17 CFR Part 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934

§§ 249b.1-249b.99 [Reserved]
§ 249b.100 Form TA-1, 1 uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.101 Form TA-W, notice of withdrawal from registration as transfer agent.
§ 249b.102 Form TA-2, 1 form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
§ 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and § 240.17g-1 of this chapter.
§ 249b.400 Form SD, specialized disclosure report.

Authority:

15 U.S.C. 78a et seq., unless otherwise noted;

Sections 249b.100 and 249b.102 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q-1, 78w(a)).

Section 249b.400 is also issued under secs. 1502 and 1504, Pub. L. 111-203, 124 Stat. 2213 and 2220.

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'/uscode/text/15/78c-5'}, {'Title': '15', 'Section': '78d', 'headtext': ' Securities and Exchange Commission', 'cleanpath': '/uscode/text/15/78d'}, {'Title': '15', 'Section': '78d-1', 'headtext': ' Delegation of functions by Commission', 'cleanpath': '/uscode/text/15/78d-1'}, {'Title': '15', 'Section': '78d-2', 'headtext': ' Transfer of functions with respect to assignment of personnel to chairman', 'cleanpath': '/uscode/text/15/78d-2'}, {'Title': '15', 'Section': '78d-3', 'headtext': ' Appearance and practice before the Commission', 'cleanpath': '/uscode/text/15/78d-3'}, {'Title': '15', 'Section': '78d-4', 'headtext': ' Additional duties of Inspector General', 'cleanpath': '/uscode/text/15/78d-4'}, {'Title': '15', 'Section': '78d-5', 'headtext': ' Deadline for completing enforcement investigations and compliance examinations and inspections', 'cleanpath': '/uscode/text/15/78d-5'}, {'Title': '15', 'Section': '78d-6', 'headtext': ' Report and certification of internal supervisory controls', 'cleanpath': '/uscode/text/15/78d-6'}, {'Title': '15', 'Section': '78d-7', 'headtext': ' Triennial report on personnel management', 'cleanpath': '/uscode/text/15/78d-7'}, {'Title': '15', 'Section': '78d-8', 'headtext': ' Annual financial controls audit', 'cleanpath': '/uscode/text/15/78d-8'}, {'Title': '15', 'Section': '78d-9', 'headtext': ' Report on oversight of national securities associations', 'cleanpath': '/uscode/text/15/78d-9'}, {'Title': '15', 'Section': '78e', 'headtext': ' Transactions on unregistered exchanges', 'cleanpath': '/uscode/text/15/78e'}, {'Title': '15', 'Section': '78f', 'headtext': ' National securities exchanges', 'cleanpath': '/uscode/text/15/78f'}, {'Title': '15', 'Section': '78g', 'headtext': ' Margin requirements', 'cleanpath': '/uscode/text/15/78g'}, {'Title': '15', 'Section': '78h', 'headtext': ' Restrictions on borrowing and lending by members, brokers, and dealers', 'cleanpath': '/uscode/text/15/78h'}, {'Title': '15', 'Section': '78i', 'headtext': ' Manipulation of security prices', 'cleanpath': '/uscode/text/15/78i'}, {'Title': '15', 'Section': '78j', 'headtext': ' Manipulative and deceptive devices', 'cleanpath': '/uscode/text/15/78j'}, {'Title': '15', 'Section': '78j-1', 'headtext': ' Audit requirements', 'cleanpath': '/uscode/text/15/78j-1'}, {'Title': '15', 'Section': '78j-2', 'headtext': ' Position limits and position accountability for security-based swaps and large trader reporting', 'cleanpath': '/uscode/text/15/78j-2'}, {'Title': '15', 'Section': '78j-3', 'headtext': ' Compensation committees', 'cleanpath': '/uscode/text/15/78j-3'}, {'Title': '15', 'Section': '78j-4', 'headtext': ' Recovery of erroneously awarded compensation policy', 'cleanpath': '/uscode/text/15/78j-4'}, {'Title': '15', 'Section': '78k', 'headtext': ' Trading by members of exchanges, brokers, and dealers', 'cleanpath': '/uscode/text/15/78k'}, {'Title': '15', 'Section': '78k-1', 'headtext': ' National market system for securities; securities information processors', 'cleanpath': '/uscode/text/15/78k-1'}, {'Title': '15', 'Section': '78l', 'headtext': ' Registration requirements for securities', 'cleanpath': '/uscode/text/15/78l'}, {'Title': '15', 'Section': '78l-1', 'headtext': ' Applications for unlisted trading privileges deemed filed under section 78l of this title', 'cleanpath': '/uscode/text/15/78l-1'}, {'Title': '15', 'Section': '78m', 'headtext': ' Periodical and other reports', 'cleanpath': '/uscode/text/15/78m'}, {'Title': '15', 'Section': '78m-1', 'headtext': ' Reporting and recordkeeping for certain security-based swaps', 'cleanpath': '/uscode/text/15/78m-1'}, {'Title': '15', 'Section': '78m-2', 'headtext': ' Reporting requirements regarding coal or other mine safety', 'cleanpath': '/uscode/text/15/78m-2'}, {'Title': '15', 'Section': '78n', 'headtext': ' Proxies', 'cleanpath': '/uscode/text/15/78n'}, {'Title': '15', 'Section': '78n-1', 'headtext': ' Shareholder approval of executive compensation', 'cleanpath': '/uscode/text/15/78n-1'}, {'Title': '15', 'Section': '78n-2', 'headtext': ' Corporate governance', 'cleanpath': '/uscode/text/15/78n-2'}, {'Title': '15', 'Section': '78o', 'headtext': ' Registration and regulation of brokers and dealers', 'cleanpath': '/uscode/text/15/78o'}, {'Title': '15', 'Section': '78o-1', 'headtext': ' Brokers deemed to be registered', 'cleanpath': '/uscode/text/15/78o-1'}, {'Title': '15', 'Section': '78o-2', 'headtext': ' Liabilities arising prior to amendment unaffected', 'cleanpath': '/uscode/text/15/78o-2'}, {'Title': '15', 'Section': '78o-3', 'headtext': ' Registered securities associations', 'cleanpath': '/uscode/text/15/78o-3'}, {'Title': '15', 'Section': '78o-4', 'headtext': ' Municipal securities', 'cleanpath': '/uscode/text/15/78o-4'}, {'Title': '15', 'Section': '78o-4a', 'headtext': ' Commission Office of Municipal Securities', 'cleanpath': '/uscode/text/15/78o-4a'}, {'Title': '15', 'Section': '78o-5', 'headtext': ' Government securities brokers and dealers', 'cleanpath': '/uscode/text/15/78o-5'}, {'Title': '15', 'Section': '78o-6', 'headtext': ' Securities analysts and research reports', 'cleanpath': '/uscode/text/15/78o-6'}, {'Title': '15', 'Section': '78o-7', 'headtext': ' Registration of nationally recognized statistical rating organizations', 'cleanpath': '/uscode/text/15/78o-7'}, {'Title': '15', 'Section': '78o-8', 'headtext': ' Universal ratings symbols', 'cleanpath': '/uscode/text/15/78o-8'}, {'Title': '15', 'Section': '78o-9', 'headtext': ' Study and rulemaking on assigned credit ratings', 'cleanpath': '/uscode/text/15/78o-9'}, {'Title': '15', 'Section': '78o-10', 'headtext': ' Registration and regulation of security-based swap dealers and major security-based swap participants', 'cleanpath': '/uscode/text/15/78o-10'}, {'Title': '15', 'Section': '78o-11', 'headtext': ' Credit risk retention', 'cleanpath': '/uscode/text/15/78o-11'}, {'Title': '15', 'Section': '78p', 'headtext': ' Directors, officers, and principal stockholders', 'cleanpath': '/uscode/text/15/78p'}, {'Title': '15', 'Section': '78q', 'headtext': ' Records and reports', 'cleanpath': '/uscode/text/15/78q'}, {'Title': '15', 'Section': '78q-1', 'headtext': ' National system for clearance and settlement of securities transactions', 'cleanpath': '/uscode/text/15/78q-1'}, {'Title': '15', 'Section': '78q-2', 'headtext': ' Automated quotation systems for penny stocks', 'cleanpath': '/uscode/text/15/78q-2'}, {'Title': '15', 'Section': '78r', 'headtext': ' Liability for misleading statements', 'cleanpath': '/uscode/text/15/78r'}, {'Title': '15', 'Section': '78s', 'headtext': ' Registration, responsibilities, and oversight of self-regulatory organizations', 'cleanpath': '/uscode/text/15/78s'}, {'Title': '15', 'Section': '78t', 'headtext': ' Liability of controlling persons and persons who aid and abet violations', 'cleanpath': '/uscode/text/15/78t'}, {'Title': '15', 'Section': '78t-1', 'headtext': ' Liability to contemporaneous traders for insider trading', 'cleanpath': '/uscode/text/15/78t-1'}, {'Title': '15', 'Section': '78u', 'headtext': ' Investigations and actions', 'cleanpath': '/uscode/text/15/78u'}, {'Title': '15', 'Section': '78u-1', 'headtext': ' Civil penalties for insider trading', 'cleanpath': '/uscode/text/15/78u-1'}, {'Title': '15', 'Section': '78u-2', 'headtext': ' Civil remedies in administrative proceedings', 'cleanpath': '/uscode/text/15/78u-2'}, {'Title': '15', 'Section': '78u-3', 'headtext': ' Cease-and-desist proceedings', 'cleanpath': '/uscode/text/15/78u-3'}, {'Title': '15', 'Section': '78u-4', 'headtext': ' Private securities litigation', 'cleanpath': '/uscode/text/15/78u-4'}, {'Title': '15', 'Section': '78u-5', 'headtext': ' Application of safe harbor for forward-looking statements', 'cleanpath': '/uscode/text/15/78u-5'}, {'Title': '15', 'Section': '78u-6', 'headtext': ' Securities whistleblower incentives and protection', 'cleanpath': '/uscode/text/15/78u-6'}, {'Title': '15', 'Section': '78u-7', 'headtext': ' Implementation and transition provisions for whistleblower protection', 'cleanpath': '/uscode/text/15/78u-7'}, {'Title': '15', 'Section': '78v', 'headtext': ' Hearings by Commission', 'cleanpath': '/uscode/text/15/78v'}, {'Title': '15', 'Section': '78w', 'headtext': ' Rules, regulations, and orders; annual reports', 'cleanpath': '/uscode/text/15/78w'}, {'Title': '15', 'Section': '78x', 'headtext': ' Public availability of information', 'cleanpath': '/uscode/text/15/78x'}, {'Title': '15', 'Section': '78y', 'headtext': ' Court review of orders and rules', 'cleanpath': '/uscode/text/15/78y'}, {'Title': '15', 'Section': '78z', 'headtext': ' Unlawful representations', 'cleanpath': '/uscode/text/15/78z'}, {'Title': '15', 'Section': '78aa', 'headtext': ' Jurisdiction of offenses and suits', 'cleanpath': '/uscode/text/15/78aa'}, {'Title': '15', 'Section': '78aa-1', 'headtext': ' Special provision relating to statute of limitations on private causes of action', 'cleanpath': '/uscode/text/15/78aa-1'}, {'Title': '15', 'Section': '78bb', 'headtext': ' Effect on existing law', 'cleanpath': '/uscode/text/15/78bb'}, {'Title': '15', 'Section': '78cc', 'headtext': ' Validity of contracts', 'cleanpath': '/uscode/text/15/78cc'}, {'Title': '15', 'Section': '78dd', 'headtext': ' Foreign securities exchanges', 'cleanpath': '/uscode/text/15/78dd'}, {'Title': '15', 'Section': '78dd-1', 'headtext': ' Prohibited foreign trade practices by issuers', 'cleanpath': '/uscode/text/15/78dd-1'}, {'Title': '15', 'Section': '78dd-2', 'headtext': ' Prohibited foreign trade practices by domestic concerns', 'cleanpath': '/uscode/text/15/78dd-2'}, {'Title': '15', 'Section': '78dd-3', 'headtext': ' Prohibited foreign trade practices by persons other than issuers or domestic concerns', 'cleanpath': '/uscode/text/15/78dd-3'}, {'Title': '15', 'Section': '78ee', 'headtext': ' Transaction fees', 'cleanpath': '/uscode/text/15/78ee'}, {'Title': '15', 'Section': '78ff', 'headtext': ' Penalties', 'cleanpath': '/uscode/text/15/78ff'}, {'Title': '15', 'Section': '78gg', 'headtext': ' Separability', 'cleanpath': '/uscode/text/15/78gg'}, {'Title': '15', 'Section': '78hh', 'headtext': ' Effective date', 'cleanpath': '/uscode/text/15/78hh'}, {'Title': '15', 'Section': '78hh-1', 'headtext': ' Effective date of certain sections', 'cleanpath': '/uscode/text/15/78hh-1'}, {'Title': '15', 'Section': '78ii', 'headtext': ' Omitted', 'cleanpath': '/uscode/text/15/78ii'}, {'Title': '15', 'Section': '78jj', 'headtext': ' Repealed. Pub. L. 100–181, title III, §\u202f330, Dec. 4, 1987, 101 Stat. 1259', 'cleanpath': '/uscode/text/15/78jj'}, {'Title': '15', 'Section': '78kk', 'headtext': ' Authorization of appropriations', 'cleanpath': '/uscode/text/15/78kk'}, {'Title': '15', 'Section': '78ll', 'headtext': ' Requirements for the EDGAR system', 'cleanpath': '/uscode/text/15/78ll'}, {'Title': '15', 'Section': '78mm', 'headtext': ' General exemptive authority', 'cleanpath': '/uscode/text/15/78mm'}, {'Title': '15', 'Section': '78nn', 'headtext': ' Tennessee Valley Authority', 'cleanpath': '/uscode/text/15/78nn'}, {'Title': '15', 'Section': '78oo', 'headtext': ' Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks', 'cleanpath': '/uscode/text/15/78oo'}, {'Title': '15', 'Section': '78pp', 'headtext': ' Investor Advisory Committee', 'cleanpath': '/uscode/text/15/78pp'}], 'Statutes at Large': [], 'Public Laws': [], 'Presidential Documents': []}