17 CFR Part 240, Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
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Rules of General Application (§§ 240. - 240.3a)
- § 240.0-1 Definitions.
- § 240.0-2 Business hours of the Commission.
- § 240.0-3 Filing of material with the Commission.
- § 240.0-4 Nondisclosure of information obtained in examinations and investigations.
- § 240.0-5 Reference to rule by obsolete designation.
- § 240.0-6 Disclosure detrimental to the national defense or foreign policy.
- § 240.0-8 Application of rules to registered broker-dealers.
- § 240.0-9 Payment of fees.
- § 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
- § 240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions.
- § 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
- § 240.0-13 Commission procedures for filing applications to request a substituted compliance order under the Exchange Act.
- § 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
- § 240.3a4-1 Associated persons of an issuer deemed not to be brokers.
- §§ 240.3a4-2--240.3a4-6 [Reserved]
- § 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
- § 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
- § 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
Definition of “Equity Security” as Used in Sections 12(g) and 16 (§ 240.3a)
Miscellaneous Exemptions (§ 240.3a)
- § 240.3a12-1 Exemption of certain mortgages and interests in mortgages.
- § 240.3a12-2 [Reserved]
- § 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
- § 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
- § 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
- § 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
- § 240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
- § 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
- § 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
- § 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
- § 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
- § 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
- § 240.3a40-1 Designation of financial responsibility rules.
- § 240.3a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
- § 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
- § 240.3a51-1 Definition of “penny stock”.
- § 240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
- § 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
- § 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
- § 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
Security-Based Swap Dealer and Participant Definitions (§ 240.3a)
- § 240.3a67-1 Definition of “major security-based swap participant.”
- § 240.3a67-2 Categories of security-based swaps.
- § 240.3a67-3 Definition of “substantial position.”
- § 240.3a67-4 Definition of “hedging or mitigating commercial risk.”
- § 240.3a67-5 Definition of “substantial counterparty exposure.”
- § 240.3a67-6 Definition of “financial entity.”
- § 240.3a67-7 Definition of “highly leveraged.”
- § 240.3a67-8 Timing requirements, reevaluation period, and termination of status.
- § 240.3a67-9 Calculation of major participant status by certain persons.
- § 240.3a67-10 Foreign major security-based swap participants.
Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (§ 240.3a)
- § 240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.
- § 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
- § 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
- § 240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
- § 240.3a68-4 Regulation of mixed swaps.
- § 240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt.
- § 240.3a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act - insurance.
- § 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act - additional products.
- § 240.3a69-3 Books and records requirements for security-based swap agreements.
- § 240.3a71-1 Definition of “security-based swap dealer.”
- § 240.3a71-2 De minimis exception.
- § 240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-271-2).
- § 240.3a71-3 Cross-border security-based swap dealing activity.
- § 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
- § 240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
- § 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
Definitions (§§ 240.3b-1 - 240.3b-19)
- § 240.3b-1 Definition of “listed”.
- § 240.3b-2 Definition of “officer”.
- § 240.3b-3 [Reserved]
- § 240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
- § 240.3b-5 Non-exempt securities issued under governmental obligations.
- § 240.3b-6 Liability for certain statements by issuers.
- § 240.3b-7 Definition of “executive officer”.
- § 240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
- §§ 240.3b-9--240.3b-10 [Reserved]
- § 240.3b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
- § 240.3b-12 Definition of OTC derivatives dealer.
- § 240.3b-13 Definition of eligible OTC derivative instrument.
- § 240.3b-14 Definition of cash management securities activities.
- § 240.3b-15 Definition of ancillary portfolio management securities activities.
- § 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act.
- § 240.3b-17 [Reserved]
- § 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act.
- § 240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
Clearing of Security-Based Swaps (§§ 240.3Ca-1 - 240.3Ca-2)
Registration and Exemption of Exchanges (§§ 240.6a-1 - 240.7c)
- § 240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume.
- § 240.6a-2 Amendments to application.
- § 240.6a-3 Supplemental material to be filed by exchanges.
- § 240.6a-4 Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act.
- § 240.6h-1 Settlement and regulatory halt requirements for security futures products.
- § 240.6h-2 Security future based on note, bond, debenture, or evidence of indebtedness.
- § 240.7c2-1 [Reserved]
Hypothecation of Customers' Securities (§§ 240.8c-1 - 240.10a-1--240.10a-2)
- § 240.8c-1 Hypothecation of customers' securities.
- § 240.9b-1 Options disclosure document.
- §§ 240.10a-1--240.10a-2 [Reserved]
Manipulative and Deceptive Devices and Contrivances (§§ 240.10b-1 - 240.10b-21)
- § 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
- § 240.10b-2 [Reserved]
- § 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers.
- § 240.10b-4 [Reserved]
- § 240.10b-5 Employment of manipulative and deceptive devices.
- § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.
- § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.
- §§ 240.10b-6--240.10b-8 [Reserved]
- § 240.10b-9 Prohibited representations in connection with certain offerings.
- § 240.10b-10 Confirmation of transactions.
- § 240.10b-13 [Reserved]
- § 240.10b-16 Disclosure of credit terms in margin transactions.
- § 240.10b-17 Untimely announcements of record dates.
- § 240.10b-18 Purchases of certain equity securities by the issuer and others.
- § 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.
Reports Under Section 10A (§§ 240.10A-1 - 240.10A-3)
Requirements Under Section 10C (§ 240.10C-1)
Adoption of Floor Trading Regulation (Rule 11a-1) (§§ 240.11a-1 - 240.11a)
- § 240.11a-1 Regulation of floor trading.
- § 240.11a1-1(T) Transactions yielding priority, parity, and precedence.
- § 240.11a1-2 Transactions for certain accounts of associated persons of members.
- § 240.11a1-3(T) Bona fide hedge transactions in certain securities.
- § 240.11a1-4(T) Bond transactions on national securities exchanges.
- § 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers.
- § 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers.
- § 240.11a2-2(T) Transactions effected by exchange members through other members.
Adoption of Regulation on Conduct of Specialists (§ 240.11b-1)
Exemption of Certain Securities From Section 11(d)(1) (§ 240.11d)
- § 240.11d1-1 Exemption of certain securities from section 11(d)(1).
- § 240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts.
- § 240.11d2-1 Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers security futures products in futures accounts.
Securities Exempted From Registration (§§ 240.12a-4 - 240.12a-9)
- § 240.12a-4 Exemption of certain warrants from section 12(a).
- § 240.12a-5 Temporary exemption of substituted or additional securities.
- § 240.12a-6 Exemption of securities underlying certain options from section 12(a).
- § 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
- § 240.12a-8 Exemption of depositary shares.
- § 240.12a-9 Exemption of standardized options from section 12(a) of the Act.
- Regulation 12B: Registration and Reporting