15 U.S. Code CHAPTER 2B— SECURITIES EXCHANGES

  1. § 78a. Short title
  2. § 78b. Necessity for regulation
  3. § 78c. Definitions and application
  4. § 78c–1. Swap agreements
  5. § 78c–2. Securities-related derivatives
  6. § 78c–3. Clearing for security-based swaps
  7. § 78c–4. Security-based swap execution facilities
  8. § 78c–5. Segregation of assets held as collateral in security-based swap transactions
  9. § 78d. Securities and Exchange Commission
  10. § 78d–1. Delegation of functions by Commission
  11. § 78d–2. Transfer of functions with respect to assignment of personnel to chairman
  12. § 78d–3. Appearance and practice before the Commission
  13. § 78d–4. Additional duties of Inspector General
  14. § 78d–5. Deadline for completing enforcement investigations and compliance examinations and inspections
  15. § 78d–6. Report and certification of internal supervisory controls
  16. § 78d–7. Triennial report on personnel management
  17. § 78d–8. Annual financial controls audit
  18. § 78d–9. Report on oversight of national securities associations
  19. § 78e. Transactions on unregistered exchanges
  20. § 78f. National securities exchanges
  21. § 78g. Margin requirements
  22. § 78h. Restrictions on borrowing and lending by members, brokers, and dealers
  23. § 78i. Manipulation of security prices
  24. § 78j. Manipulative and deceptive devices
  25. § 78j–1. Audit requirements
  26. § 78j–2. Position limits and position accountability for security-based swaps and large trader reporting
  27. § 78j–3. Compensation committees
  28. § 78j–4. Recovery of erroneously awarded compensation policy
  29. § 78k. Trading by members of exchanges, brokers, and dealers
  30. § 78k–1. National market system for securities; securities information processors
  31. § 78l. Registration requirements for securities
  32. § 78l–1. Applications for unlisted trading privileges deemed filed under section 78l of this title
  33. § 78m. Periodical and other reports
  34. § 78m–1. Reporting and recordkeeping for certain security-based swaps
  35. § 78m–2. Reporting requirements regarding coal or other mine safety
  36. § 78n. Proxies
  37. § 78n–1. Shareholder approval of executive compensation
  38. § 78n–2. Corporate governance
  39. § 78o. Registration and regulation of brokers and dealers
  40. § 78o–1. Brokers deemed to be registered
  41. § 78o–2. Liabilities arising prior to amendment unaffected
  42. § 78o–3. Registered securities associations
  43. § 78o–4. Municipal securities
  44. § 78o–4a. Commission Office of Municipal Securities
  45. § 78o–5. Government securities brokers and dealers
  46. § 78o–6. Securities analysts and research reports
  47. § 78o–7. Registration of nationally recognized statistical rating organizations
  48. § 78o–8. Universal ratings symbols
  49. § 78o–9. Study and rulemaking on assigned credit ratings
  50. § 78o–10. Registration and regulation of security-based swap dealers and major security-based swap participants
  51. § 78o–11. Credit risk retention
  52. § 78p. Directors, officers, and principal stockholders
  53. § 78q. Records and reports
  54. § 78q–1. National system for clearance and settlement of securities transactions
  55. § 78q–2. Automated quotation systems for penny stocks
  56. § 78r. Liability for misleading statements
  57. § 78s. Registration, responsibilities, and oversight of self-regulatory organizations
  58. § 78t. Liability of controlling persons and persons who aid and abet violations
  59. § 78t–1. Liability to contemporaneous traders for insider trading
  60. § 78u. Investigations and actions
  61. § 78u–1. Civil penalties for insider trading
  62. § 78u–2. Civil remedies in administrative proceedings
  63. § 78u–3. Cease-and-desist proceedings
  64. § 78u–4. Private securities litigation
  65. § 78u–5. Application of safe harbor for forward-looking statements
  66. § 78u–6. Securities whistleblower incentives and protection
  67. § 78u–7. Implementation and transition provisions for whistleblower protection
  68. § 78v. Hearings by Commission
  69. § 78w. Rules, regulations, and orders; annual reports
  70. § 78x. Public availability of information
  71. § 78y. Court review of orders and rules
  72. § 78z. Unlawful representations
  73. § 78aa. Jurisdiction of offenses and suits
  74. § 78aa–1. Special provision relating to statute of limitations on private causes of action
  75. § 78bb. Effect on existing law
  76. § 78cc. Validity of contracts
  77. § 78dd. Foreign securities exchanges
  78. § 78dd–1. Prohibited foreign trade practices by issuers
  79. § 78dd–2. Prohibited foreign trade practices by domestic concerns
  80. § 78dd–3. Prohibited foreign trade practices by persons other than issuers or domestic concerns
  81. § 78ee. Transaction fees
  82. § 78ff. Penalties
  83. § 78gg. Separability
  84. § 78hh. Effective date
  85. § 78hh–1. Effective date of certain sections
  86. § 78ii. Omitted
  87. § 78jj. Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259
  88. § 78kk. Authorization of appropriations
  89. § 78ll. Requirements for the EDGAR system
  90. § 78mm. General exemptive authority
  91. § 78nn. Tennessee Valley Authority
  92. § 78oo. Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
  93. § 78pp. Investor Advisory Committee
  94. § 78qq. Small Business Capital Formation Advisory Committee