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.
The Securities and Exchange Commission (“SEC” or “Commission”) is affirming recent amendments to Rule 19b-4 under the Securities Exchange Act of 1934 (“Exchange Act”) in connection with filings of proposed rule changes by certain registered clearing agencies and is expanding on those amendments in response to comments received (collectively, “Final Rule”). The Commission also is making corresponding technical modifications to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and the instructions to Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to duplicative or inconsistent regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”).
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013.
This release makes a technical correction to Release No. 34-67717 (August 22, 2012), which adopted disclosure rules for resource extraction issuers and was published in the Federal Register on September 12, 2012 (77 FR 56365). We are correcting the release to include the text of a footnote that was omitted when published.
The Securities and Exchange Commission (“Commission”) is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (“Exchange Act”), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2012, to September 30, 2013. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than September 30, 2013.
We are adopting a new form and rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals. Section 1502 added Section 13(p) to the Securities Exchange Act of 1934, which requires the Commission to promulgate rules requiring issuers with conflict minerals that are necessary to the functionality or production of a product manufactured by such person to disclose annually whether any of those minerals originated in the Democratic Republic of the Congo or an adjoining country. If an issuer's conflict minerals originated in those countries, Section 13(p) requires the issuer to submit a report to the Commission that includes a description of the measures it took to exercise due diligence on the conflict minerals' source and chain of custody. The measures taken to exercise due diligence must include an independent private sector audit of the report that is conducted in accordance with standards established by the Comptroller General of the United States. Section 13(p) also requires the issuer submitting the report to identify the auditor and to certify the audit. In addition, Section 13(p) requires the report to include a description of the products manufactured or contracted to be manufactured that are not “DRC conflict free,” the facilities used to process the conflict minerals, the country of origin of the conflict minerals, and the efforts to determine the mine or location of origin. Section 13(p) requires the information disclosed by the issuer to be available to the public on its Internet Web site.
We are adopting new rules and an amendment to a new form pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to disclosure of payments by resource extraction issuers. Section 1504 added Section 13(q) to the Securities Exchange Act of 1934, which requires the Commission to issue rules requiring resource extraction issuers to include in an annual report information relating to any payment made by the issuer, a subsidiary of the issuer, or an entity under the control of the issuer, to a foreign government or the Federal Government for the purpose of the commercial development of oil, natural gas, or minerals. Section 13(q) requires a resource extraction issuer to provide information about the type and total amount of such payments made for each project related to the commercial development of oil, natural gas, or minerals, and the type and total amount of payments made to each government. In addition, Section 13(q) requires a resource extraction issuer to provide information regarding those payments in an interactive data format.
On July 13, 2012, the Securities and Exchange Commission (“Commission”) published a document in the Federal Register (77 FR 41602), concerning, among other things, the process for submissions for review of security-based swaps for mandatory clearing and notice filing requirements for clearing agencies. The document contained typographical errors in the preamble and in the general authority for Part 240. The Commission is publishing corrections to the preamble and the general authority as well as a clarification concerning the Office of Management and Budget (“OMB”) control number for Rule 3Ca-1 under the Securities Exchange Act of 1934 (“Exchange Act”).
The Securities and Exchange Commission (“Commission”) is making a technical amendment to rules under the Securities Exchange Act of 1934 (“Exchange Act”) to correct an inadvertent error. On December 21, 2011, the Commission extended the expiration date for the temporary municipal advisor registration regime to September 30, 2012. In the release extending the expiration date, the Commission inadvertently omitted a reference to Subpart N, which resulted in the deletion of Subpart N from the Code of Federal Regulations. With this technical amendment, the Commission is correcting the omission and adding back Subpart N to the Code of Federal Regulations.
In accordance with Section 763(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is adopting rules under the Securities Exchange Act of 1934 (“Exchange Act”) to specify the process for a registered clearing agency's submission for review of any security-based swap, or any group, category, type or class of security-based swaps, that the clearing agency plans to accept for clearing, the manner of notice the clearing agency must provide to its members of such submission and the procedure by which the Commission may stay the requirement that a security-based swap is subject to mandatory clearing while the clearing of the security-based swap is reviewed. The Commission also is adopting a rule to specify that when a security-based swap is required to be cleared, the submission of the security-based swap for clearing must be for central clearing to a clearing agency that functions as a central counterparty. In addition, the Commission is adopting rules to define and describe when notices of proposed changes to rules, procedures or operations are required to be filed by designated financial market utilities in accordance with Section 806(e) of Title VIII of the Dodd-Frank Act and to set forth the process for filing such notices with the Commission. Finally, the Commission is adopting rules to make conforming changes as required by the amendments to Section 19(b) of the Exchange Act contained in Section 916 of the Dodd-Frank Act.
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.
§ 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 § -
§ 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. § -
§ 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
§ 78mm - General exemptive authority
§ 78nn - Tennessee Valley Authority
§ 78pp - Investor Advisory Committee
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–37 - Rules, regulations, and orders
§ 7201 - Definitions
§ 7202 - Commission rules and enforcement
§ 7233 - Commission authority
§ 7241 - Corporate responsibility for financial reports
§ 7264 - Code of ethics for senior financial officers
§ 7265 - Disclosure of audit committee financial expert
§ 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 249 after this date.
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.
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.
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.
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.