17 CFR Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934

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  1. Rules of General Application (§§ 240.0-1 - 240.3a5-3)
    1. § 240.0-1 Definitions.
    2. § 240.0-2 Business hours of the Commission.
    3. § 240.0-3 Filing of material with the Commission.
    4. § 240.0-4 Nondisclosure of information obtained in examinations and investigations.
    5. § 240.0-5 Reference to rule by obsolete designation.
    6. § 240.0-6 Disclosure detrimental to the national defense or foreign policy.
    7. § 240.0-8 Application of rules to registered broker-dealers.
    8. § 240.0-9 Payment of fees.
    9. § 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
    10. § 240.0-11 Filing fees for certain acquisitions, dispositions and similar transactions.
    11. § 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
    12. § 240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
    13. § 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
    14. § 240.3a4-1 Associated persons of an issuer deemed not to be brokers.
    15. §§ 240.3a4-2--240.3a4-6 [Reserved]
    16. § 240.3a5-1 Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
    17. § 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
    18. § 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
  2. Definition of “Equity Security” as Used in Sections 12(g) and 16 (§ 240.3a11-1)
    1. § 240.3a11-1 Definition of the term “equity security.”
  3. Miscellaneous Exemptions (§§ 240.3a12-1 - 240.3a55-4)
    1. § 240.3a12-1 Exemption of certain mortgages and interests in mortgages.
    2. § 240.3a12-2 [Reserved]
    3. § 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
    4. § 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
    5. § 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
    6. § 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
    7. § 240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
    8. § 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
    9. § 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
    10. § 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
    11. § 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
    12. § 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
    13. § 240.3a40-1 Designation of financial responsibility rules.
    14. § 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.
    15. § 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
    16. § 240.3a51-1 Definition of “penny stock”.
    17. § 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.
    18. § 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
    19. § 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
    20. § 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
  4. Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (§§ 240.3a68-1a - 240.3a71-6)
    1. § 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.
    2. § 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
    3. § 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
    4. § 240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
    5. § 240.3a68-4 Regulation of mixed swaps.
    6. § 240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt.
    7. § 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.
    8. § 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act - additional products.
    9. § 240.3a69-3 Books and records requirements for security-based swap agreements.
    10. § 240.3a71-1 Definition of “security-based swap dealer.”
    11. § 240.3a71-2 De minimis exception.
    12. § 240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).
    13. § 240.3a71-3 Cross-border security-based swap dealing activity.
    14. § 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
    15. § 240.3a71-5 Exception for cleared transactions executed on a swap execution facility.
    16. § 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.
  5. Hypothecation of Customers' Securities (§§ 240.8c-1 - 240.10a-1--240.10a-2)
    1. § 240.8c-1 Hypothecation of customers' securities.
    2. § 240.9b-1 Options disclosure document.
    3. §§ 240.10a-1--240.10a-2 [Reserved]
  6. Requirements Under Section 10C (§ 240.10C-1)
    1. § 240.10C-1 Listing standards relating to compensation committees.
  7. Adoption of Regulation on Conduct of Specialists (§ 240.11b-1)
    1. § 240.11b-1 Regulation of specialists.
  8. Regulation 12B: Registration and Reporting (§ - )
    Source: Sections 240.12b-1 through 240.12b-36 appear at 13 FR 9321, Dec. 31, 1948, unless otherwise noted. ATTENTION ELECTRONIC FILERS