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This form shall be used by every broker-dealer required to file reports under § 240.17a-5(e) of this chapter.
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.
§ 5461 - Findings and purposes
§ 5462 - Definitions
§ 5463 - Designation of systemic importance
§ 5464 - Standards for systemically important financial market utilities and payment, clearing, or settlement activities
§ 5465 - Operations of designated financial market utilities
§ 5466 - Examination of and enforcement actions against designated financial market utilities
§ 5467 - Examination of and enforcement actions against financial institutions subject to standards for designated activities
§ 5468 - Requests for information, reports, or records
§ 5469 - Rulemaking
§ 5470 - Other authority
§ 5471 - Consultation
§ 5472 - Common framework for designated clearing entity risk management
§ 78a - Short title
§ 78b - Necessity for regulation
§ 78c - Definitions and application
§ 78d - Securities and Exchange Commission
§ 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
§ 78k - Trading by members of exchanges, brokers, and dealers
§ 78l - Registration requirements for securities
§ 78m - Periodical and other reports
§ 78n - Proxies
§ 78o - Registration and regulation of brokers and dealers
§ 78p - Directors, officers, and principal stockholders
§ 78q - Records and reports
§ 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
§ 78u - Investigations and actions
§ 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
§ 78bb - Effect on existing law
§ 78cc - Validity of contracts
§ 78dd - Foreign securities exchanges
§ 78ee - Transaction fees
§ 78ff - Penalties
§ 78gg - Separability
§ 78hh - Effective date
§ 78ii - Omitted
§ 78jj - Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259
§ 78kk - Authorization of appropriations
§ 78ll - Requirements for the EDGAR system
§ 78mm - General exemptive authority
§ 78nn - Tennessee Valley Authority
§ 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
§ 78pp - Investor Advisory Committee
§ 7201 - Definitions
§ 7202 - Commission rules and enforcement
§ 1350 - Failure of corporate officers to certify financial reports
Title 17 published on 2015-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 249 after this date.
The Securities and Exchange Commission is adopting new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding prescribes rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. Regulation Crowdfunding also provides a framework for the regulation of registered funding portals and broker-dealers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, Regulation Crowdfunding conditionally exempts securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.
We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of a registrant (excluding the chief executive officer), the annual total compensation of that registrant's chief executive officer, and the ratio of the median of the annual total compensation of all employees to the annual total compensation of the chief executive officer. The disclosure is required in any annual report, proxy or information statement, or registration statement that requires executive compensation disclosure pursuant to Item 402 of Regulation S-K. The disclosure requirement does not apply to emerging growth companies, smaller reporting companies, or foreign private issuers.
The Securities and Exchange Commission (the “Commission”) is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (the “Exchange Act”). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requires the Commission to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (“Major SBS Participants”) (collectively, “SBS Entities”). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the Commission.
We are proposing a new rule and rule and form amendments to implement the provisions of Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10D to the Securities Exchange Act of 1934. Section 10D requires the Commission to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any security of an issuer that is not in compliance with Section 10D's requirements for disclosure of the issuer's policy on incentive-based compensation and recovery of incentive-based compensation that is received in excess of what would have been received under an accounting restatement. The proposed rule and rule amendments would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer to develop and implement a policy providing for the recovery, under certain circumstances, of incentive-based compensation based on financial information required to be reported under the securities laws that is received by current or former executive officers, and require the disclosure of the policy. A listed issuer would be required to file the policy as an exhibit to its annual report.
This document corrects the designation of a paragraph in Item 6 of Part I to Form 1-A in a final rule published in the Federal Register of April 20, 2015, regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
The Securities and Exchange Commission is proposing new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission is proposing new Form N-PORT, which would require certain registered investment companies to report information about their monthly portfolio holdings to the Commission in a structured data format. In addition, the Commission is proposing amendments to Regulation S-X, which would require standardized, enhanced disclosure about derivatives in investment company financial statements, as well as other amendments. The Commission is also proposing new rule 30e-3, which would permit but not require registered investment companies to transmit periodic reports to their shareholders by making the reports accessible on a Web site and satisfying certain other conditions. The Commission is proposing new Form N-CEN, which would require registered investment companies, other than face amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. Finally, the Commission is proposing to rescind current Forms N-Q and N-SAR and to amend certain other rules and forms. Collectively, these amendments would, among other things, improve the information that the Commission receives from investment companies and assist the Commission, in its role as primary regulator of investment companies, to better fulfill its mission of protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation. Investors and other potential users could also utilize this information to help investors make more informed investment decisions.
This document corrects an instruction for the authority to part 200 in a final rule published in the Federal Register of April 20, 2015 regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings.