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Title 17

Displaying title 17, up to date as of 9/15/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter II Securities and Exchange Commission 200 – 399
Part 240 General Rules and Regulations, Securities Exchange Act of 1934 240.0-1 – 240.36a1-2
Subpart A Rules and Regulations Under the Securities Exchange Act of 1934 240.0-1 – 240.12a-11
General 240.12b-1 – 240.12b-7
Formal Requirements 240.12b-10 – 240.12b-15
General Requirements as to Contents 240.12b-20 – 240.12b-25
Exhibits 240.12b-30 – 240.12b-33
Special Provisions 240.12b-35 – 240.12b-37
Certification by Exchanges and Effectiveness of Registration 240.12d1-1 – 240.12d1-6
Suspension of Trading, Withdrawal, and Striking From Listing and Registration 240.12d2-1 – 240.12d2-2
Unlisted Trading 240.12f-1 – 240.12f-6
Extensions and Temporary Exemptions; Definitions 240.12g-1 – 240.12h-7
Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
Annual Reports 240.13a-1 – 240.13a-3
Other Reports 240.13a-10 – 240.13a-20
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports 240.13b2-1 – 240.13b2-2
Regulation 13D-G
§ 240.13d-1 Filing of Schedules 13D and 13G.
§ 240.13d-2 Filing of amendments to Schedules 13D or 13G.
§ 240.13d-3 Determination of beneficial owner.
§ 240.13d-4 Disclaimer of beneficial ownership.
§ 240.13d-5 Acquisition of securities.
§ 240.13d-6 Exemption of certain acquisitions.
§ 240.13d-7 Dissemination.
§ 240.13d-101 Schedule 13D - Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).
§ 240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.
§ 240.13e-1 Purchase of securities by the issuer during a third-party tender offer.
§ 240.13e-2 [Reserved]
§ 240.13e-3 Going private transactions by certain issuers or their affiliates.
§ 240.13e-4 Tender offers by issuers.
§ 240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.
§ 240.13e-101 [Reserved]
§ 240.13e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.
§ 240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.
§ 240.13h-l Large trader reporting.
§ 240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).
§ 240.13n-1 Registration of security-based swap data repository.
§ 240.13n-2 Withdrawal from registration; revocation and cancellation.
§ 240.13n-3 Registration of successor to registered security-based swap data repository.
§ 240.13n-4 Duties and core principles of security-based swap data repository.
§ 240.13n-5 Data collection and maintenance.
§ 240.13n-6 Automated systems.
§ 240.13n-7 Recordkeeping of security-based swap data repository.
§ 240.13n-8 Reports to be provided to the Commission.
§ 240.13n-9 Privacy requirements of security-based swap data repository.
§ 240.13n-10 Disclosure requirements of security-based swap data repository.
§ 240.13n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports.
§ 240.13n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.
§ 240.13p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.
§ 240.13q-1 Disclosure of payments made by resource extraction issuers.
Regulation 14A: Solicitation of Proxies
§ 240.14a-1 Definitions.
§ 240.14a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
§ 240.14a-3 Information to be furnished to security holders.
§ 240.14a-4 Requirements as to proxy.
§ 240.14a-5 Presentation of information in proxy statement.
§ 240.14a-6 Filing requirements.
§ 240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
§ 240.14a-8 Shareholder proposals.
§ 240.14a-9 False or misleading statements.
§ 240.14a-10 Prohibition of certain solicitations.
§ 240.14a-12 Solicitation before furnishing a proxy statement.
§ 240.14a-13 Obligation of registrants in communicating with beneficial owners.
§ 240.14a-14 Modified or superseded documents.
§ 240.14a-15 Differential and contingent compensation in connection with roll-up transactions.
§ 240.14a-16 Internet availability of proxy materials.
§ 240.14a-17 Electronic shareholder forums.
§ 240.14a-18 Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.
§ 240.14a-20 Shareholder approval of executive compensation of TARP recipients.
§ 240.14a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.
§ 240.14a-101 Schedule 14A. Information required in proxy statement.
§ 240.14a-102 [Reserved]
§ 240.14a-103 Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).
§ 240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a-6(n).
§ 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.
§ 240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.
Regulation 14C: Distribution of Information Pursuant to Section 14(c)
§ 240.14c-1 Definitions.
§ 240.14c-2 Distribution of information statement.
§ 240.14c-3 Annual report to be furnished security holders.
§ 240.14c-4 Presentation of information in information statement.
§ 240.14c-5 Filing requirements.
§ 240.14c-6 False or misleading statements.
§ 240.14c-7 Providing copies of material for certain beneficial owners.
§ 240.14c-101 Schedule 14C. Information required in information statement.
Regulation 14D
§ 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E.
§ 240.14d-2 Commencement of a tender offer.
§ 240.14d-3 Filing and transmission of tender offer statement.
§ 240.14d-4 Dissemination of tender offers to security holders.
§ 240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings.
§ 240.14d-6 Disclosure of tender offer information to security holders.
§ 240.14d-7 Additional withdrawal rights.
§ 240.14d-8 Exemption from statutory pro rata requirements.
§ 240.14d-9 Recommendation or solicitation by the subject company and others.
§ 240.14d-10 Equal treatment of security holders.
§ 240.14d-11 Subsequent offering period.
§ 240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.
§ 240.14d-101 Schedule 14D-9.
§ 240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.
§ 240.14d-103 Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.
Regulation 14E
§ 240.14e-1 Unlawful tender offer practices.
§ 240.14e-2 Position of subject company with respect to a tender offer.
§ 240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers.
§ 240.14e-4 Prohibited transactions in connection with partial tender offers.
§ 240.14e-5 Prohibiting purchases outside of a tender offer.
§ 240.14e-6 Repurchase offers by certain closed-end registered investment companies.
§ 240.14e-7 Unlawful tender offer practices in connection with roll-ups.
§ 240.14e-8 Prohibited conduct in connection with pre-commencement communications.
§ 240.14f-1 Change in majority of directors.
Regulation 14N: Filings Required by Certain Nominating Shareholders 240.14n-1 – 240.14n-101
Exemption of Certain OTC Derivatives Dealers 240.15a-1
Exemption of Certain Securities From Section 15(a) 240.15a-2 – 240.15a-5
Registration of Brokers and Dealers 240.15a-6 – 240.15b11-1
Rules Relating to Over-the-Counter Markets 240.15c1-1 – 240.15c6-1
Regulation 15D: Reports of Registrants Under the Securities Act of 1933
Annual Reports 240.15d-1 – 240.15d-6
Other Reports 240.15d-10 – 240.15d-20
Exemption of Certain Issuers From Section 15(d) of the Act 240.15d-21 – 240.15l-1
National and Affiliated Securities Associations 240.15Aa-1 – 240.15Bc7-1
Registration of Government Securities Brokers and Government Securities Dealers 240.15Ca1-1 – 240.15Cc1-1
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants 240.15Fb1-1 – 240.16a-13
Exemption of Certain Transactions From Section 16(b) 240.16b-1 – 240.16b-8
Exemption of Certain Transactions From Section 16(c) 240.16c-1 – 240.16c-4
Arbitrage Transactions 240.16e-1
Preservation of Records and Reports of Certain Stabilizing Activities 240.17a-1 – 240.17f-2
Nationally Recognized Statistical Rating Organizations 240.17g-1 – 240.17Ad-24
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 240.18a-1 – 240.18a-10
Suspension and Expulsion of Exchange Members 240.19a3-1 – 240.19h-1
Securities Whistleblower Incentives and Protections 240.21F-1 – 240.21F-18
Inspection and Publication of Information Filed Under the Act 240.24b-1 – 240.36a1-2
Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]