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17 CFR 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934

Title 17 published on 2011-04-01

no entries appear in the Federal Register after this date.

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

15 USC 78a - Short title

15 USC 78aa - Jurisdiction of offenses and suits

15 USC § 78aa–1 - Special provision relating to statute of limitations on private causes of action

15 USC 78b - Necessity for regulation

15 USC 78bb - Effect on existing law

15 USC 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

15 USC 78cc - Validity of contracts

15 USC 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

15 USC 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

15 USC 78e - Transactions on unregistered exchanges

15 USC 78ee - Transaction fees

15 USC 78f - National securities exchanges

15 USC 78ff - Penalties

15 USC 78g - Margin requirements

15 USC 78gg - Separability

15 USC 78h - Restrictions on borrowing and lending by members, brokers, and dealers

15 USC 78hh - Effective date

15 USC § 78hh–1 - Effective date of certain sections

15 USC 78i - Manipulation of security prices

15 USC 78ii - Omitted

15 USC 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

15 USC 78jj - Repealed.

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

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

15 USC 78kk - Authorization of appropriations

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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

15 USC 78mm - General exemptive authority

15 USC 78n - Proxies

15 USC § 78n–1 - Shareholder approval of executive compensation

15 USC § 78n–2 - Corporate governance

15 USC 78nn - Tennessee Valley Authority

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15 USC 78p - Directors, officers, and principal stockholders

15 USC 78pp - Investor Advisory Committee

15 USC 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

15 USC 78r - Liability for misleading statements

15 USC 78s - Registration, responsibilities, and oversight of self-regulatory organizations

15 USC 78t - Liability of controlling persons and persons who aid and abet violations

15 USC § 78t–1 - Liability to contemporaneous traders for insider trading

15 USC 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

15 USC 78v - Hearings by Commission

15 USC 78w - Rules, regulations, and orders; annual reports

15 USC 78x - Public availability of information

15 USC 78y - Court review of orders and rules

15 USC 78z - Unlawful representations