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Title 17

Displaying title 17, up to date as of 8/06/2026. Title 17 was last amended 8/06/2026.
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 240General Rules and Regulations, Securities Exchange Act of 1934240.0-1 – 240.36a1-2
Subpart ARules and Regulations Under the Securities Exchange Act of 1934240.0-1 – 240.12a-11
Rules of General Application240.0-1 – 240.3a5-4
§ 240.0-1Definitions.
§ 240.0-2Business hours of the Commission.
§ 240.0-3Filing of material with the Commission.
§ 240.0-4Nondisclosure of information obtained in examinations and investigations.
§ 240.0-5Reference to rule by obsolete designation.
§ 240.0-6Disclosure detrimental to the national defense or foreign policy.
§ 240.0-8Application of rules to registered broker-dealers.
§ 240.0-9Payment of filing fees.
§ 240.0-10Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
§ 240.0-11Filing fees for certain acquisitions, dispositions and similar transactions.
§ 240.0-12Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
§ 240.0-13Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
§ 240.3a1-1Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
§ 240.3a4-1Associated persons of an issuer deemed not to be brokers.
§§ 240.3a4-2-240.3a4-6 [Reserved]
§ 240.3a5-1Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
§ 240.3a5-2Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 240.3a5-3Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
§ 240.3a5-4Further definition of “as a part of a regular business” in connection with certain liquidity providers.