--- kind: "unit" title: "17" title_heading: "Commodity and Securities Exchanges" key: "chII/part242" level: "part" label: "Part 242" heading: "Regulations M, Sho, Ats, Ac, Nms, Se, and Sbsr, and Customer Margin Requirements for Security Futures" release: "ecfr-current" date: "2026-08-27" url: "https://uscodex.org/cfr/17/chII-part242" sections_count: 97 --- # Part 242 — Regulations M, Sho, Ats, Ac, Nms, Se, and Sbsr, and Customer Margin Requirements for Security Futures Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter II — Securities and Exchange Commission ## Sections - [§242.100. Preliminary note; definitions.](/cfr/17/242.100.md) - [§242.101. Activities by distribution participants.](/cfr/17/242.101.md) - [§242.102. Activities by issuers and selling security holders during a distribution.](/cfr/17/242.102.md) - [§242.103. Nasdaq passive market making.](/cfr/17/242.103.md) - [§242.104. Stabilizing and other activities in connection with an offering.](/cfr/17/242.104.md) - [§242.105. Short selling in connection with a public offering.](/cfr/17/242.105.md) - [§242.200. Definition of “short sale” and marking requirements.](/cfr/17/242.200.md) - [§242.201. Circuit breaker.](/cfr/17/242.201.md) - [§242.203. Borrowing and delivery requirements.](/cfr/17/242.203.md) - [§242.204. Close-out requirement.](/cfr/17/242.204.md) - [§242.300. Definitions.](/cfr/17/242.300.md) - [§242.301. Requirements for alternative trading systems.](/cfr/17/242.301.md) - [§242.302. Recordkeeping requirements for alternative trading systems.](/cfr/17/242.302.md) - [§242.303. Record preservation requirements for alternative trading systems.](/cfr/17/242.303.md) - [§242.304. NMS Stock ATSs.](/cfr/17/242.304.md) - [§242.400. Customer margin requirements for security futures—authority, purpose, interpretation, and scope.](/cfr/17/242.400.md) - [§242.401. Definitions.](/cfr/17/242.401.md) - [§242.402. General provisions.](/cfr/17/242.402.md) - [§242.403. Required margin.](/cfr/17/242.403.md) - [§242.404. Type, form and use of margin.](/cfr/17/242.404.md) - [§242.405. Withdrawal of margin.](/cfr/17/242.405.md) - [§242.406. Undermargined accounts.](/cfr/17/242.406.md) - [§242.500. Definitions.](/cfr/17/242.500.md) - [§242.501. Certifications in connection with research reports.](/cfr/17/242.501.md) - [§242.502. Certifications in connection with public appearances.](/cfr/17/242.502.md) - [§242.503. Certain foreign research reports.](/cfr/17/242.503.md) - [§242.504. Notification to associated persons.](/cfr/17/242.504.md) - [§242.505. Exclusion for news media.](/cfr/17/242.505.md) - [§242.600. NMS security designation and definitions.](/cfr/17/242.600.md) - [§242.601. Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.](/cfr/17/242.601.md) - [§242.602. Dissemination of quotations in NMS securities.](/cfr/17/242.602.md) - [§242.603. Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.](/cfr/17/242.603.md) - [§242.604. Display of customer limit orders.](/cfr/17/242.604.md) - [§242.605. Disclosure of order execution information.](/cfr/17/242.605.md) - [§242.606. Disclosure of order routing information.](/cfr/17/242.606.md) - [§242.607. Customer account statements.](/cfr/17/242.607.md) - [§242.608. Filing and amendment of national market system plans.](/cfr/17/242.608.md) - [§242.609. Registration of securities information processors: form of application and amendments.](/cfr/17/242.609.md) - [§242.610. Access to quotations.](/cfr/17/242.610.md) - [§242.611. Order protection rule.](/cfr/17/242.611.md) - [§242.612. Minimum pricing increment.](/cfr/17/242.612.md) - [§242.613. Consolidated audit trail.](/cfr/17/242.613.md) - [§242.614. Registration and responsibilities of competing consolidators.](/cfr/17/242.614.md) - [§242.800. Scope.](/cfr/17/242.800.md) - [§242.801. Applicable provisions.](/cfr/17/242.801.md) - [§242.802. Definitions.](/cfr/17/242.802.md) - [§242.803. Requirements and procedures for registration.](/cfr/17/242.803.md) - [§242.804. Listing products for trading by certification.](/cfr/17/242.804.md) - [§242.805. Voluntary submission of new products for Commission review and approval.](/cfr/17/242.805.md) - [§242.806. Voluntary submission of rules for Commission review and approval.](/cfr/17/242.806.md) - [§242.807. Self-certification of rules.](/cfr/17/242.807.md) - [§242.808. Availability of public information.](/cfr/17/242.808.md) - [§242.809. Staying of certification and tolling of review period pending jurisdictional determination.](/cfr/17/242.809.md) - [§242.810. Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.](/cfr/17/242.810.md) - [§242.811. Information relating to security-based swap execution facility compliance.](/cfr/17/242.811.md) - [§242.812. Enforceability.](/cfr/17/242.812.md) - [§242.813. Prohibited use of data collected for regulatory purposes.](/cfr/17/242.813.md) - [§242.814. Entity operating both a national securities exchange and security-based swap execution facility.](/cfr/17/242.814.md) - [§242.815. Methods of execution for Required and Permitted Transactions.](/cfr/17/242.815.md) - [§242.816. Trade execution requirement and exemptions therefrom.](/cfr/17/242.816.md) - [§242.817. Trade execution compliance schedule.](/cfr/17/242.817.md) - [§242.818. Core Principle 1—Compliance with core principles.](/cfr/17/242.818.md) - [§242.819. Core Principle 2—Compliance with rules.](/cfr/17/242.819.md) - [§242.820. Core Principle 3—Security-based swaps not readily susceptible to manipulation.](/cfr/17/242.820.md) - [§242.821. Core Principle 4—Monitoring of trading and trade processing.](/cfr/17/242.821.md) - [§242.822. Core Principle 5—Ability to obtain information.](/cfr/17/242.822.md) - [§242.823. Core Principle 6—Financial integrity of transactions.](/cfr/17/242.823.md) - [§242.824. Core Principle 7—Emergency authority.](/cfr/17/242.824.md) - [§242.825. Core Principle 8—Timely publication of trading information.](/cfr/17/242.825.md) - [§242.826. Core Principle 9—Recordkeeping and reporting.](/cfr/17/242.826.md) - [§242.827. Core Principle 10—Antitrust considerations.](/cfr/17/242.827.md) - [§242.828. Core Principle 11—Conflicts of interest.](/cfr/17/242.828.md) - [§242.829. Core Principle 12—Financial resources.](/cfr/17/242.829.md) - [§242.830. Core Principle 13—System safeguards.](/cfr/17/242.830.md) - [§242.831. Core Principle 14—Designation of chief compliance officer.](/cfr/17/242.831.md) - [§242.832. Application of the trade execution requirement to cross-border security-based swap transactions.](/cfr/17/242.832.md) - [§242.833. Cross-border exemptions.](/cfr/17/242.833.md) - [§242.834. Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.](/cfr/17/242.834.md) - [§242.835. Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.](/cfr/17/242.835.md) - [§242.900. Definitions.](/cfr/17/242.900.md) - [§242.901. Reporting obligations.](/cfr/17/242.901.md) - [§242.902. Public dissemination of transaction reports.](/cfr/17/242.902.md) - [§242.903. Coded information.](/cfr/17/242.903.md) - [§242.904. Operating hours of registered security-based swap data repositories.](/cfr/17/242.904.md) - [§242.905. Correction of errors in security-based swap information.](/cfr/17/242.905.md) - [§242.906. Other duties of participants.](/cfr/17/242.906.md) - [§242.907. Policies and procedures of registered security-based swap data repositories.](/cfr/17/242.907.md) - [§242.908. Cross-border matters.](/cfr/17/242.908.md) - [§242.909. Registration of security-based swap data repository as a securities information processor.](/cfr/17/242.909.md) ## Contents - [Subpart ECFRe106e84e67e2bc9 — Regulation SCI—Systems Compliance and Integrity](/cfr/17/chII-part242-subpartECFRe106e84e67e2bc9.md)