17 CFR Part 242 - REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
Subject Group 111Regulation M (§§ 242.100 - 242.105)
- § 242.100 Preliminary note; definitions.
- § 242.101 Activities by distribution participants.
- § 242.102 Activities by issuers and selling security holders during a distribution.
- § 242.103 Nasdaq passive market making.
- § 242.104 Stabilizing and other activities in connection with an offering.
- § 242.105 Short selling in connection with a public offering.
Subject Group 112Regulation SHO - Regulation of Short Sales (§§ 242.200 - 242.204)
- Regulation ATS - Alternative Trading Systems
- § 242.300 Definitions.
- § 242.301 Requirements for alternative trading systems.
- § 242.302 Recordkeeping requirements for alternative trading systems.
- § 242.303 Record preservation requirements for alternative trading systems.
Subject Group 114Customer Margin Requirements for Security Futures (§§ 242.400 - 242.406)
Subject Group 115Regulation AC - Analyst Certification (§§ 242.500 - 242.505)
Subject Group 116Regulation NMS - Regulation of the National Market System (§§ 242.600 - 242.613)
- § 242.600 NMS security designation and definitions.
- § 242.601 Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
- § 242.602 Dissemination of quotations in NMS securities.
- § 242.603 Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.
- § 242.604 Display of customer limit orders.
- § 242.605 Disclosure of order execution information.
- § 242.606 Disclosure of order routing information.
- § 242.607 Customer account statements.
- § 242.608 Filing and amendment of national market system plans.
- § 242.609 Registration of securities information processors: form of application and amendments.
- § 242.610 Access to quotations.
- § 242.611 Order protection rule.
- § 242.612 Minimum pricing increment.
- § 242.613 Consolidated audit trail.
Subject Group 117Regulation SBSR - Regulatory Reporting and Public Dissemination of Security-Based Swap Information (§§ 242.900 - 242.909)
- § 242.900 Definitions.
- § 242.901 Reporting obligations.
- § 242.902 Public dissemination of transaction reports.
- § 242.903 Coded information.
- § 242.904 Operating hours of registered security-based swap data repositories.
- § 242.905 Correction of errors in security-based swap information.
- § 242.906 Other duties of participants.
- § 242.907 Policies and procedures of registered security-based swap data repositories.
- § 242.908 Cross-border matters.
- § 242.909 Registration of security-based swap data repository as a securities information processor.
- Regulation SCI - Systems Compliance and Integrity (§§ 242.1000 - 242.1007)
1. An alternative trading system is required to comply with the requirements in this Regulation ATS, unless such alternative trading system:
(a) Is registered as a national securities exchange;
(b) Is exempt from registration as a national securities exchange based on the limited volume of transactions effected on the alternative trading system; or
(c) Trades only government securities and certain other related instruments.
All alternative trading systems must comply with the antifraud, antimanipulation, and other applicable provisions of the federal securities laws.
2. The requirements imposed upon an alternative trading system by Regulation ATS are in addition to any requirements applicable to broker-dealers registered under section 15 of the Act, (15 U.S.C. 78o).
3. An alternative trading system must comply with any applicable state law relating to the offer or sale of securities or the registration or regulation of persons or entities effecting transactions in securities.
4. The disclosures made pursuant to the provisions of this section are in addition to any other disclosure requirements under the federal securities laws.