e-CFR data is current as of April 20, 2021
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
Part | Table of Contents | Headings | |
---|
|
|
ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
|
|
|
|
INFORMAL AND OTHER PROCEDURES
|
|
|
|
RULES RELATING TO INVESTIGATIONS
|
|
|
|
RULES RELATING TO DEBT COLLECTION
|
|
|
|
STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER
|
|
|
|
FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
|
|
|
|
FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
|
|
|
|
INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS
|
|
|
|
REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS
|
|
|
|
STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K
|
|
|
|
GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER
|
|
|
|
REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
|
|
|
|
FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
|
|
|
|
GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER
|
|
|
|
REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
|
|
|
|
REGULATION BLACKOUT TRADING RESTRICTION
|
|
|
|
REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
|
|
|
|
REGULATIONS S-P, S-AM, AND S-ID
|
|
|
|
FORMS, SECURITIES EXCHANGE ACT OF 1934
|
|
|
|
FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
|
|
|
|
CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY
|
|
|
|
PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
|
|
|
|
GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER
|
|
|
|
FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
|
|
|
|
RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT COMPANY ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
|
|
|
|
FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
|
|
|
|
RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER
|
|
|
|
FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
|
|
|
|
INTERPRETATIVE RELEASES RELATING TO CORPORATE REORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY ACT
|
|
|
|
RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT
|
|
|
|
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE INTER-AMERICAN DEVELOPMENT BANK ACT
|
|
|
|
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT
|
|
|
|
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE AFRICAN DEVELOPMENT BANK ACT
|
|
|
|
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 13(a) OF THE INTERNATIONAL FINANCE CORPORATION ACT
|
|
|
|
GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ACT
|
|
|
|
RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
|
|
|
|
FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
|
|
|
|
ORDERLY LIQUIDATION OF COVERED BROKERS OR DEALERS
|
|
|