17 CFR Part 242 - REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
- § 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.
- Regulation SHO - Regulation of Short Sales
Regulation ATS - Alternative Trading Systems
Source:Preliminary Notes1. 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.
- § 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.
Customer Margin Requirements for Security Futures
Source:67 FR 53176, Aug. 14, 2002, unless otherwise noted.
- § 242.400 — Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
- § 242.401 — Definitions.
- § 242.402 — General provisions.
- § 242.403 — Required margin.
- § 242.404 — Type, form and use of margin.
- § 242.405 — Withdrawal of margin.
- § 242.406 — Undermargined accounts.
Regulation AC - Analyst Certification
Source:68 FR 9492, February 27, 2003, unless otherwise noted.
Regulation NMS - Regulation of the National Market System
Source:70 FR 37620, June 29, 2005, unless otherwise noted.
- § 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.
Title 17 published on 2014-04-01.
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
Title 17 published on 2014-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 242 after this date.