES AND EXCHANGE COMMISSION

Proposed rules; proposed interpretations.

Submit comments on or before August 21, 2013.

17 CFR Parts 240, 242, and 249

Summary

The Securities and Exchange Commission (“SEC” or “Commission”) is publishing for public comment proposed rules and interpretive guidance to address the application of the provisions of the Securities Exchange Act of 1934, as amended (“Exchange Act”), that were added by Subtitle B of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to cross-border security-based swap activities. Our proposed rules and interpretive guidance address the application of Subtitle B of Title VII of the Dodd-Frank Act with respect to each of the major registration categories covered by Title VII relating to market intermediaries, participants, and infrastructures for security-based swaps, and certain transaction-related requirements under Title VII in connection with reporting and dissemination, clearing, and trade execution for security-based swaps. In this connection, we are re-proposing Regulation SBSR and certain rules and forms relating to the registration of security-based swap dealers and major security-based swap participants. The proposal also contains a proposed rule providing an exception from the aggregation requirement, in the context of the security-based swap dealer definition, for affiliated groups with a registered security-based swap dealer. Moreover, the proposal addresses the sharing of information and preservation of confidentiality with respect to data collected and maintained by SDRs. In addition, the Commission is proposing rules and interpretive guidance addressing the policy and procedural framework under which the Commission would consider permitting compliance with comparable regulatory requirements in a foreign jurisdiction to substitute for compliance with requirements of the Exchange Act, and the rules and regulations thereunder, relating to security-based swaps ( i.e., “substituted compliance”). Finally, the Commission is setting forth our view of the scope of our authority, with respect to enforcement proceedings, under Section 929P of the Dodd-Frank Act.

2013-03-25; vol. 78 # 57 - Monday, March 25, 2013

78 FR 18084 - Regulation Systems Compliance and Integrity

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-05888
RIN	3235-AL43
Release No.	34-69077
File No.	S7-01-13

SECURITIES AND EXCHANGE COMMISSION

Proposed rule and form; proposed rule amendment.

Comments should be submitted on or before May 24, 2013.

17 CFR Parts 242 and 249

Summary

The Securities and Exchange Commission (“Commission”) is proposing Regulation Systems Compliance and Integrity (“Regulation SCI”) under the Securities Exchange Act of 1934 (“Exchange Act”) and conforming amendments to Regulation ATS under the Exchange Act. Proposed Regulation SCI would apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (“ATSs”), plan processors, and exempt clearing agencies subject to the Commission's Automation Review Policy (collectively, “SCI entities”), and would require these SCI entities to comply with requirements with respect to their automated systems that support the performance of their regulated activities.

2012-08-01; vol. 77 # 148 - Wednesday, August 1, 2012

77 FR 45722 - Consolidated Audit Trail

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17918
RIN	3235-AK51
Release No.	34-67457
File No.	S7-11-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: October 1, 2012.

17 CFR Part 242

Summary

The Securities and Exchange Commission (“Commission”) is adopting Rule 613 under the Securities Exchange Act of 1934 (“Exchange Act” or “Act”) to require national securities exchanges and national securities associations (“self-regulatory organizations” or “SROs”) to submit a national market system (“NMS”) plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.

17 CFR 242.502 - Certifications in connection with public appearances.

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