---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chII/part240"
level: "part"
label: "Part 240"
heading: "General Rules and Regulations, Securities Exchange Act of 1934"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chII-part240"
sections_count: 594
---

# Part 240 — General Rules and Regulations, Securities Exchange Act of 1934

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter II — Securities and Exchange Commission

## Sections

- [§240.12b-1. Scope of regulation.](/cfr/17/240.12b-1.md)
- [§240.12b-2. Definitions.](/cfr/17/240.12b-2.md)
- [§240.12b-3. Title of securities.](/cfr/17/240.12b-3.md)
- [§240.12b-4. Supplemental information.](/cfr/17/240.12b-4.md)
- [§240.12b-5. Determination of affiliates of banks.](/cfr/17/240.12b-5.md)
- [§240.12b-6. When securities are deemed to be registered.](/cfr/17/240.12b-6.md)
- [§240.12b-7. Reserved](/cfr/17/240.12b-7.md)
- [§240.12b-10. Requirements as to proper form.](/cfr/17/240.12b-10.md)
- [§240.12b-11. Number of copies; signatures; binding.](/cfr/17/240.12b-11.md)
- [§240.12b-12. Requirements as to paper, printing and language.](/cfr/17/240.12b-12.md)
- [§240.12b-13. Preparation of statement or report.](/cfr/17/240.12b-13.md)
- [§240.12b-14. Riders; inserts.](/cfr/17/240.12b-14.md)
- [§240.12b-15. Amendments.](/cfr/17/240.12b-15.md)
- [§240.12b-20. Additional information.](/cfr/17/240.12b-20.md)
- [§240.12b-21. Information unknown or not available.](/cfr/17/240.12b-21.md)
- [§240.12b-22. Disclaimer of control.](/cfr/17/240.12b-22.md)
- [§240.12b-23. Incorporation by reference.](/cfr/17/240.12b-23.md)
- [§240.12b-24. Reserved](/cfr/17/240.12b-24.md)
- [§240.12b-25. Notification of inability to timely file all or any required portion of a Form 10-K, 20-F, 11-K, N-CEN , N-CSR, 10-Q, or 10-D.](/cfr/17/240.12b-25.md)
- [§240.12b-30. Additional exhibits.](/cfr/17/240.12b-30.md)
- [§240.12b-31. Omission of substantially identical documents.](/cfr/17/240.12b-31.md)
- [§240.12b-32. Reserved](/cfr/17/240.12b-32.md)
- [§240.12b-33. Annual reports to other Federal agencies.](/cfr/17/240.12b-33.md)
- [§240.12b-35. Reserved](/cfr/17/240.12b-35.md)
- [§240.12b-36. Use of financial statements filed under other acts.](/cfr/17/240.12b-36.md)
- [§240.12b-37. Satisfaction of filing requirements.](/cfr/17/240.12b-37.md)
- [§240.12d1-1. Registration effective as to class or series.](/cfr/17/240.12d1-1.md)
- [§240.12d1-2. Effectiveness of registration.](/cfr/17/240.12d1-2.md)
- [§240.12d1-3. Requirements as to certification.](/cfr/17/240.12d1-3.md)
- [§240.12d1-4. Date of receipt of certification by Commission.](/cfr/17/240.12d1-4.md)
- [§240.12d1-5. Operation of certification on subsequent amendments.](/cfr/17/240.12d1-5.md)
- [§240.12d1-6. Withdrawal of certification.](/cfr/17/240.12d1-6.md)
- [§240.12d2-1. Suspension of trading.](/cfr/17/240.12d2-1.md)
- [§240.12d2-2. Removal from listing and registration.](/cfr/17/240.12d2-2.md)
- [§240.12f-1. Applications for permission to reinstate unlisted trading privileges.](/cfr/17/240.12f-1.md)
- [§240.12f-2. Extending unlisted trading privileges to a security that is the subject of an initial public offering.](/cfr/17/240.12f-2.md)
- [§240.12f-3. Termination or suspension of unlisted trading privileges.](/cfr/17/240.12f-3.md)
- [§240.12f-4. Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.](/cfr/17/240.12f-4.md)
- [§240.12f-5. Exchange rules for securities to which unlisted trading privileges are extended.](/cfr/17/240.12f-5.md)
- [§240.12f-6. Reserved](/cfr/17/240.12f-6.md)
- [§240.12g-1. Registration of securities; exemption from section 12(g).](/cfr/17/240.12g-1.md)
- [§240.12g-2. Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2)(A) or (B).](/cfr/17/240.12g-2.md)
- [§240.12g-3. Registration of securities of successor issuers under section 12(b) or 12(g).](/cfr/17/240.12g-3.md)
- [§240.12g-4. Certifications of termination of registration under section 12(g).](/cfr/17/240.12g-4.md)
- [§240.12g-6. Exemption for securities issued pursuant to section 4(a)(6) of the Securities Act of 1933 or Regulation Crowdfunding.](/cfr/17/240.12g-6.md)
- [§240.12g3-2. Exemptions for American depositary receipts and certain foreign securities.](/cfr/17/240.12g3-2.md)
- [§240.12g5-1. Definition of securities “held of record”.](/cfr/17/240.12g5-1.md)
- [§240.12g5-2. Definition of “total assets”.](/cfr/17/240.12g5-2.md)
- [§240.12h-1. Exemptions from registration under section 12(g) of the Act.](/cfr/17/240.12h-1.md)
- [§240.12h-2. Reserved](/cfr/17/240.12h-2.md)
- [§240.12h-3. Suspension of duty to file reports under section 15(d).](/cfr/17/240.12h-3.md)
- [§240.12h-4. Exemption from duty to file reports under section 15(d).](/cfr/17/240.12h-4.md)
- [§240.12h-5. Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.](/cfr/17/240.12h-5.md)
- [§240.12h-6. Certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).](/cfr/17/240.12h-6.md)
- [§240.12h-7. Exemption for issuers of securities that are subject to insurance regulation.](/cfr/17/240.12h-7.md)
- [§240.13a-1. Requirements of annual reports.](/cfr/17/240.13a-1.md)
- [§240.13a-2. Reserved](/cfr/17/240.13a-2.md)
- [§240.13a-3. Reporting by Form 40-F registrant.](/cfr/17/240.13a-3.md)
- [§240.13a-10. Transition reports.](/cfr/17/240.13a-10.md)
- [§240.13a-11. Current reports on Form 8-K (§ 249.308 of this chapter).](/cfr/17/240.13a-11.md)
- [§240.13a-13. Quarterly reports on Form 10-Q (§ 249.308a of this chapter).](/cfr/17/240.13a-13.md)
- [§240.13a-14. Certification of disclosure in annual and quarterly reports.](/cfr/17/240.13a-14.md)
- [§240.13a-15. Controls and procedures.](/cfr/17/240.13a-15.md)
- [§240.13a-16. Reports of foreign private issuers on Form 6-K (17 CFR 249.306).](/cfr/17/240.13a-16.md)
- [§240.13a-17. Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).](/cfr/17/240.13a-17.md)
- [§240.13a-18. Compliance with servicing criteria for asset-backed securities.](/cfr/17/240.13a-18.md)
- [§240.13a-19. Reports by shell companies on Form 20-F.](/cfr/17/240.13a-19.md)
- [§240.13a-20. Plain English presentation of specified information.](/cfr/17/240.13a-20.md)
- [§240.13a-21. Reserved](/cfr/17/240.13a-21.md)
- [§240.13b2-1. Falsification of accounting records.](/cfr/17/240.13b2-1.md)
- [§240.13b2-2. Representations and conduct in connection with the preparation of required reports and documents.](/cfr/17/240.13b2-2.md)
- [§240.13d-1. Filing of Schedules 13D and 13G.](/cfr/17/240.13d-1.md)
- [§240.13d-2. Filing of amendments to Schedules 13D or 13G.](/cfr/17/240.13d-2.md)
- [§240.13d-3. Determination of beneficial owner.](/cfr/17/240.13d-3.md)
- [§240.13d-4. Disclaimer of beneficial ownership.](/cfr/17/240.13d-4.md)
- [§240.13d-5. Acquisition of beneficial ownership.](/cfr/17/240.13d-5.md)
- [§240.13d-6. Exemption of certain acquisitions.](/cfr/17/240.13d-6.md)
- [§240.13d-7. Reserved](/cfr/17/240.13d-7.md)
- [§240.13d-101. Schedule 13D—Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).](/cfr/17/240.13d-101.md)
- [§240.13d-102. Schedule 13G—Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.](/cfr/17/240.13d-102.md)
- [§240.13e-1. Purchase of securities by the issuer during a third-party tender offer.](/cfr/17/240.13e-1.md)
- [§240.13e-2. Reserved](/cfr/17/240.13e-2.md)
- [§240.13e-3. Going private transactions by certain issuers or their affiliates.](/cfr/17/240.13e-3.md)
- [§240.13e-4. Tender offers by issuers.](/cfr/17/240.13e-4.md)
- [§240.13e-100. Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.](/cfr/17/240.13e-100.md)
- [§240.13e-101. Reserved](/cfr/17/240.13e-101.md)
- [§240.13e-102. Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.](/cfr/17/240.13e-102.md)
- [§240.13f-1. Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.](/cfr/17/240.13f-1.md)
- [§240.13f-2. Reporting by institutional investment managers regarding gross short position and activity information.](/cfr/17/240.13f-2.md)
- [§240.13h-1. Large trader reporting.](/cfr/17/240.13h-1.md)
- [§240.13k-1. Foreign bank exemption from the insider lending prohibition under section 13(k).](/cfr/17/240.13k-1.md)
- [§240.13n-1. Registration of security-based swap data repository.](/cfr/17/240.13n-1.md)
- [§240.13n-2. Withdrawal from registration; revocation and cancellation.](/cfr/17/240.13n-2.md)
- [§240.13n-3. Registration of successor to registered security-based swap data repository.](/cfr/17/240.13n-3.md)
- [§240.13n-4. Duties and core principles of security-based swap data repository.](/cfr/17/240.13n-4.md)
- [§240.13n-5. Data collection and maintenance.](/cfr/17/240.13n-5.md)
- [§240.13n-6. Automated systems.](/cfr/17/240.13n-6.md)
- [§240.13n-7. Recordkeeping of security-based swap data repository.](/cfr/17/240.13n-7.md)
- [§240.13n-8. Reports to be provided to the Commission.](/cfr/17/240.13n-8.md)
- [§240.13n-9. Privacy requirements of security-based swap data repository.](/cfr/17/240.13n-9.md)
- [§240.13n-10. Disclosure requirements of security-based swap data repository.](/cfr/17/240.13n-10.md)
- [§240.13n-11. Chief compliance officer of security-based swap data repository; compliance reports and financial reports.](/cfr/17/240.13n-11.md)
- [§240.13n-12. Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.](/cfr/17/240.13n-12.md)
- [§240.13p-1. Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.](/cfr/17/240.13p-1.md)
- [§240.13q-1. Disclosure of payments made by resource extraction issuers.](/cfr/17/240.13q-1.md)
- [§240.14a-1. Definitions.](/cfr/17/240.14a-1.md)
- [§240.14a-2. Solicitations to which § 240.14a-3 to § 240.14a-15 apply.](/cfr/17/240.14a-2.md)
- [§240.14a-3. Information to be furnished to security holders.](/cfr/17/240.14a-3.md)
- [§240.14a-4. Requirements as to proxy.](/cfr/17/240.14a-4.md)
- [§240.14a-5. Presentation of information in proxy statement.](/cfr/17/240.14a-5.md)
- [§240.14a-6. Filing requirements.](/cfr/17/240.14a-6.md)
- [§240.14a-7. Obligations of registrants to provide a list of, or mail soliciting material to, security holders.](/cfr/17/240.14a-7.md)
- [§240.14a-8. Shareholder proposals.](/cfr/17/240.14a-8.md)
- [§240.14a-9. False or misleading statements.](/cfr/17/240.14a-9.md)
- [§240.14a-10. Prohibition of certain solicitations.](/cfr/17/240.14a-10.md)
- [§240.14a-12. Solicitation before furnishing a proxy statement.](/cfr/17/240.14a-12.md)
- [§240.14a-13. Obligation of registrants in communicating with beneficial owners.](/cfr/17/240.14a-13.md)
- [§240.14a-14. Modified or superseded documents.](/cfr/17/240.14a-14.md)
- [§240.14a-15. Differential and contingent compensation in connection with roll-up transactions.](/cfr/17/240.14a-15.md)
- [§240.14a-16. Internet availability of proxy materials.](/cfr/17/240.14a-16.md)
- [§240.14a-17. Electronic shareholder forums.](/cfr/17/240.14a-17.md)
- [§240.14a-18. Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.](/cfr/17/240.14a-18.md)
- [§240.14a-19. Solicitation of proxies in support of director nominees other than the registrant's nominees.](/cfr/17/240.14a-19.md)
- [§240.14a-20. Shareholder approval of executive compensation of TARP recipients.](/cfr/17/240.14a-20.md)
- [§240.14a-21. Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.](/cfr/17/240.14a-21.md)
- [§240.14a-101. Schedule 14A. Information required in proxy statement.](/cfr/17/240.14a-101.md)
- [§240.14a-102. Reserved](/cfr/17/240.14a-102.md)
- [§240.14a-103. Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).](/cfr/17/240.14a-103.md)
- [§240.14a-104. Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a-6(n).](/cfr/17/240.14a-104.md)
- [§240.14Ad-1. Report of proxy voting record.](/cfr/17/240.14Ad-1.md)
- [§240.14b-1. Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.](/cfr/17/240.14b-1.md)
- [§240.14b-2. Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.](/cfr/17/240.14b-2.md)
- [§240.14c-1. Definitions.](/cfr/17/240.14c-1.md)
- [§240.14c-2. Distribution of information statement.](/cfr/17/240.14c-2.md)
- [§240.14c-3. Annual report to be furnished security holders.](/cfr/17/240.14c-3.md)
- [§240.14c-4. Presentation of information in information statement.](/cfr/17/240.14c-4.md)
- [§240.14c-5. Filing requirements.](/cfr/17/240.14c-5.md)
- [§240.14c-6. False or misleading statements.](/cfr/17/240.14c-6.md)
- [§240.14c-7. Providing copies of material for certain beneficial owners.](/cfr/17/240.14c-7.md)
- [§240.14c-101. Schedule 14C. Information required in information statement.](/cfr/17/240.14c-101.md)
- [§240.14d-1. Scope of and definitions applicable to Regulations 14D and 14E.](/cfr/17/240.14d-1.md)
- [§240.14d-2. Commencement of a tender offer.](/cfr/17/240.14d-2.md)
- [§240.14d-3. Filing and transmission of tender offer statement.](/cfr/17/240.14d-3.md)
- [§240.14d-4. Dissemination of tender offers to security holders.](/cfr/17/240.14d-4.md)
- [§240.14d-5. Dissemination of certain tender offers by the use of stockholder lists and security position listings.](/cfr/17/240.14d-5.md)
- [§240.14d-6. Disclosure of tender offer information to security holders.](/cfr/17/240.14d-6.md)
- [§240.14d-7. Additional withdrawal rights.](/cfr/17/240.14d-7.md)
- [§240.14d-8. Exemption from statutory pro rata requirements.](/cfr/17/240.14d-8.md)
- [§240.14d-9. Recommendation or solicitation by the subject company and others.](/cfr/17/240.14d-9.md)
- [§240.14d-10. Equal treatment of security holders.](/cfr/17/240.14d-10.md)
- [§240.14d-11. Subsequent offering period.](/cfr/17/240.14d-11.md)
- [§240.14d-100. Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.](/cfr/17/240.14d-100.md)
- [§240.14d-101. Schedule 14D-9.](/cfr/17/240.14d-101.md)
- [§240.14d-102. Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.](/cfr/17/240.14d-102.md)
- [§240.14d-103. Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.](/cfr/17/240.14d-103.md)
- [§240.14e-1. Unlawful tender offer practices.](/cfr/17/240.14e-1.md)
- [§240.14e-2. Position of subject company with respect to a tender offer.](/cfr/17/240.14e-2.md)
- [§240.14e-3. Transactions in securities on the basis of material, nonpublic information in the context of tender offers.](/cfr/17/240.14e-3.md)
- [§240.14e-4. Prohibited transactions in connection with partial tender offers.](/cfr/17/240.14e-4.md)
- [§240.14e-5. Prohibiting purchases outside of a tender offer.](/cfr/17/240.14e-5.md)
- [§240.14e-6. Repurchase offers by certain closed-end registered investment companies.](/cfr/17/240.14e-6.md)
- [§240.14e-7. Unlawful tender offer practices in connection with roll-ups.](/cfr/17/240.14e-7.md)
- [§240.14e-8. Prohibited conduct in connection with pre-commencement communications.](/cfr/17/240.14e-8.md)
- [§240.14f-1. Change in majority of directors.](/cfr/17/240.14f-1.md)
- [§240.14n-1. Filing of Schedule 14N.](/cfr/17/240.14n-1.md)
- [§240.14n-2. Filing of amendments to Schedule 14N.](/cfr/17/240.14n-2.md)
- [§240.14n-3. Dissemination.](/cfr/17/240.14n-3.md)
- [§240.14n-101. Schedule 14N—Information to be included in statements filed pursuant to § 240.14n-1 and amendments thereto filed pursuant to § 240.14n-2.](/cfr/17/240.14n-101.md)
- [§240.15a-1. Securities activities of OTC derivatives dealers.](/cfr/17/240.15a-1.md)
- [§240.15a-2. Exemption of certain securities of cooperative apartment houses from section 15(a).](/cfr/17/240.15a-2.md)
- [§240.15a-3. Reserved](/cfr/17/240.15a-3.md)
- [§240.15a-4. Forty-five day exemption from registration for certain members of national securities exchanges.](/cfr/17/240.15a-4.md)
- [§240.15a-5. Exemption of certain nonbank lenders.](/cfr/17/240.15a-5.md)
- [§240.15a-6. Exemption of certain foreign brokers or dealers.](/cfr/17/240.15a-6.md)
- [§240.15a-7 - 240.15a-9. 240.15a-7-240.15a-9 [Reserved]](/cfr/17/240.15a-7%20-%20240.15a-9.md)
- [§240.15a-10. Exemption of certain brokers or dealers with respect to security futures products.](/cfr/17/240.15a-10.md)
- [§240.15a-11. Reserved](/cfr/17/240.15a-11.md)
- [§240.15a-12. Exemption for certain security-based swap execution facilities from certain broker requirements.](/cfr/17/240.15a-12.md)
- [§240.15b1-1. Application for registration of brokers or dealers.](/cfr/17/240.15b1-1.md)
- [§240.15b1-2. Reserved](/cfr/17/240.15b1-2.md)
- [§240.15b1-3. Registration of successor to registered broker or dealer.](/cfr/17/240.15b1-3.md)
- [§240.15b1-4. Registration of fiduciaries.](/cfr/17/240.15b1-4.md)
- [§240.15b1-5. Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.](/cfr/17/240.15b1-5.md)
- [§240.15b1-6. Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.](/cfr/17/240.15b1-6.md)
- [§240.15b2-2. Inspection of newly registered brokers and dealers.](/cfr/17/240.15b2-2.md)
- [§240.15b3-1. Amendments to application.](/cfr/17/240.15b3-1.md)
- [§240.15b5-1. Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation.](/cfr/17/240.15b5-1.md)
- [§240.15b6-1. Withdrawal from registration.](/cfr/17/240.15b6-1.md)
- [§240.15b7-1. Compliance with qualification requirements of self-regulatory organizations.](/cfr/17/240.15b7-1.md)
- [§240.15b7-3T. Operational capability in a Year 2000 environment.](/cfr/17/240.15b7-3T.md)
- [§240.15b9-1. Exemption for certain exchange members.](/cfr/17/240.15b9-1.md)
- [§240.15b9-2. Exemption from SRO membership for OTC derivatives dealers.](/cfr/17/240.15b9-2.md)
- [§240.15b11-1. Registration by notice of security futures product broker-dealers.](/cfr/17/240.15b11-1.md)
- [§240.15c1-1. Definitions.](/cfr/17/240.15c1-1.md)
- [§240.15c1-2. Fraud and misrepresentation.](/cfr/17/240.15c1-2.md)
- [§240.15c1-3. Misrepresentation by brokers, dealers and municipal securities dealers as to registration.](/cfr/17/240.15c1-3.md)
- [§240.15c1-4. Reserved](/cfr/17/240.15c1-4.md)
- [§240.15c1-5. Disclosure of control.](/cfr/17/240.15c1-5.md)
- [§240.15c1-6. Disclosure of interest in distribution.](/cfr/17/240.15c1-6.md)
- [§240.15c1-7. Discretionary accounts.](/cfr/17/240.15c1-7.md)
- [§240.15c1-8. Sales at the market.](/cfr/17/240.15c1-8.md)
- [§240.15c1-9. Use of pro forma balance sheets.](/cfr/17/240.15c1-9.md)
- [§240.15c2-1. Hypothecation of customers' securities.](/cfr/17/240.15c2-1.md)
- [§240.15c2-3. Reserved](/cfr/17/240.15c2-3.md)
- [§240.15c2-4. Transmission or maintenance of payments received in connection with underwritings.](/cfr/17/240.15c2-4.md)
- [§240.15c2-5. Disclosure and other requirements when extending or arranging credit in certain transactions.](/cfr/17/240.15c2-5.md)
- [§240.15c2-6. Reserved](/cfr/17/240.15c2-6.md)
- [§240.15c2-7. Identification of quotations.](/cfr/17/240.15c2-7.md)
- [§240.15c2-8. Delivery of prospectus.](/cfr/17/240.15c2-8.md)
- [§240.15c2-11. Publication or submission of quotations without specified information.](/cfr/17/240.15c2-11.md)
- [§240.15c2-12. Municipal securities disclosure.](/cfr/17/240.15c2-12.md)
- [§240.15c3-1. Net capital requirements for brokers or dealers.](/cfr/17/240.15c3-1.md)
- [§240.15c3-1a. Options (Appendix A to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1a.md)
- [§240.15c3-1b. Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1b.md)
- [§240.15c3-1c. Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1c.md)
- [§240.15c3-1d. Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1d.md)
- [§240.15c3-1e. Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1e.md)
- [§240.15c3-1f. Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1f.md)
- [§240.15c3-1g. Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).](/cfr/17/240.15c3-1g.md)
- [§240.15c3-2. Reserved](/cfr/17/240.15c3-2.md)
- [§240.15c3-3. Customer protection—reserves and custody of securities.](/cfr/17/240.15c3-3.md)
- [§240.15c3-3a. Exhibit A—Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3.](/cfr/17/240.15c3-3a.md)
- [§240.15c3-3b. Exhibit B—Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.](/cfr/17/240.15c3-3b.md)
- [§240.15c3-4. Internal risk management control systems for OTC derivatives dealers.](/cfr/17/240.15c3-4.md)
- [§240.15c3-5. Risk management controls for brokers or dealers with market access.](/cfr/17/240.15c3-5.md)
- [§240.15c6-1. Settlement cycle.](/cfr/17/240.15c6-1.md)
- [§240.15c6-2. Same-day allocation, confirmation, and affirmation.](/cfr/17/240.15c6-2.md)
- [§240.15d-1. Requirement of annual reports.](/cfr/17/240.15d-1.md)
- [§240.15d-2. Special financial report.](/cfr/17/240.15d-2.md)
- [§240.15d-3. Reports for depositary shares registered on Form F-6.](/cfr/17/240.15d-3.md)
- [§240.15d-4. Reporting by Form 40-F registrants.](/cfr/17/240.15d-4.md)
- [§240.15d-5. Reporting by successor issuers.](/cfr/17/240.15d-5.md)
- [§240.15d-6. Suspension of duty to file reports.](/cfr/17/240.15d-6.md)
- [§240.15d-10. Transition reports.](/cfr/17/240.15d-10.md)
- [§240.15d-11. Current reports on Form 8-K (§ 249.308 of this chapter).](/cfr/17/240.15d-11.md)
- [§240.15d-13. Quarterly reports on Form 10-Q (§ 249.308 of this chapter).](/cfr/17/240.15d-13.md)
- [§240.15d-14. Certification of disclosure in annual and quarterly reports.](/cfr/17/240.15d-14.md)
- [§240.15d-15. Controls and procedures.](/cfr/17/240.15d-15.md)
- [§240.15d-16. Reports of foreign private issuers on Form 6-K [17 CFR 249.306].](/cfr/17/240.15d-16.md)
- [§240.15d-17. Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).](/cfr/17/240.15d-17.md)
- [§240.15d-18. Compliance with servicing criteria for asset-backed securities.](/cfr/17/240.15d-18.md)
- [§240.15d-19. Reports by shell companies on Form 20-F.](/cfr/17/240.15d-19.md)
- [§240.15d-20. Plain English presentation of specified information.](/cfr/17/240.15d-20.md)
- [§240.15d-21. Reports for employee stock purchase, savings and similar plans.](/cfr/17/240.15d-21.md)
- [§240.15d-22. Reporting regarding asset-backed securities under section 15(d) of the Act.](/cfr/17/240.15d-22.md)
- [§240.15d-23. Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.](/cfr/17/240.15d-23.md)
- [§240.15g-1. Exemptions for certain transactions.](/cfr/17/240.15g-1.md)
- [§240.15g-2. Penny stock disclosure document relating to the penny stock market.](/cfr/17/240.15g-2.md)
- [§240.15g-3. Broker or dealer disclosure of quotations and other information relating to the penny stock market.](/cfr/17/240.15g-3.md)
- [§240.15g-4. Disclosure of compensation to brokers or dealers.](/cfr/17/240.15g-4.md)
- [§240.15g-5. Disclosure of compensation of associated persons in connection with penny stock transactions.](/cfr/17/240.15g-5.md)
- [§240.15g-6. Account statements for penny stock customers.](/cfr/17/240.15g-6.md)
- [§240.15g-8. Sales of escrowed securities of blank check companies.](/cfr/17/240.15g-8.md)
- [§240.15g-9. Sales practice requirements for certain low-priced securities.](/cfr/17/240.15g-9.md)
- [§240.15g-100. Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.](/cfr/17/240.15g-100.md)
- [§240.15l-1. Regulation best interest.](/cfr/17/240.15l-1.md)
- [§240.15aa-1. Registration of a national or an affiliated securities association.](/cfr/17/240.15aa-1.md)
- [§240.15aa-2. Amendments and supplements to registration statements of securities associations.](/cfr/17/240.15aa-2.md)
- [§240.15Al2-1. Reserved](/cfr/17/240.15Al2-1.md)
- [§240.15Ba1-1. Definitions.](/cfr/17/240.15Ba1-1.md)
- [§240.15Ba1-2. Registration of municipal advisors and information regarding certain natural persons.](/cfr/17/240.15Ba1-2.md)
- [§240.15Ba1-3. Exemption of certain natural persons from registration under section 15B(a)(1)(B) of the Act.](/cfr/17/240.15Ba1-3.md)
- [§240.15Ba1-4. Withdrawal from municipal advisor registration.](/cfr/17/240.15Ba1-4.md)
- [§240.15Ba1-5. Amendments to Form MA and Form MA-I.](/cfr/17/240.15Ba1-5.md)
- [§240.15Ba1-6. Consent to service of process to be filed by non-resident municipal advisors; legal opinion to be provided by non-resident municipal advisors.](/cfr/17/240.15Ba1-6.md)
- [§240.15Ba1-7. Registration of successor to municipal advisor.](/cfr/17/240.15Ba1-7.md)
- [§240.15Ba1-8. Books and records to be made and maintained by municipal advisors.](/cfr/17/240.15Ba1-8.md)
- [§240.15Ba2-1. Application for registration of municipal securities dealers which are banks or separately identifiable departments or divisions of banks.](/cfr/17/240.15Ba2-1.md)
- [§240.15Ba2-2. Application for registration of non-bank municipal securities dealers whose business is exclusively intrastate.](/cfr/17/240.15Ba2-2.md)
- [§240.15Ba2-4. Registration of successor to registered municipal securities dealer.](/cfr/17/240.15Ba2-4.md)
- [§240.15Ba2-5. Registration of fiduciaries.](/cfr/17/240.15Ba2-5.md)
- [§240.15Ba2-6. Reserved](/cfr/17/240.15Ba2-6.md)
- [§240.15Bc3-1. Withdrawal from registration of municipal securities dealers.](/cfr/17/240.15Bc3-1.md)
- [§240.15Bc4-1. Persons associated with municipal advisors.](/cfr/17/240.15Bc4-1.md)
- [§240.15Bc7-1. Availability of examination reports.](/cfr/17/240.15Bc7-1.md)
- [§240.15Ca1-1. Notice of government securities broker-dealer activities.](/cfr/17/240.15Ca1-1.md)
- [§240.15Ca2-1. Application for registration as a government securities broker or government securities dealer.](/cfr/17/240.15Ca2-1.md)
- [§240.15Ca2-2. Reserved](/cfr/17/240.15Ca2-2.md)
- [§240.15Ca2-3. Registration of successor to registered government securities broker or government securities dealer.](/cfr/17/240.15Ca2-3.md)
- [§240.15Ca2-4. Registration of fiduciaries.](/cfr/17/240.15Ca2-4.md)
- [§240.15Ca2-5. Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.](/cfr/17/240.15Ca2-5.md)
- [§240.15Cc1-1. Withdrawal from registration of government securities brokers or government securities dealers.](/cfr/17/240.15Cc1-1.md)
- [§240.15Fb1-1. Signatures.](/cfr/17/240.15Fb1-1.md)
- [§240.15Fb2-1. Registration of security-based swap dealers and major security-based swap participants.](/cfr/17/240.15Fb2-1.md)
- [§240.15Fb2-3. Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.](/cfr/17/240.15Fb2-3.md)
- [§240.15Fb2-4. Nonresident security-based swap dealers and major security-based swap participants.](/cfr/17/240.15Fb2-4.md)
- [§240.15Fb2-5. Registration of successor to registered security-based swap dealer or a major security-based swap participant.](/cfr/17/240.15Fb2-5.md)
- [§240.15Fb2-6. Registration of fiduciaries.](/cfr/17/240.15Fb2-6.md)
- [§240.15Fb3-1. Duration of registration.](/cfr/17/240.15Fb3-1.md)
- [§240.15Fb3-2. Withdrawal from registration.](/cfr/17/240.15Fb3-2.md)
- [§240.15Fb3-3. Cancellation and revocation of registration.](/cfr/17/240.15Fb3-3.md)
- [§240.15Fb6-1. Reserved](/cfr/17/240.15Fb6-1.md)
- [§240.15Fb6-2. Associated person certification.](/cfr/17/240.15Fb6-2.md)
- [§240.15Fh-1. Scope and reliance on representations.](/cfr/17/240.15Fh-1.md)
- [§240.15Fh-2. Definitions.](/cfr/17/240.15Fh-2.md)
- [§240.15Fh-3. Business conduct requirements.](/cfr/17/240.15Fh-3.md)
- [§240.15fh-4. (Rule 15fh-4) Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.](/cfr/17/240.15fh-4.md)
- [§240.15Fh-5. Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.](/cfr/17/240.15Fh-5.md)
- [§240.15Fh-6. Political contributions by certain security-based swap dealers.](/cfr/17/240.15Fh-6.md)
- [§240.15Fi-1. Definitions.](/cfr/17/240.15Fi-1.md)
- [§240.15Fi-2. Acknowledgment and verification of security-based swap transactions.](/cfr/17/240.15Fi-2.md)
- [§240.15fi-3. Security-based swap portfolio reconciliation.](/cfr/17/240.15fi-3.md)
- [§240.15Fi-4. Security-based swap portfolio compression.](/cfr/17/240.15Fi-4.md)
- [§240.15Fi-5. Security-based swap trading relationship documentation.](/cfr/17/240.15Fi-5.md)
- [§240.15fk-1. Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.](/cfr/17/240.15fk-1.md)
- [§240.15Ga-1. Repurchases and replacements relating to asset-backed securities.](/cfr/17/240.15Ga-1.md)
- [§240.15Ga-2. Findings and conclusions of third-party due diligence reports.](/cfr/17/240.15Ga-2.md)
- [§240.16a-1. Definition of terms.](/cfr/17/240.16a-1.md)
- [§240.16a-2. Persons and transactions subject to section 16.](/cfr/17/240.16a-2.md)
- [§240.16a-3. Reporting transactions and holdings.](/cfr/17/240.16a-3.md)
- [§240.16a-4. Derivative securities.](/cfr/17/240.16a-4.md)
- [§240.16a-5. Odd-lot dealers.](/cfr/17/240.16a-5.md)
- [§240.16a-6. Small acquisitions.](/cfr/17/240.16a-6.md)
- [§240.16a-7. Transactions effected in connection with a distribution.](/cfr/17/240.16a-7.md)
- [§240.16a-8. Trusts.](/cfr/17/240.16a-8.md)
- [§240.16a-9. Stock splits, stock dividends, and pro rata rights.](/cfr/17/240.16a-9.md)
- [§240.16a-10. Exemptions under section 16(a).](/cfr/17/240.16a-10.md)
- [§240.16a-11. Dividend or interest reinvestment plans.](/cfr/17/240.16a-11.md)
- [§240.16a-12. Domestic relations orders.](/cfr/17/240.16a-12.md)
- [§240.16a-13. Change in form of beneficial ownership.](/cfr/17/240.16a-13.md)
- [§240.16b-1. Transactions approved by a regulatory authority.](/cfr/17/240.16b-1.md)
- [§240.16b-2. Reserved](/cfr/17/240.16b-2.md)
- [§240.16b-3. Transactions between an issuer and its officers or directors.](/cfr/17/240.16b-3.md)
- [§240.16b-4. Reserved](/cfr/17/240.16b-4.md)
- [§240.16b-5. Bona fide gifts and inheritance.](/cfr/17/240.16b-5.md)
- [§240.16b-6. Derivative securities.](/cfr/17/240.16b-6.md)
- [§240.16b-7. Mergers, reclassifications, and consolidations.](/cfr/17/240.16b-7.md)
- [§240.16b-8. Voting trusts.](/cfr/17/240.16b-8.md)
- [§240.16c-1. Brokers.](/cfr/17/240.16c-1.md)
- [§240.16c-2. Transactions effected in connection with a distribution.](/cfr/17/240.16c-2.md)
- [§240.16c-3. Exemption of sales of securities to be acquired.](/cfr/17/240.16c-3.md)
- [§240.16c-4. Derivative securities.](/cfr/17/240.16c-4.md)
- [§240.16e-1. Arbitrage transactions under section 16.](/cfr/17/240.16e-1.md)
- [§240.17a-1. Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board.](/cfr/17/240.17a-1.md)
- [§240.17a-2. Recordkeeping requirements relating to stabilizing activities.](/cfr/17/240.17a-2.md)
- [§240.17a-3. Records to be made by certain exchange members, brokers and dealers.](/cfr/17/240.17a-3.md)
- [§240.17a-4. Records to be preserved by certain exchange members, brokers and dealers.](/cfr/17/240.17a-4.md)
- [§240.17a-5. Reports to be made by certain brokers and dealers.](/cfr/17/240.17a-5.md)
- [§240.17a-6. Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents.](/cfr/17/240.17a-6.md)
- [§240.17a-7. Records of non-resident brokers and dealers.](/cfr/17/240.17a-7.md)
- [§240.17a-8. Financial recordkeeping and reporting of currency and foreign transactions.](/cfr/17/240.17a-8.md)
- [§240.17a-9T. Records to be made and retained by certain exchange members, brokers and dealers.](/cfr/17/240.17a-9T.md)
- [§240.17a-10. Report on revenue and expenses.](/cfr/17/240.17a-10.md)
- [§240.17a-11. Notification provisions for brokers and dealers.](/cfr/17/240.17a-11.md)
- [§240.17a-12. Reports to be made by certain OTC derivatives dealers.](/cfr/17/240.17a-12.md)
- [§240.17a-13. Quarterly security counts to be made by certain exchange members, brokers, and dealers.](/cfr/17/240.17a-13.md)
- [§240.17a-14. Form CRS, for preparation, filing and delivery of Form CRS.](/cfr/17/240.17a-14.md)
- [§240.17a-18. Reserved](/cfr/17/240.17a-18.md)
- [§240.17a-19. Form X-17A-19 Report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.](/cfr/17/240.17a-19.md)
- [§240.17a-21. Reports of the Municipal Securities Rulemaking Board.](/cfr/17/240.17a-21.md)
- [§240.17a-22. Supplemental material of registered clearing agencies.](/cfr/17/240.17a-22.md)
- [§240.17a-25. Electronic submission of securities transaction information by exchange members, brokers, and dealers.](/cfr/17/240.17a-25.md)
- [§240.17d-1. Examination for compliance with applicable financial responsibility rules.](/cfr/17/240.17d-1.md)
- [§240.17d-2. Program for allocation of regulatory responsibility.](/cfr/17/240.17d-2.md)
- [§240.17f-1. Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.](/cfr/17/240.17f-1.md)
- [§240.17f-2. Fingerprinting of securities industry personnel.](/cfr/17/240.17f-2.md)
- [§240.17g-1. Application for registration as a nationally recognized statistical rating organization.](/cfr/17/240.17g-1.md)
- [§240.17g-2. Records to be made and retained by nationally recognized statistical rating organizations.](/cfr/17/240.17g-2.md)
- [§240.17g-3. Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.](/cfr/17/240.17g-3.md)
- [§240.17g-4. Prevention of misuse of material nonpublic information.](/cfr/17/240.17g-4.md)
- [§240.17g-5. Conflicts of interest.](/cfr/17/240.17g-5.md)
- [§240.17g-6. Prohibited acts and practices.](/cfr/17/240.17g-6.md)
- [§240.17g-7. Disclosure requirements.](/cfr/17/240.17g-7.md)
- [§240.17g-8. Policies, procedures, and internal controls.](/cfr/17/240.17g-8.md)
- [§240.17g-9. Standards of training, experience, and competence for credit analysts.](/cfr/17/240.17g-9.md)
- [§240.17g-10. Certification of providers of third-party due diligence services in connection with asset-backed securities.](/cfr/17/240.17g-10.md)
- [§240.17h-1T. Risk assessment recordkeeping requirements for associated persons of brokers and dealers.](/cfr/17/240.17h-1T.md)
- [§240.17h-2T. Risk assessment reporting requirements for brokers and dealers.](/cfr/17/240.17h-2T.md)
- [§240.17ab2-1. Registration of clearing agencies.](/cfr/17/240.17ab2-1.md)
- [§240.17Ab2-2. Determinations affecting covered clearing agencies.](/cfr/17/240.17Ab2-2.md)
- [§240.17Ac2-1. Application for registration of transfer agents.](/cfr/17/240.17Ac2-1.md)
- [§240.17Ac2-2. Annual reporting requirement for registered transfer agents.](/cfr/17/240.17Ac2-2.md)
- [§240.17Ac3-1. Withdrawal from registration with the Commission.](/cfr/17/240.17Ac3-1.md)
- [§240.17Ad-1. Definitions.](/cfr/17/240.17Ad-1.md)
- [§240.17Ad-2. Turnaround, processing, and forwarding of items.](/cfr/17/240.17Ad-2.md)
- [§240.17Ad-3. Limitations on expansion.](/cfr/17/240.17Ad-3.md)
- [§240.17Ad-4. Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).](/cfr/17/240.17Ad-4.md)
- [§240.17Ad-5. Written inquiries and requests.](/cfr/17/240.17Ad-5.md)
- [§240.17Ad-6. Recordkeeping.](/cfr/17/240.17Ad-6.md)
- [§240.17ad-7. (Rule 17Ad-7) Record retention.](/cfr/17/240.17ad-7.md)
- [§240.17Ad-8. Securities position listings.](/cfr/17/240.17Ad-8.md)
- [§240.17Ad-9. Definitions.](/cfr/17/240.17Ad-9.md)
- [§240.17Ad-10. Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.](/cfr/17/240.17Ad-10.md)
- [§240.17Ad-11. Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.](/cfr/17/240.17Ad-11.md)
- [§240.17Ad-12. Safeguarding of funds and securities.](/cfr/17/240.17Ad-12.md)
- [§240.17Ad-13. Annual study and evaluation of internal accounting control.](/cfr/17/240.17Ad-13.md)
- [§240.17Ad-14. Tender agents.](/cfr/17/240.17Ad-14.md)
- [§240.17Ad-15. Signature guarantees.](/cfr/17/240.17Ad-15.md)
- [§240.17Ad-16. Notice of assumption or termination of transfer agent services.](/cfr/17/240.17Ad-16.md)
- [§240.17Ad-17. Lost securityholders and unresponsive payees.](/cfr/17/240.17Ad-17.md)
- [§240.17Ad-18. Year 2000 Reports to be made by certain transfer agents.](/cfr/17/240.17Ad-18.md)
- [§240.17Ad-19. Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.](/cfr/17/240.17Ad-19.md)
- [§240.17Ad-20. Issuer restrictions or prohibitions on ownership by securities intermediaries.](/cfr/17/240.17Ad-20.md)
- [§240.17Ad-21T. Operational capability in a Year 2000 environment.](/cfr/17/240.17Ad-21T.md)
- [§240.17ad-22. Standards for clearing agencies.](/cfr/17/240.17ad-22.md)
- [§240.17Ad-24. Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).](/cfr/17/240.17Ad-24.md)
- [§240.17ad-25. Clearing agency boards of directors and conflicts of interest.](/cfr/17/240.17ad-25.md)
- [§240.17ad-26. Recovery and orderly wind-down plans of covered clearing agencies.](/cfr/17/240.17ad-26.md)
- [§240.17Ad-27. Straight-through processing by clearing agencies that provide a central matching service.](/cfr/17/240.17Ad-27.md)
- [§240.18a-1. Net capital requirements for security-based swap dealers for which there is not a prudential regulator.](/cfr/17/240.18a-1.md)
- [§240.18a-1a. Options.](/cfr/17/240.18a-1a.md)
- [§240.18a-1b. Adjustments to net worth for certain commodities transactions.](/cfr/17/240.18a-1b.md)
- [§240.18a-1c. Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.](/cfr/17/240.18a-1c.md)
- [§240.18a-1d. Satisfactory Subordinated Loan Agreements.](/cfr/17/240.18a-1d.md)
- [§240.18a-2. Capital requirements for major security-based swap participants for which there is not a prudential regulator.](/cfr/17/240.18a-2.md)
- [§240.18a-3. Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.](/cfr/17/240.18a-3.md)
- [§240.18a-4. Segregation requirements for security-based swap dealers and major security-based swap participants.](/cfr/17/240.18a-4.md)
- [§240.18a-4a. Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.](/cfr/17/240.18a-4a.md)
- [§240.18a-5. Records to be made by certain security-based swap dealers and major security-based swap participants.](/cfr/17/240.18a-5.md)
- [§240.18a-6. Records to be preserved by certain security-based swap dealers and major security-based swap participants.](/cfr/17/240.18a-6.md)
- [§240.18a-7. Reports to be made by certain security-based swap dealers and major security-based swap participants.](/cfr/17/240.18a-7.md)
- [§240.18a-8. Notification provisions for security-based swap dealers and major security-based swap participants.](/cfr/17/240.18a-8.md)
- [§240.18a-9. Quarterly security counts to be made by certain security-based swap dealers.](/cfr/17/240.18a-9.md)
- [§240.18a-10. Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.](/cfr/17/240.18a-10.md)
- [§240.19a3-1. Reserved](/cfr/17/240.19a3-1.md)
- [§240.19b-3. Reserved](/cfr/17/240.19b-3.md)
- [§240.19b-4. Filings with respect to proposed rule changes by self-regulatory organizations.](/cfr/17/240.19b-4.md)
- [§240.19b-5. Temporary exemption from the filing requirements of Section 19(b) of the Act.](/cfr/17/240.19b-5.md)
- [§240.19b-7. Filings with respect to proposed rule changes submitted pursuant to Section 19(b)(7) of the Act.](/cfr/17/240.19b-7.md)
- [§240.19c-1. Governing certain off-board agency transactions by members of national securities exchanges.](/cfr/17/240.19c-1.md)
- [§240.19c-3. Governing off-board trading by members of national securities exchanges.](/cfr/17/240.19c-3.md)
- [§240.19c-4. Governing certain listing or authorization determinations by national securities exchanges and associations.](/cfr/17/240.19c-4.md)
- [§240.19c-5. Governing the multiple listing of options on national securities exchanges.](/cfr/17/240.19c-5.md)
- [§240.19d-1. Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions.](/cfr/17/240.19d-1.md)
- [§240.19d-2. Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization.](/cfr/17/240.19d-2.md)
- [§240.19d-3. Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations.](/cfr/17/240.19d-3.md)
- [§240.19d-4. Notice by the Public Company Accounting Oversight Board of disapproval of registration or of disciplinary action.](/cfr/17/240.19d-4.md)
- [§240.19g2-1. Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder.](/cfr/17/240.19g2-1.md)
- [§240.19h-1. Notice by a self-regulatory organization of proposed admission to or continuance in membership or participation or association with a member of any person subject to a statutory disqualification, and applications to the Commission for relief therefrom.](/cfr/17/240.19h-1.md)
- [§240.21F-1. General.](/cfr/17/240.21F-1.md)
- [§240.21F-2. Whistleblower status, award eligibility, confidentiality, and retaliation protections.](/cfr/17/240.21F-2.md)
- [§240.21F-3. Payment of awards.](/cfr/17/240.21F-3.md)
- [§240.21F-4. Other definitions.](/cfr/17/240.21F-4.md)
- [§240.21F-5. Amount of award.](/cfr/17/240.21F-5.md)
- [§240.21F-6. Criteria for determining amount of award.](/cfr/17/240.21F-6.md)
- [§240.21F-7. Confidentiality of submissions.](/cfr/17/240.21F-7.md)
- [§240.21F-8. Eligibility and forms.](/cfr/17/240.21F-8.md)
- [§240.21F-9. Procedures for submitting original information.](/cfr/17/240.21F-9.md)
- [§240.21F-10. Procedures for making a claim for a whistleblower award in SEC actions that result in monetary sanctions in excess of $1,000,000.](/cfr/17/240.21F-10.md)
- [§240.21F-11. Procedures for determining awards based upon a related action.](/cfr/17/240.21F-11.md)
- [§240.21F-12. Materials that may form the basis of an award determination and that may comprise the record on appeal.](/cfr/17/240.21F-12.md)
- [§240.21F-13. Appeals.](/cfr/17/240.21F-13.md)
- [§240.21F-14. Procedures applicable to the payment of awards.](/cfr/17/240.21F-14.md)
- [§240.21F-15. No amnesty.](/cfr/17/240.21F-15.md)
- [§240.21F-16. Awards to whistleblowers who engage in culpable conduct.](/cfr/17/240.21F-16.md)
- [§240.21F-17. Staff communications with individuals reporting possible securities law violations.](/cfr/17/240.21F-17.md)
- [§240.21F-18. Summary disposition.](/cfr/17/240.21F-18.md)
- [§240.24b-1. Documents to be kept public by exchanges.](/cfr/17/240.24b-1.md)
- [§240.24b-2. Nondisclosure of information filed with the Commission and with any exchange.](/cfr/17/240.24b-2.md)
- [§240.24b-3. Information filed by issuers and others under sections 12, 13, 14, and 16.](/cfr/17/240.24b-3.md)
- [§240.24c-1. Access to nonpublic information.](/cfr/17/240.24c-1.md)
- [§240.31. Section 31 transaction fees.](/cfr/17/240.31.md)
- [§240.31T. Temporary rule regarding fiscal year 2004.](/cfr/17/240.31T.md)
- [§240.36a1-1. Exemption from Section 7 for OTC derivatives dealers.](/cfr/17/240.36a1-1.md)
- [§240.36a1-2. Exemption from SIPA for OTC derivatives dealers.](/cfr/17/240.36a1-2.md)

## Contents

- [Subpart A — Rules and Regulations Under the Securities Exchange Act of 1934](/cfr/17/chII-part240-subpartA.md)
- [Subpart B — Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]](/cfr/17/chII-part240-subpartB.md)