Chapter 2B — Securities Exchanges

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• §78a Short title
• §78b Necessity for regulation
• §78c Definitions and application
• §78c–1 Swap agreements
• §78c–2 Securities-related derivatives
• §78c–3 Clearing for security-based swaps
• §78c–4 Security-based swap execution facilities
• §78c–5 Segregation of assets held as collateral in security-based swap transactions
• §78d Securities and Exchange Commission
• §78d–1 Delegation of functions by Commission
• §78d–2 Transfer of functions with respect to assignment of personnel to chairman
• §78d–3 Appearance and practice before the Commission
• §78d–4 Additional duties of Inspector General
• §78d–5 Deadline for completing enforcement investigations and compliance examinations and inspections
• §78d–6 Report and certification of internal supervisory controls
• §78d–7 Triennial report on personnel management
• §78d–8 Annual financial controls audit
• §78d–9 Report on oversight of national securities associations
• §78e Transactions on unregistered exchanges
• §78f National securities exchanges
• §78g Margin requirements
• §78h Restrictions on borrowing and lending by members, brokers, and dealers
• §78i Manipulation of security prices
• §78j Manipulative and deceptive devices
• §78j–1 Audit requirements
• §78j–2 Position limits and position accountability for security-based swaps and large trader reporting
• §78j–3 Compensation committees
• §78j–4 Recovery of erroneously awarded compensation policy
• §78k Trading by members of exchanges, brokers, and dealers
• §78k–1 National market system for securities; securities information processors
• §78l Registration requirements for securities
• §78l–1 Applications for unlisted trading privileges deemed filed under
• §78m Periodical and other reports
• §78m–1 Reporting and recordkeeping for certain security-based swaps
• §78m–2 Reporting requirements regarding coal or other mine safety
• §78n Proxies
• §78n–1 Shareholder approval of executive compensation
• §78n–2 Corporate governance
• §78o Registration and regulation of brokers and dealers
• §78o–1 Brokers deemed to be registered
• §78o–2 Liabilities arising prior to amendment unaffected
• §78o–3 Registered securities associations
• §78o–4 Municipal securities
• §78o–4a Commission Office of Municipal Securities
• §78o–5 Government securities brokers and dealers
• §78o–6 Securities analysts and research reports
• §78o–7 Registration of nationally recognized statistical rating organizations
• §78o–8 Universal ratings symbols
• §78o–9 Study and rulemaking on assigned credit ratings
• §78o–10 Registration and regulation of security-based swap dealers and major security-based swap participants
• §78o–11 Credit risk retention
• §78p Directors, officers, and principal stockholders
• §78q Records and reports
• §78q–1 National system for clearance and settlement of securities transactions
• §78q–2 Automated quotation systems for penny stocks
• §78r Liability for misleading statements
• §78s Registration, responsibilities, and oversight of self-regulatory organizations
• §78t Liability of controlling persons and persons who aid and abet violations
• §78t–1 Liability to contemporaneous traders for insider trading
• §78u Investigations and actions
• §78u–1 Civil penalties for insider trading
• §78u–2 Civil remedies in administrative proceedings
• §78u–3 Cease-and-desist proceedings
• §78u–4 Private securities litigation
• §78u–5 Application of safe harbor for forward-looking statements
• §78u–6 Securities whistleblower incentives and protection
• §78u–7 Implementation and transition provisions for whistleblower protection
• §78v Hearings by Commission
• §78w Rules, regulations, and orders; annual reports
• §78x Public availability of information
• §78y Court review of orders and rules
• §78z Unlawful representations
• §78aa Jurisdiction of offenses and suits
• §78aa–1 Special provision relating to statute of limitations on private causes of action
• §78bb Effect on existing law
• §78cc Validity of contracts
• §78dd Foreign securities exchanges
• §78dd–1 Prohibited foreign trade practices by issuers
• §78dd–2 Prohibited foreign trade practices by domestic concerns
• §78dd–3 Prohibited foreign trade practices by persons other than issuers or domestic concerns
• §78ee Transaction fees
• §78ff Penalties
• §78gg Separability
• §78hh Effective date
• §78hh–1 Effective date of certain sections
• §78ii Omitted
• §78jj Repealed.
• §78kk Authorization of appropriations
• §78ll Requirements for the EDGAR system
• §78mm General exemptive authority
• §78nn Tennessee Valley Authority
• §78oo Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
• §78pp Investor Advisory Committee
• §78qq Small Business Capital Formation Advisory Committee
• §78rr Data standards for security-based swap reporting