Securities Exchange Act of 1934
General Rules and Regulations
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Regulation 13A: Reports of Issuers of Securities
Registered Pursuant to Section 12
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Regulation 13B-2: Maintenance of Records
and Preparation of Required Reports
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Regulation 14C: Distribution of Information
Pursuant to Section 14(c)
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Rules 15a Through 15c3: Exemption
of Certain Securities from Section 15a
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Regulation 15D: Reports of Registrants
Under the Securities Act of 1933
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| Rule 17a-1. Recordkeeping
rule for national securities exchanges, national securities associations,
registered clearing agencies and the Municipal Securities Rulemaking
Board. |
| Rule 17a-2. Recordkeeping
requirements relating to stabilizing activities. |
| Rule 17a-3. Records
to be made by certain exchange members, brokers and dealers. |
| Rule 17a-4. Records
to be preserved by certain exchange members, brokers and dealers.
|
| Rule 17a-5. Reports
to be made by certain brokers and dealers. |
| Rule 17a-6. Right
of national securities exchange, national securities association,
registered clearing agency or the Municipal Securities Rulemaking
Board to destroy or dispose of documents. |
| Rule 17a-7. Records
of non-resident brokers and dealers. |
| Rule 17a-8. Financial
recordkeeping and reporting of currency and foreign transactions.
|
| Rule 17a-10. Report
on revenue and expenses. |
| Rule 17a-11. Notification
procedures for brokers and dealers. |
| Rule 17a-12. Reports
to be made by certain OTC derivatives dealers. |
| Rule 17a-13. Quarterly
security counts to be made by certain exchange members, brokers, and
dealers. |
| Rule 17a-19. Form
X-17a-19 Report by national securities exchanges and registered national
securities associations of changes in the membership status of any
of their members. |
| Rule 17a-21. Reports
of the Municipal Securities Rulemaking Board. |
| Rule 17a-22. Supplemental
material of registered clearing agencies. |
| Rule 17a-23. [Reserved] |
| Rule 17a-24. Reports
of lost securityholders. |
| Rule 17a-25. Electronic
submission of securities transaction information by exchange members,
brokers, and dealers. |
| Rule 17d-1. Examination
for compliance with applicable financial responsibility rules.
|
| Rule 17d-2. Program
for allocation of regulatory responsibility. |
| Rule 17f-1. Requirements
for reporting and inquiry with respect to missing, lost, counterfeit
or stolen securities. |
| Rule 17f-2. Fingerprinting
of securities industry personnel. |
| Rule 17i-1. Definitions.
|
| Rule 17i-2. Notice
of intention to be supervised by the Commission as a supervised investment
bank holding company. |
| Rule 17i-3. Withdrawal
from supervision by the Commission as a supervised investment bank
holding company. |
| Rule 17i-4. Internal
risk management control system requirements for supervised investment
bank holding companies. |
| Rule 17i-5. Record
creation, maintenance, and access requirements for supervised investment
bank holding companies. |
| Rule 17i-6. Reporting
requirements for supervised investment bank holding companies.
|
| Rule 17i-7. Calculations
of allowable capital and risk allowances or alternative capital assessment.
|
| Rule 17i-8. Notification
provisions for supervised investment bank holding companies. |
| Rule 17Ab2-1. Registration
of clearing agencies. |
| Rule 17Ac2-1. Application
for registration of transfer agents. |
| Rule 17Ac2-2. Annual
reporting requirement for registered transfer agents. |
| Rule 17Ac3-1. Withdrawal
from registration with the Commission. |
| Rule 17Ad-1. Definitions.
|
| Rule 17Ad-2. Turnaround,
processing, and forwarding of items. |
| Rule 17Ad-3. Limitations
on expansion. |
| Rule 17Ad-4. Applicability
of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7)
and (11). |
| Rule 17Ad-5. Written
inquiries and requests. |
| Rule 17Ad-6. Recordkeeping.
|
| Rule 17Ad-7. Record
retention. |
| Rule 17Ad-8. Securities
position listings. |
| Rule 17Ad-9. Definitions.
|
| Rule 17Ad-10. Prompt
posting of certificate detail to master securityholder files, maintenance
of accurate securityholder files, communications between co-transfer
agents and recordkeeping transfer agents, maintenance of current control
book, retention of certificate detail and "buy-in" of physical
over-issuance. |
| Rule 17Ad-11. Reports
regarding aged record differences, buy-ins and failure to post certificate
detail to master securityholder and subsidiary files. |
| Rule 17Ad-12. Safeguarding
of funds and securities. |
| Rule 17Ad-13. Annual
study and evaluation of internal accounting control. |
| Rule 17Ad-14. Tender
agents. |
| Rule 17Ad-15. Signature
guarantees. |
| Rule 17Ad-16. Notice
of Assumption or Termination of Transfer Agent Services. |
| Rule 17Ad-17. Transfer
agents' obligation to search for lost securityholders. |
| Rule 17Ad-18. Year
2000 Reports to be made by certain transfer agents. |
| Rule 17Ad-19. Requirements
for cancellation, processing, storage, transportation, and destruction
or other disposition of securities certificates. |
| Rule 17Ad-20. Issuer
restrictions or prohibitions on ownership by securities intermediaries.
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| Rule 19b-4. Filings
with respect to proposed rule changes by self-regulatory organizations.
|
| Rule 19b-5. Temporary
exemption from the filing requirements of Section 19(b) of the Act.
|
| Rule 19b-7. Filings
with respect to proposed rule changes submitted pursuant to Section
19(b)(7) of the Act. |
| Rule 19c-1. Governing
certain off-board agency transactions by members of national securities
exchanges. |
| Rule 19c-3. Governing
off-board trading by members of national securities exchanges.
|
| Rule 19c-4. Governing
certain listing or authorization determinations by national securities
exchanges and associations. |
| Rule 19c-5. Governing
the multiple listing of options on national securities exchanges.
|
| Rule 19d-1. Notices
by self-regulatory organizations of final disciplinary actions, denials,
bars, or limitations respecting membership, association, participation,
or access to services, and summary suspensions. |
| Rule 19d-2. Applications
for stays of disciplinary sanctions or summary suspensions by a self-regulatory
organization. |
| Rule 19d-3. Applications
for review of final disciplinary sanctions, denials of membership,
participation or association, or prohibitions or limitations of access
to services imposed by self-regulatory organizations. |
| Rule 19d-4. Notice
by the Public Company Accounting Oversight Board of disapproval of
registration or of disciplinary action. |
| Rule 19g2-1. Enforcement
of compliance by national securities exchanges and registered securities
associations with the Act and rules and regulations thereunder.
|
| Rule 19h-1. Notice
by a self-regulatory organization of proposed admission to or continuance
in membership or participation or association with a member of any
person subject to a statutory disqualification, and applications to
the Commission for relief therefrom. |
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