§ 201.100 Scope of the rules of
practice.
§ 201.102 Appearance and practice
before the Commission.
§ 201.103 Construction of rules.
§ 201.111 Hearing officer: authority.
§ 201.112 Hearing officer: disqualification and withdrawal.
§ 201.120 Ex parte communications.
§ 201.121 Separation of functions.
§ 201.140 Commission orders and
decisions: signature and availability.
§ 201.150 Service of papers by
parties.
§ 201.151 Filing of papers with the
Commission: procedure.
§ 201.152 Filing of papers: form.
§ 201.153 Filing of papers: signature requirement and effect.
§ 201.155 Default; motion to set aside default.
§ 201.161 Extensions of time,
postponements and adjournments.
§ 201.190 Confidential treatment of
information in certain filings.
§ 201.192 Rulemaking: issuance, amendment and repeal of rules of
general application.
§ 201.193 Applications by barred
individuals for consent to associate.
§ 201.200 Initiation of
proceedings.
§ 201.201 Consolidation of
proceedings.
§ 201.202 Specification of
procedures by parties in certain proceedings.
§ 201.210 Parties, limited
participants and amici curiae.
§ 201.220 Answer to allegations.
§ 201.221 Prehearing conference.
§ 201.222 Prehearing submissions.
§ 201.231 Enforcement and
disciplinary proceedings: production of
witness statements.
§ 201.233 Depositions upon oral
examination.
§ 201.234 Depositions upon written
questions.
§ 201.235 Introducing prior sworn
statements of witnesses into the record.
§ 201.250 Motion for summary
disposition.
§ 201.301 Hearings to be public.
§ 201.310 Failure to appear at
hearings: default.
§ 201.320 Evidence: admissibility.
§ 201.321 Evidence: objections and offers of proof.
§ 201.322 Evidence: confidential information, protective orders.
§ 201.323 Evidence: official notice.
§ 201.324 Evidence: stipulations.
§ 201.325 Evidence: presentation under oath or affirmation.
§ 201.326 Evidence: presentation, rebuttal and
cross-examination.
§ 201.340 Proposed findings,
conclusions and supporting briefs.
§ 201.350 Record in proceedings
before hearing officer; retention of
documents; copies.
§ 201.351 Transmittal of documents
to Secretary; record index; certification.
§ 201.360 Initial decision of
hearing officer.
§ 201.400 Interlocutory review.
§ 201.410 Appeal of initial
decisions by hearing officers.
§ 201.411 Commission consideration
of initial decisions by hearing officers.
§ 201.420 Appeal of determinations
by self-regulatory organizations.
§ 201.421 Commission consideration
of determinations by self-regulatory organizations.
§ 201.430 Appeal of actions made
pursuant to delegated authority.
§ 201.431 Commission consideration
of actions made pursuant to delegated authority.
§ 201.450 Briefs filed with the
Commission.
§ 201.451 Oral argument before the
Commission.
§ 201.452 Additional evidence.
§ 201.460 Record before the
Commission.
§ 201.490 Receipt of petitions for
judicial review pursuant to 28 U.S.C. 2112(a)(1).
§ 201.500 Expedited consideration
of proceedings.
§ 201.510 Temporary
cease-and-desist orders: application
process.
§ 201.511 Temporary
cease-and-desist orders: notice; procedures for hearing.
§ 201.512 Temporary
cease-and-desist orders: issuance after
notice and opportunity for hearing.
§ 201.514 Temporary
cease-and-desist orders: judicial
review; duration.
§ 201.524 Suspension of
registrations: duration.
§ 201.531 Initial decision on
permanent order: effect on temporary
order.
§ 201.540 Appeal and Commission
review of initial decision making a temporary order permanent.
§ 201.550 Summary suspensions
pursuant to Exchange Act Section 12(k)(1)(A).
§ 201.600 Interest on sums
disgorged.
§ 201.601 Prompt payment of
disgorgement, interest and penalties.
§ 201.610 Submission of proposed
plan of disgorgement.
§ 201.611 Contents of plan of
disgorgement; provisions for payment.
§ 201.612 Notice of proposed plan
of disgorgement and opportunity for comment by non-parties.
§ 201.613 Order approving,
modifying or disapproving proposed plan of disgorgement.
§ 201.614 Administration of plan of
disgorgement.
§ 201.620 Right to challenge order
of disgorgement.
§ 201.630 Inability to pay
disgorgement, interest or penalties.
§ 201.900 Informal Procedures and
Supplementary Information Concerning Adjudicatory Proceedings.
§ 201.1001 Adjustment of civil
monetary penalties -- 1996.
§ 201.1002 Adjustment of civil
monetary penalties - 2001.
§ 203.1 Application of the rules of
this part.
§ 203.2 Information obtained in
investigations and examinations.
§ 203.3 Suspension and disbarment.
§ 203.4 Applicability of §§ 203.4
through 203.8.
§ 203.5 Non-public formal
investigative proceedings.
§ 210.1-01 Application of
Regulation S-X (17 CFR Part 210).
§ 210.1-02 Definitions of terms
used in Regulation S-X (17 CFR Part 210).
§ 210.2-01 Qualifications of
accountants.
§ 210.2-02 Accountants' reports.
§ 210.2-03 Examination of financial
statements by foreign government auditors. 127
§ 210.2-04 Examination of financial
statements of persons other than the registrant.
§ 210.2-05 Examination of financial
statements by more than one accountant.
§ 210.3-01 Consolidated balance
sheets.
§ 210.3-02 Consolidated statements
of income and changes in financial position.
§ 210.3-03 Instructions to income
statement requirements.
§ 210.3-04 Changes in other
stockholders' equity.
§ 210.3-05 Financial statements of
businesses acquired or to be acquired.
§ 210.3-06 Financial statements
covering a period of nine to twelve months. 133
§§ 210.3-07 to 210.3-08 [Reserved]
§ 210.3-11 Financial statements of
an inactive registrant.
§ 210.3-13 Filing of other
financial statements in certain cases.
§ 210.3-14 Special instructions for
real estate operations to be acquired.
§ 210.3-15 Special provision as to
real estate investment trusts.
§ 210.3-17 Financial statements of
natural persons.
§ 210.3-20 Currency for financial
statements for foreign private issuers.
§ 210.3A-01 Application of §§
210.3A-01 to 210.3A-05.
§ 210.3A-02 Consolidated financial
statements of the registrant and its subsidiaries.
§ 210.3A-03 Statement as to
principles of consolidation or combination followed.
§ 210.3A-04 Intercompany items and
transactions.
§ 210.3A-05 Special requirements as
to public utility holding companies.
§ 210.4-01 Form, order, and
terminology.
§ 210.4-02 Items not material.
§ 210.4-03 Inapplicable captions
and omission of unrequired or inapplicable financial statements.
§ 210.4-04 Omission of
substantially identical notes.
§ 210.4-07 Discount on shares.
§ 210.4-08 General notes to
financial statements.
§ 210.5-01 Application of §§
210.5-01 to 210.5-04.
§ 210.5-04 What schedules are to be
filed.
§§ 210.5A-01, 210.5A-02 [Reserved]
§ 210.6-01 Application of §§
210.6-01 to 210.6-10.
§ 210.6-02 Definition of certain
terms.
§ 210.6-03 Special rules of general
application to registered investment companies.
§ 210.6-05 Statements of net
assets.
§ 210.6-07 Statements of
operations.
§ 210.6-09 Statements of changes in
net assets.
§ 210.6-10 What schedules are to be
filed.
§ 210.6A-01 Application of §§
210.6A-01 to 210.6A-05.
§ 210.6A-02 Special rules
applicable to employee stock purchase, savings and similar plans.
§ 210.6A-03 Statements of financial
condition.
§ 210.6A-04 Statements of income
and changes in plan equity.
§ 210.6A-05 What schedules are to
be filed.
§ 210.7-01 Application of §§
210.7-01 to 210.7-05.
§ 210.7-02 General requirement.
§ 210.7-05 What schedules are to be
filed.
§§ 210.8-01 to 210.8-03 [Reserved]
§ 210.9-01 Application of §§
210.9-01 to 210.9-07.
§ 210.9-02 General requirement.
§ 210.9-05 Foreign activities.
§ 210.9-06 Condensed financial
information of registrant.
§ 210.10-01 Interim financial
statements.
§ 210.11-01 Presentation
requirements.
§ 210.11-02 Preparation
requirements.
§ 210.11-03 Presentation of
financial forecast.
§ 210.12-01 Application of §§
210.12-01, to 210.12-29.
§ 210.12-04 Condensed financial
information of registrant.
§ 210.12-12 Investments in
securities of unaffiliated issuers.
§ 210.12-12B Open option contracts
written.
§ 210.12-14 Investments in and
advances to affiliates.
§ 210.12-15 Summary of
investments-other than investments in related parties.
§ 210.12-18 Supplemental
Information (For Property-Casualty Insurance Underwriters).
§ 210.12-23 Mortgage loans on real
estate and interest earned on mortgages
§ 210.12-24 Real estate owned and
rental income.
§ 210.12-25 Supplementary profit
and loss information.
§ 230.100 Definition of terms used
in the rules and regulations.
§ 230.110 Business hours of the
Commission.
§ 230.120 Inspection of
registration statements.
§ 230.122 Non-disclosure of
information obtained in the course of examinations and investigations.
§ 230.130 Definition of “rules and
regulations” as used in certain sections of the act.
§ 230.131 Definition of security
issued under governmental obligations.
§ 230.132 Definition of “common
trust fund” as used in section 3(a)(2) of the Act.
§ 230.134 Communications not deemed
a prospectus.
§ 230.134a Options material not
deemed a prospectus.
§ 230.134b Statements of additional
information.
§ 230.135 Notice of proposed
registered offerings.
§ 230.135a Generic advertising.
§ 230.135b Materials not deemed on
offer to sell or offer to buy.
§ 230.135c Notice of certain
proposed unregistered offerings.
§ 230.136 Definition of certain
terms in relation to assessable stock.
§ 230.140 Definition of
“Distribution” in section 2(11) for certain transactions.
§ 230.144 Persons deemed not to be
engaged in a distribution and therefore not underwriters.
§ 230.144A Private resales of
securities to institutions.
§ 230.145 Reclassification of
securities, mergers, consolidations and acquisitions of assets.
§ 230.146 Rules under Section 18 of
the Act.
§ 230.149 Definition of “exchanged”
in section 3(a)(9), for certain transactions.
§ 230.152a Offer or sale of certain
fractional interests.
§ 230.154 Delivery of prospectuses
to investors at the same address.
§ 230.155 Integration of abandoned
offerings.
§ 230.156 Investment company sales
literature.
§ 230.157 Small entities under the
Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.158 Definitions of certain
terms in the last paragraph of section 11(a).
§ 230.161 Amendments to rules and
regulations governing exemptions.
§ 230.162 Submission of tenders in
registered exchange offers.
§ 230.165 Offers made in connection
with a business combination transaction.
§ 230.170 Prohibition of use of
certain financial statements.
§ 230.171 Disclosure detrimental to
the national defense or foreign policy.
§ 230.174 Delivery of prospectus by
dealers; exemptions under section 4(3)
of the Act.
§ 230.175 Liability for certain
statements by issuers.
§ 230.215 Accredited investor.
§ 230.236 Exemption of shares
offered in connection with certain transactions.
§ 230.254 Solicitation of Interest
Document for Use Prior to an Offering Statement.
§ 230.255 Preliminary Offering
Circulars.
§ 230.256 Filing of Sales Material.
§ 230.257 Reports of Sales and Use
of Proceeds.
§ 230.258 Suspension of the
Exemption.
§ 230.259 Withdrawal or Abandonment
of Offering Statements.
§ 230.260 Insignificant Deviations
from a Term, Condition or Requirement of Regulation A.
§ 230.262 Disqualification
provisions.
§ 230.263 Consent to Service of
Process.
§ 230.400 Application of §§ 230.400
to 230.494, inclusive.
§ 230.401 Requirements as to proper
form.
§ 230.402 Number of copies; binding;
signatures.
§ 230.403 Requirements as to paper,
printing, language and pagination.
§ 230.404 Preparation of
registration statement.
§ 230.405 Definitions of terms.
§ 230.406 Confidential treatment of
information filed with the Commission.
§ 230.408 Additional information.
§ 230.409 Information unknown or
not reasonably available.
§ 230.410 Disclaimer of control.
§ 230.411 Incorporation by
reference.
§ 230.412 Modified or superseded
documents.
§ 230.413 Registration of
additional securities.
§ 230.414 Registration by certain
successor issuers.
§ 230.415 Delayed or continuous
offering and sale of securities.
§ 230.417 Date of financial
statements.
§ 230.418 Supplemental information.
§ 230.419 Offerings by blank check
companies.
§ 230.420 Legibility of prospectus.
§ 230.421 Presentation of
information in prospectuses.
§ 230.423 Date of prospectuses.
§ 230.424 Filing of prospectuses,
number of copies.
§ 230.427 Contents of prospectus
used after nine months.
§ 230.429 Prospectus relating to
several registration statements.
§ 230.430 Prospectus for use prior
to effective date.
§ 230.430A Prospectus in a
registration statement at the time of effectiveness.
§ 230.431 Summary prospectuses.
§ 230.432 Additional information
required to be included in prospectuses relating to tender offers.
§ 230.436 Consents required in
special cases.
§ 230.437 Application to dispense
with consent.
§ 230.438 Consents of persons about
to become directors.
§ 230.439 Consent to use of
material incorporated by reference.
§ 230.459 Calculation of effective
date.
§ 230.460 Distribution of
preliminary prospectus.
§ 230.461 Acceleration of effective
date.
§ 230.462 Immediate effectiveness
of certain registration statements and post-effective amendments.
§ 230.463 Report of offering of
securities and use of proceeds therefrom.
§ 230.466 Effective date of certain
registration statements on Form F-6.
§ 230.470 Formal requirements for
amendments.
§ 230.471 Signatures to amendments.
§ 230.472 Filing of
amendments; number of copies.
§ 230.473 Delaying amendments.
§ 230.474 Date of filing of
amendments.
§ 230.475 Amendment filed with
consent of Commission.
§ 230.475a Certain pre-effective
amendments deemed filed with the consent of the Commission.
§ 230.476 Amendment filed pursuant
to order of Commission.
§ 230.477 Withdrawal of
registration statement or amendment.
§ 230.478 Powers to amend or
withdraw registration statement.
§ 230.479 Procedure with respect to
abandoned registration statements and post-effective amendments.
§ 230.480 Title of securities.
§ 230.481 Information required in
prospectus.
§ 230.482 Advertising by an
investment company as satisfying requirements of section 10.
§ 230.483 Exhibits for certain
registration statements.
§ 230.484 Undertaking required in
certain registration statements.
§ 230.487 Effectiveness of
registration statements filed by certain unit investment trusts.
§ 230.490 Information to be
furnished under paragraph (3) of Schedule B.
§ 230.491 Information to be furnished
under paragraph (6) of Schedule B.
§ 230.492 Omissions from
prospectuses.
§ 230.493 Filing of opinions of
counsel.
§ 230.494 Newspaper prospectuses.
§ 230.495 Preparation of
registration statement.
§ 230.496 Contents of prospectus
and statement of additional information used after nine months.
§ 230.497 Filing of investment
company prospectuses-number of copies.
§ 230.498 Profiles for certain
open-end management investment companies.
§ 230.501 Definitions and terms
used in Regulation D.
§ 230.502 General conditions to be
met.
§ 230.503 Filing of notice of
sales.
§ 230.504 Exemption for limited
offerings and sales of securities not exceeding $1,000,000.
§ 230.505 Exemption for limited
offers and sales of securities not exceeding $5,000,000.
§ 230.506 Exemption for limited
offers and sales without regard to dollar amount of offering.
§ 230.507 Disqualifying provision
relating to exemptions under §§ 230.504, 230.505 and 230.506.
§ 230.508 Insignificant deviations
from a term, condition or requirement of Regulation D.
§ 230.601 Definitions of terms used
in §§ 230.601 to 230.610a.
§ 230.602 Securities exempted.
§ 230.603 Amount of securities
exempted.
§ 230.604 Filing of notification on
Form 1-E.
§ 230.605 Filing and use of the
offering circular.
§ 230.606 Offering not in excess of
$100,000.
§ 230.607 Sales material to be
filed.
§ 230.608 Prohibition of certain
statements.
§ 230.609 Reports of sales
hereunder.
§ 230.610 Suspension of exemption.
§ 230.800 Definitions for §§
230.800, 230.801 and 230.802.
§ 230.801 Exemption in connection
with a rights offering.
§ 240.0-2 Business hours of the
Commission.
§ 240.0-3 Filing of material with
the Commission.
§ 240.0-4 Nondisclosure of
information obtained in examinations and investigations.
§ 240.0-5 Reference to rule by
obsolete designation.
§ 240.0-6 Disclosure detrimental to
the national defense or foreign policy.
§ 240.0-8 Application of rules to
registered broker-dealers.
§ 240.0-11 Filing fees for certain
acquisitions, dispositions and similar transactions.
§ 240.3a1-1 Exemption from the
definition of “Exchange” under Section 3(a)(1) of the Act.
§ 240.3a4-1 Associated persons of
an issuer deemed not to be brokers.
§ 240.3a11-1 Definition of the term
“equity security”.
§ 240.3a12-1 Exemption of certain
mortgages and interests in mortgages.
§ 240.3a12-4 Exemptions from
sections 15(a) and 15(c)(3) for certain mortgage securities.
§ 240.3a12-5 Exemption of certain
investment contract securities from Sections 7(c) and 11(d)(1).
§ 240.3a12-6 Definition of “common
trust fund” as used in section 3(a)(12) of the act.
§ 240.3a12-8 Exemption for
designated foreign government securities for purposes of futures trading.
§ 240.3a12-10 Exemption of Certain
Securities Issued by the Resolution Funding Corporation.
§ 240.3a40-1 Designation of
financial responsibility rules.
§ 240.3a51-1 Definition of “penny
stock”.
§ 240.3b-1 Definition of “listed.”
§ 240.3b-2 Definition of “officer.”
§ 240.3b-3 Definition of “short
sale”.
§ 240.3b-4 Definition of “foreign
government,” “foreign issuer” and “foreign private issuer”.
§ 240.3b-5 Non-exempt securities
issued under governmental obligations.
§ 240.3b-6 Liability for certain
statements by issuers.
§ 240.3b-7 Definition of “executive
officer.”
§ 240.3b-9 Definition of “bank” for
purposes of sections 3(a) (4) and (5) of the Act.
§ 240.3b-12 Definition of OTC
derivatives dealer.
§ 240.3b-13 Definition of eligible
OTC derivative instrument.
§ 240.3b-14 Definition of cash
management securities activities.
§ 240.3b-15 Definition of ancillary
portfolio management securities activities. 656
§ 240.3b-16 Definitions of terms
used in Section 3(a)(1) of the Act.
§ 240.3b-17 Definitions of terms
used in Section 3(a)(4) of the Act.
§ 240.3b-18 Definitions of terms
used in Section 3(a)(5) of the Act.
§ 240.6a-2 Amendments to
application.
§ 240.6a-3 Supplemental material to
be filed by exchanges.
§ 240.8c-1 Hypothecation of
customers' securities.
§ 240.9b-1 Options disclosure
document.
§ 240.10a-2 Requirements for
covering purchases.
§ 240.10b-3 Employment of
manipulative and deceptive devices by brokers or dealers.
§ 240.10b-5 Employment of
manipulative and deceptive devices.
§ 240.10b5-1 Trading “on the basis
of” material nonpublic information in insider trading cases.
§ 240.10b5-2 Duties of trust or
confidence in misappropriation insider trading cases.
§ 240.10b-7, 240.10b-8 [Reserved]
§ 240.10b-9 Prohibited
representations in connection with certain offerings.
§ 240.10b-10 Confirmation of
transactions.
§ 240.10b-16 Disclosure of credit
terms in margin transactions.
§ 240.10b-17 Untimely announcements
of record dates.
§ 240.10b-18 Purchases of certain
equity securities by the issuer and others. 684
§ 240.10A-1 Notice to the
Commission Pursuant to Section 10A of the Act.
§ 240.11a-1 Regulation of floor
trading.
§ 240.11a1-1(T) Transactions
yielding priority, parity, and precedence. 691
§ 240.11a1-2 Transactions for
certain accounts of associated persons of members.
§ 240.11a1-3(T) Bona fide hedge
transactions in certain securities.
§ 240.11a1-4(T) Bond transactions
on national securities exchanges.
§ 240.11a1-6 Transactions for
certain accounts of OTC derivatives dealers.
§ 240.11a2-2(T) Transactions
effected by exchange members through other members.
§ 240.11b-1 Regulation of
specialists.
§ 240.11d1-1 Exemption of certain
securities from section 11(d)(1).
§ 240.11Aa2-1 Designation of
National Market System Securities.
§ 240.11Aa3-2 Filing and amendment
of national market system plans.
§ 240.11Ab2-1 Registration of
securities information processors: Form
of application and amendments.
§ 240.11Ac1-1 Dissemination of
quotations.
§ 240.11Ac1-2 Display of
transaction reports, last sale data and quotation information.
§ 240.11Ac1-3 Customer account
statements.
§ 240.11Ac1-4 Display of customer
limit orders.
§ 240.11Ac1-5 Disclosure of order
execution information.
§ 240.11Ac1-6 Disclosure of order
routing information.
§ 240.11Ac1-7 Trade-through
disclosure rule.
§ 240.12a-4 Exemption of certain
warrants from section 12(a).
§ 240.12a-5 Temporary exemption of
substituted or additional securities.
§ 240.12a-6 Exemption of Securities
underlying certain options from section 12(a).
§ 240.12a-8 Exemption of depositary
shares.
§ 240.12b-1 Scope of regulation.
§ 240.12b-3 Title of securities.
§ 240.12b-4 Supplemental
information.
§ 240.12b-5 Determination of
affiliates of banks.
§ 240.12b-6 When securities are
deemed to be registered.
§ 240.12b-10 Requirements as to
proper form.
§ 240.12b-11 Number of copies; signatures;
binding.
§ 240.12b-12 Requirements as to
paper, printing and language.
§ 240.12b-13 Preparation of
statement or report.
§ 240.12b-20 Additional
information.
§ 240.12b-21 Information unknown or
not available.
§ 240.12b-22 Disclaimer of control.
§ 240.12b-23 Incorporation by
reference.
§ 240.12b-30 Additional exhibits.
§ 240.12b-31 Omission of
substantially identical documents.
§ 240.12b-32 Incorporation of
exhibits by reference.
§ 240.12b-33 Annual reports to
other Federal agencies.
§ 240.12b-36 Use of financial
statements filed under other acts.
§ 240.12d1-1 Registration effective
as to class or series.
§ 240.12d1-2 Effectiveness of
registration.
§ 240.12d1-3 Requirements as to
certification.
§ 240.12d1-4 Date of receipt of
certification by Commission.
§ 240.12d1-5 Operation of
certification on subsequent amendments.
§ 240.12d1-6 Withdrawal of
certification.
§ 240.12d2-1 Suspension of trading.
§ 240.12d2-2 Removal from listing
and registration.
§ 240.12f-1 Applications for
permission to reinstate unlisted trading privileges.
§ 240.12f-3 Termination or
suspension of unlisted trading privileges. 747
§ 240.12f-5 Exchange rules for
securities to which unlisted trading privileges are extended.
§ 240.12g-1 Exemption from section
12(g).
§ 240.12g-3 Registration of
securities of successor issuers under section 12(b) or 12(g).
§ 240.12g3-2 Exemptions for
American depositary receipts and certain foreign securities.
§ 240.12g-4 Certifications of
termination of registration under section 12(g).
§ 240.12g5-1 Definition of
securities “held of record”.
§ 240.12g5-2 Definition of “total
assets”.
§ 240.12h-1 Exemptions from
registration under section 12(g) of the act.
§ 240.12h-3 Suspension of duty to
file reports under section 15(d).
§ 240.12h-4 Exemption from duty to
file reports under section 15(d).
§ 240.12h-5 Exemption for
subsidiary issuers of guaranteed securities and subsidiary guarantors.
§ 240.13a-1 Requirements of annual
reports.
§ 240.13a-3 Reporting by Form 40-F
registrant.
§ 240.13a-10 Transition reports.
§ 240.13a-11 Current reports on
Form 8-K (§ 249.308 of this chapter).
§ 240.13a-16 Reports of foreign
private issuers on Form 6-K (17 CFR 249.306).
§ 240.13b2-1 Falsification of
accounting records.
§ 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.
§ 240.13e-1 Purchase of securities
by the issuer during a third-party tender offer.
§ 240.13e-3 Going private
transactions by certain issuers or their affiliates.
§ 240.13e-4 Tender offers by
issuers.
§ 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-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 Obligations 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-101 Schedule 14A. Information required in proxy statement.
§ 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.
§ 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-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.
§ 240.14e-1 Unlawful tender offer
practices.
§ 240.14e-2 Position of subject
company with respect to a tender offer.
§ 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.
§ 240.15a-1 Securities activities
of OTC derivatives dealers.
§ 240.15a-2 Exemption of certain
securities of cooperative apartment houses from section 15(a).
§ 240.15a-5 Exemption of certain
nonbank lenders.
§ 240.15a-6 Exemption of certain
foreign brokers or dealers.
§ 240.15a-8 Exemption for banks
from Section 29 liability.
§ 240.15b1-3 Registration of
successor to registered broker or dealer.
§ 240.15b1-4 Registration of fiduciaries.
§ 240.15b2-2 Inspection of newly
registered brokers and dealers.
§ 240.15b3-1 Amendments to
application.
§ 240.15b6-1 Withdrawal from
registration.
§ 240.15b7-1 Compliance with
qualification requirements of self-regulatory organizations.
§ 240.15b7-3T Operational
capability in a Year 2000 environment.
§ 240.15b9-1 Exemption for certain
exchange members.
§ 240.15b9-2 Exemption from SRO
membership for OTC derivatives dealers.
§ 240.15c1-2 Fraud and
misrepresentation.
§ 240.15c1-5 Disclosure of control.
§ 240.15c1-6 Disclosure of interest
in distribution.
§ 240.15c1-7 Discretionary
accounts.
§ 240.15c1-8 Sales at the market.
§ 240.15c1-9 Use of pro forma
balance sheets.
§ 240.15c2-1 Hypothecation of
customers' securities.
§ 240.15c2-4 Transmission or
maintenance of payments received in connection with underwritings.
§ 240.15c2-7 Identification of
quotations.
§ 240.15c2-8 Delivery of
prospectus.
§ 240.15c2-11 Initiation or
resumption of quotations without specific information.
§ 240.15c2-12 Municipal securities
disclosure.
§ 240.15c3-1 Net capital
requirements for brokers or dealers.
§ 240.15c3-1a Options (Appendix A
to 17 CFR 240.15c3-1).
§ 240.15c3-1d Satisfactory
Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).
§ 240.15c3-1e Temporary Minimum
Requirements (Appendix E to 17 CFR 240.15c3-1e).
§ 240.15c3-2 Customers' free credit
balances.
§ 240.15c3-3 Customer
protection-reserves and custody of securities.
§ 240.15c3-4 Internal risk
management control systems for OTC derivatives dealers.
§ 240.15c6-1 Settlement cycle.
§ 240.15d-1 Requirement of annual
reports.
§ 240.15d-2 Special financial
report.
§ 240.15d-3 Reports for depositary
shares registered on Form F-6.
§ 240.15d-4 Reporting by Form 40-F
Registrants.
§ 240.15d-5 Reporting by successor
issuers.
§ 240.15d-6 Suspension of duty to
file reports.
§ 240.15d-10 Transition reports.
§ 240.15d-11 Current reports on
Form 8-K (§ 249.308 of this chapter).
§ 240.15d-16 Reports of foreign
private issuers on Form 6-K [17 CFR 249.306].
§ 240.15d-21 Reports for employee
stock purchase, savings and similar plans. 1054
§ 240.15g-1 Exemptions for certain
transactions.
§ 240.15g-2 Risk disclosure
document relating to the penny stock market.