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Electronic Code of Federal Regulations

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e-CFR Data is current as of October 22, 2014

Title 17Chapter IIPart 242


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 242—REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

rule

Regulation M

§242.100
Preliminary note; definitions.
§242.101
Activities by distribution participants.
§242.102
Activities by issuers and selling security holders during a distribution.
§242.103
Nasdaq passive market making.
§242.104
Stabilizing and other activities in connection with an offering.
§242.105
Short selling in connection with a public offering.

Regulation SHO—Regulation of Short Sales

§242.200
Definition of “short sale” and marking requirements.
§242.201
Circuit breaker.
§242.203
Borrowing and delivery requirements.
§242.204
Close-out requirement.

Regulation ATS—Alternative Trading Systems

§242.300
Definitions.
§242.301
Requirements for alternative trading systems.
§242.302
Recordkeeping requirements for alternative trading systems.
§242.303
Record preservation requirements for alternative trading systems.

Customer Margin Requirements for Security Futures

§242.400
Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
§242.401
Definitions.
§242.402
General provisions.
§242.403
Required margin.
§242.404
Type, form and use of margin.
§242.405
Withdrawal of margin.
§242.406
Undermargined accounts.

Regulation AC—Analyst Certification

§242.500
Definitions.
§242.501
Certifications in connection with research reports.
§242.502
Certifications in connection with public appearances.
§242.503
Certain foreign research reports.
§242.504
Notification to associated persons.
§242.505
Exclusion for news media.

Regulation NMS—Regulation of the National Market System

§242.600
NMS security designation and definitions.
§242.601
Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
§242.602
Dissemination of quotations in NMS securities.
§242.603
Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.
§242.604
Display of customer limit orders.
§242.605
Disclosure of order execution information.
§242.606
Disclosure of order routing information.
§242.607
Customer account statements.
§242.608
Filing and amendment of national market system plans.
§242.609
Registration of securities information processors: form of application and amendments.
§242.610
Access to quotations.
§242.611
Order protection rule.
§242.612
Minimum pricing increment.
§242.613
Consolidated audit trail.


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