17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.

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§ 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
(a) Form 10-Q shall be used for quarterly reports under section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)), required to be filed pursuant to § 240.13a-13 or § 240.15d-13 of this chapter. A quarterly report on this form pursuant to § 240.13a-13 or § 240.15d-13 of this chapter shall be filed within the following period after the end of the first three fiscal quarters of each fiscal year, but no quarterly report need be filed for the fourth quarter of any fiscal year:
(1) 40 days after the end of the fiscal quarter for large accelerated filers and accelerated filers (as defined in § 240.12b-2 of this chapter); and
(2) 45 days after the end of the fiscal quarter for all other registrants.
(b) Form 10-Q also shall be used for transition and quarterly reports filed pursuant to § 240.13a-10 or § 240.15d-10 of this chapter. Such transition or quarterly reports shall be filed in accordance with the requirements set forth in § 240.13a-10 or § 240.15d-10 of this chapter applicable when the registrant changes its fiscal year end.
[67 FR 58506, Sept. 16, 2002, as amended at 69 FR 68236, Nov. 23, 2004; 70 FR 76642, Dec. 27, 2005]
Editorial Note:
For Federal Register citations affecting Form 10-Q, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.

Title 17 published on 2013-04-01

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.

  • 2014-01-16; vol. 79 # 11 - Thursday, January 16, 2014
    1. 79 FR 2777 - Registration of Municipal Advisors; Temporary Stay of Final Rule
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      SECURITIES AND EXCHANGE COMMISSION
      Final rule; stay.
      Effective January 13, 2014, 17 CFR 240.15Ba1-1 through 15Ba1-8 and 240.15Bc4-1 and 17 CFR 249.1300, 249.1310, 249.1320, and 249.1330 are stayed until July 1, 2014.
      17 CFR Parts 240 and 249

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
U.S. Code: Title 12 - BANKS AND BANKING
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 78a - Short title

§ 78b - Necessity for regulation

§ 78c - Definitions and application

15 U.S. Code § 78c–1 - Swap agreements

15 U.S. Code § 78c–2 - Securities-related derivatives

15 U.S. Code § 78c–3 - Clearing for security-based swaps

15 U.S. Code § 78c–4 - Security-based swap execution facilities

15 U.S. Code § 78c–5 - Segregation of assets held as collateral in security-based swap transactions

§ 78d - Securities and Exchange Commission

15 U.S. Code § 78d–1 - Delegation of functions by Commission

15 U.S. Code § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

15 U.S. Code § 78d–3 - Appearance and practice before the Commission

15 U.S. Code § 78d–4 - Additional duties of Inspector General

15 U.S. Code § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections

15 U.S. Code § 78d–6 - Report and certification of internal supervisory controls

15 U.S. Code § 78d–7 - Triennial report on personnel management

15 U.S. Code § 78d–8 - Annual financial controls audit

15 U.S. Code § 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 U.S. Code § 78j–1 - Audit requirements

15 U.S. Code § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting

15 U.S. Code § 78j–3 - Compensation committees

15 U.S. Code § 78j–4 - Recovery of erroneously awarded compensation policy

§ 78k - Trading by members of exchanges, brokers, and dealers

15 U.S. Code § 78k–1 - National market system for securities; securities information processors

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§ 78m - Periodical and other reports

15 U.S. Code § 78m–1 - Reporting and recordkeeping for certain security-based swaps

15 U.S. Code § 78m–2 - Reporting requirements regarding coal or other mine safety

§ 78n - Proxies

15 U.S. Code § 78n–1 - Shareholder approval of executive compensation

15 U.S. Code § 78n–2 - Corporate governance

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§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 U.S. Code § 78q–1 - National system for clearance and settlement of securities transactions

15 U.S. Code § 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 U.S. Code § 78t–1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

15 U.S. Code § 78u–1 - Civil penalties for insider trading

15 U.S. Code § 78u–2 - Civil remedies in administrative proceedings

15 U.S. Code § 78u–3 - Cease-and-desist proceedings

15 U.S. Code § 78u–4 - Private securities litigation

15 U.S. Code § 78u–5 - Application of safe harbor for forward-looking statements

15 U.S. Code § 78u–6 - Securities whistleblower incentives and protection

15 U.S. Code § 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 U.S. Code § 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 U.S. Code § 78dd–1 - Prohibited foreign trade practices by issuers

15 U.S. Code § 78dd–2 - Prohibited foreign trade practices by domestic concerns

15 U.S. Code § 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 U.S. Code § 78hh–1 - Effective date of certain sections

§ 78ii - Omitted

§ 78jj - Repealed.

§ 78kk - Authorization of appropriations

15 U.S. Code § -

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

15 U.S. Code § -

§ 78pp - Investor Advisory Committee

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

U.S. Code: Title 18 - CRIMES AND CRIMINAL PROCEDURE

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 249 after this date.

  • 2014-04-02; vol. 79 # 63 - Wednesday, April 2, 2014
    1. 79 FR 18483 - Extension of Comment Period for Asset-Backed Securities Release
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      SECURITIES AND EXCHANGE COMMISSION
      Extension of comment period.
      Comments should be received on or before April 28, 2014.
      17 CFR Parts 200, 229, 230, 232, 239, 240, 243, and 249