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The Code of Federal Regulations (CFR) annual edition is the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government produced by the Office of the Federal Register (OFR) and the Government Publishing Office.

Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code
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Electronic Code of Federal Regulations

Electronic Code of Federal Regulations

e-CFR data is current as of November 25, 2015

Title 17Chapter IIPart 242

TITLE 17—Commodity and Securities Exchanges




Regulation M

Preliminary note; definitions.
Activities by distribution participants.
Activities by issuers and selling security holders during a distribution.
Nasdaq passive market making.
Stabilizing and other activities in connection with an offering.
Short selling in connection with a public offering.

Regulation SHO—Regulation of Short Sales

Definition of “short sale” and marking requirements.
Circuit breaker.
Borrowing and delivery requirements.
Close-out requirement.

Regulation ATS—Alternative Trading Systems

Requirements for alternative trading systems.
Recordkeeping requirements for alternative trading systems.
Record preservation requirements for alternative trading systems.

Customer Margin Requirements for Security Futures

Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
General provisions.
Required margin.
Type, form and use of margin.
Withdrawal of margin.
Undermargined accounts.

Regulation AC—Analyst Certification

Certifications in connection with research reports.
Certifications in connection with public appearances.
Certain foreign research reports.
Notification to associated persons.
Exclusion for news media.

Regulation NMS—Regulation of the National Market System

NMS security designation and definitions.
Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
Dissemination of quotations in NMS securities.
Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.
Display of customer limit orders.
Disclosure of order execution information.
Disclosure of order routing information.
Customer account statements.
Filing and amendment of national market system plans.
Registration of securities information processors: form of application and amendments.
Access to quotations.
Order protection rule.
Minimum pricing increment.
Consolidated audit trail.

Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information

Reporting obligations.
Public dissemination of transaction reports.
Coded information.
Operating hours of registered security-based swap data repositories.
Correction of errors in security-based swap information.
Other duties of participants.
Policies and procedures of registered security-based swap data repositories.
Cross-border matters.
Registration of security-based swap data repository as a securities information processor.

Regulation SCI—Systems Compliance and Integrity

Obligations related to policies and procedures of SCI entities.
Obligations related to SCI events.
Obligations related to systems changes; SCI review.
SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
Recordkeeping requirements related to compliance with Regulation SCI.
Electronic filing and submission.
Requirements for service bureaus.

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