e-CFR data is current as of January 19, 2021
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED) PART 242—REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
Regulation M
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| Preliminary note; definitions. |
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| Activities by distribution participants. |
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| Activities by issuers and selling security holders during a distribution. |
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| Nasdaq passive market making. |
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| Stabilizing and other activities in connection with an offering. |
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| Short selling in connection with a public offering. |
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Regulation SHO—Regulation of Short Sales
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| Definition of “short sale” and marking requirements. |
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| Borrowing and delivery requirements. |
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Regulation ATS—Alternative Trading Systems
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| Requirements for alternative trading systems. |
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| Recordkeeping requirements for alternative trading systems. |
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| Record preservation requirements for alternative trading systems. |
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Customer Margin Requirements for Security Futures
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| Customer margin requirements for security futures—authority, purpose, interpretation, and scope. |
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| Type, form and use of margin. |
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Regulation AC—Analyst Certification
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| Certifications in connection with research reports. |
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| Certifications in connection with public appearances. |
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| Certain foreign research reports. |
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| Notification to associated persons. |
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| Exclusion for news media. |
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Regulation NMS—Regulation of the National Market System
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| NMS security designation and definitions. |
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| Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks. |
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| Dissemination of quotations in NMS securities. |
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| Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks. |
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| Display of customer limit orders. |
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| Disclosure of order execution information. |
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| Disclosure of order routing information. |
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| Customer account statements. |
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| Filing and amendment of national market system plans. |
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| Registration of securities information processors: form of application and amendments. |
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| Equity transaction fee pilot. |
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| Minimum pricing increment. |
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| Consolidated audit trail. |
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Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information
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| Public dissemination of transaction reports. |
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| Operating hours of registered security-based swap data repositories. |
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| Correction of errors in security-based swap information. |
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| Other duties of participants. |
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| Policies and procedures of registered security-based swap data repositories. |
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| Registration of security-based swap data repository as a securities information processor. |
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Regulation SCI—Systems Compliance and Integrity
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| Obligations related to policies and procedures of SCI entities. |
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| Obligations related to SCI events. |
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| Obligations related to systems changes; SCI review. |
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| SCI entity business continuity and disaster recovery plans testing requirements for members or participants. |
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| Recordkeeping requirements related to compliance with Regulation SCI. |
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| Electronic filing and submission. |
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| Requirements for service bureaus. |
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