Sample records for commodity exchange act

  1. 17 CFR 14.4 - Violation of Commodity Exchange Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violation of Commodity Exchange Act. 14.4 Section 14.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... Exchange Act. The Commission may deny, temporarily or permanently, the privilege of appearing or practicing...

  2. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  3. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  4. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  5. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  6. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  7. 17 CFR 5.25 - Applicability of the Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of the Act. 5.25 Section 5.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.25 Applicability of the Act. Except as otherwise specified in this part and...

  8. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  9. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  10. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  11. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  12. 17 CFR 42.2 - Compliance with Bank Secrecy Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Compliance with Bank Secrecy Act. 42.2 Section 42.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ANTI-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.2 Compliance with Bank Secrecy Act. Every...

  13. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  14. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  15. 17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemptions from registration under section 12(g) of the Act. 240.12h-1 Section 240.12h-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  16. 17 CFR Appendix C to Part 1 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false [Reserved] C Appendix C to Part 1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Appendix C to Part 1 [Reserved] ...

  17. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  18. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  19. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  20. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... Proficiency examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different...

  1. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  2. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  3. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  4. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  5. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  6. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  7. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  8. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  9. 17 CFR 1.32 - Segregated account; daily computation and record.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Segregated account; daily computation and record. 1.32 Section 1.32 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.32 Segregated account...

  10. 17 CFR 210.5-01 - Application of §§ 210.5-01 to 210.5-04.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of §§ 210.5-01 to 210.5-04. 210.5-01 Section 210.5-01 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  11. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  12. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  13. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  14. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  15. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  16. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  17. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  18. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  19. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  20. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  1. 17 CFR 1.49 - Denomination of customer funds and location of depositories.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Denomination of customer funds and location of depositories. 1.49 Section 1.49 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.49 Denomination...

  2. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  3. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  4. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  5. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  6. 17 CFR 210.12-25 - Supplementary profit and loss information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supplementary profit and loss information. 210.12-25 Section 210.12-25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  7. 17 CFR 1.1 - Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in or in connection with... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 Fraud in or in connection with transactions in foreign currency subject to the...

  8. 76 FR 4569 - Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-26

    ... COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 165 RIN Number 3038-AD04 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act Correction In proposed rule document 2010-29022, beginning on page 75728 in the issue of Monday, December 6, 2010, make the following correction...

  9. 17 CFR 1.46 - Application and closing out of offsetting long and short positions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Application and closing out of offsetting long and short positions. 1.46 Section 1.46 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.46 Application...

  10. 17 CFR 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Simultaneous buying and... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.39 Simultaneous buying and selling orders of different principals...

  11. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  12. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  13. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  14. 17 CFR 270.14a-2 - Exemption from section 14(a) of the Act for certain registered separate accounts and their...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from section 14(a... Section 270.14a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.14a-2 Exemption from section 14(a) of the Act...

  15. 17 CFR 230.133 - Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition for purposes of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer...

  16. 75 FR 66426 - Determination of Foreign Exchange Swaps and Forwards

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-28

    ... Commodity Exchange Act (``CEA''), as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer... Act in violation of any rule promulgated by the Commodity Futures Trading Commission (``CFTC'').\\6\\ \\2...) an exchange of 2 different currencies on a specific date at a fixed rate that is agreed upon on the...

  17. 77 FR 30595 - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-23

    ...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are adopting new rules and interpretive guidance under the Commodity Exchange Act (``CEA''), and the Securities Exchange Act of 1934 (``Exchange Act''), to further define the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' ``major security-based swap participant,'' and ``eligible contract participant.''

  18. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  19. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  20. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  1. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  2. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  3. 17 CFR 240.15b9-1 - Exemption for certain exchange members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for certain exchange members. 240.15b9-1 Section 240.15b9-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  4. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(5) of the Securities Act...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  5. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  6. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  7. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(5) of the Securities Act...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  8. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules...

  9. 17 CFR 1.28 - Appraisal of instruments purchased with customer funds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... purchased with customer funds. 1.28 Section 1.28 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.28 Appraisal of instruments purchased with customer funds. Futures commission merchants who...

  10. 17 CFR 1.26 - Deposit of instruments purchased with customer funds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... purchased with customer funds. 1.26 Section 1.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.26 Deposit of instruments purchased with customer funds. (a) Each futures commission merchant...

  11. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules §§ 162...

  12. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules §§ 162...

  13. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out...

  14. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  15. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  16. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  17. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Electronic shareholder forums. 240.14a-17 Section 240.14a-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  18. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  19. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  20. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  1. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  2. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  3. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  4. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  5. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  6. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  7. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  8. 17 CFR 240.12b-3 - Title of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Title of securities. 240.12b-3 Section 240.12b-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  9. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  10. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  11. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  12. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  13. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  14. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  15. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  16. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  17. 17 CFR 230.481 - Information required in prospectuses.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Information required in prospectuses. 230.481 Section 230.481 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business Development Companies...

  18. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  19. 17 CFR 171.4 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 171.4 Section 171.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... computing any period of time prescribed by these rules or allowed by the Commission, the day of the act...

  20. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... pool participant or a client of a commodity trading advisor, an electronic signature executed by the...

  1. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... broker, a pool participant or a client of a commodity trading advisor, an electronic signature executed...

  2. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... pool participant or a client of a commodity trading advisor, an electronic signature executed by the...

  3. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.8...

  4. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.8...

  5. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  6. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  7. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  8. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  9. 17 CFR 204.3 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false General. 204.3 Section 204.3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION...; the Social Security Act; or the tariff laws of the United States. (e) The procedures for...

  10. 17 CFR 230.610 - Suspension of exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Suspension of exemption. 230.610 Section 230.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  11. 17 CFR 230.484 - Undertaking required in certain registration statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Undertaking required in certain registration statements. 230.484 Section 230.484 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business...

  12. 17 CFR 230.608 - Prohibition of certain statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Prohibition of certain statements. 230.608 Section 230.608 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  13. 17 CFR 1.31 - Books and records; keeping and inspection.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Books and records; keeping and... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.31 Books and records; keeping and inspection. (a)(1) All books and records required to be kept by the Act or by these regulations shall be kept for...

  14. 17 CFR 1.31 - Books and records; keeping and inspection.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Books and records; keeping and... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.31 Books and records; keeping and inspection. (a)(1) All books and records required to be kept by the Act or by these regulations shall be kept for...

  15. 17 CFR 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Requirements for cancellation....17Ad-19 Section 240.17Ad-19 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  16. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  17. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  18. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  19. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  20. 17 CFR 249.331 - Form N-CSR, certified shareholder report.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-CSR, certified shareholder report. 249.331 Section 249.331 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.331 Form N-CSR, certified...

  1. 17 CFR 249.331 - Form N-CSR, certified shareholder report.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-CSR, certified shareholder report. 249.331 Section 249.331 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.331 Form N-CSR, certified...

  2. 17 CFR 210.6-10 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6-10 Section 210.6-10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  3. 17 CFR 210.6A-05 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6A-05 Section 210.6A-05 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  4. 17 CFR 240.0-2 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Business hours of the Commission. 240.0-2 Section 240.0-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-2 Business hours of the Commission. (a...

  5. 17 CFR 240.12a-5 - Temporary exemption of substituted or additional securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary exemption of substituted or additional securities. 240.12a-5 Section 240.12a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  6. 17 CFR 240.14d-2 - Commencement of a tender offer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Commencement of a tender offer. 240.14d-2 Section 240.14d-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  7. 17 CFR 240.14a-12 - Solicitation before furnishing a proxy statement.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Solicitation before furnishing a proxy statement. 240.14a-12 Section 240.14a-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  8. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED... Exchange Act of 1934 Exemption of Certain Transactions from Section 16(c) § 240.16c-4 Derivative securities...

  9. 17 CFR 240.12b-37 - Satisfaction of filing requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Satisfaction of filing requirements. 240.12b-37 Section 240.12b-37 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Under the Securities Exchange Act of 1934 Special Provisions § 240.12b-37 Satisfaction of filing...

  10. 17 CFR 201.58 - Judicial review.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Judicial review. 201.58 Section 201.58 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Regulations Pertaining to the Equal Access to Justice Act § 201.58 Judicial review. Judicial review of final...

  11. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies. This...

  12. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies. This...

  13. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  14. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  15. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  16. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  17. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  18. 17 CFR 230.173 - Notice of registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Notice of registration. 230.173 Section 230.173 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.173 Notice of registration. (a) In a...

  19. 17 CFR 230.259 - Withdrawal or abandonment of offering statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Withdrawal or abandonment of offering statements. 230.259 Section 230.259 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation A-Conditional Small Issues...

  20. 17 CFR 256.01-6 - Departmental classification required.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Departmental classification required. 256.01-6 Section 256.01-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 General Instructions § 256.01-6 Departmental classification required...

  1. 17 CFR 230.603 - Amount of securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Amount of securities exempted. 230.603 Section 230.603 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  2. 17 CFR 230.651-230.656 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false [Reserved] 230.651-230.656 Section 230.651-230.656 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  3. 17 CFR 230.609 - Reports of sales hereunder.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Reports of sales hereunder. 230.609 Section 230.609 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  4. 17 CFR 201.37 - Delegations of authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Delegations of authority. 201.37 Section 201.37 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Regulations Pertaining to the Equal Access to Justice Act § 201.37 Delegations of authority. (a...

  5. 17 CFR 229.1122 - (Item 1122) Compliance with applicable servicing criteria.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1122) Compliance with applicable servicing criteria. 229.1122 Section 229.1122 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES...

  6. 17 CFR 229.1122 - (Item 1122) Compliance with applicable servicing criteria.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1122) Compliance with applicable servicing criteria. 229.1122 Section 229.1122 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES...

  7. 17 CFR 256.310 - Aircraft and airport equipment.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Aircraft and airport equipment. 256.310 Section 256.310 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 Service Company Property Accounts § 256.310 Aircraft and airport...

  8. 17 CFR 256.310 - Aircraft and airport equipment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Aircraft and airport equipment. 256.310 Section 256.310 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 Service Company Property Accounts § 256.310 Aircraft and airport...

  9. 17 CFR 141.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Purpose and scope. 141.1 Section 141.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141...: (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et seq.; (2) The Social Security Act...

  10. 17 CFR 4.12 - Exemption from provisions of part 4.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Exemption from provisions of part 4. 4.12 Section 4.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... pool for which it makes such claim: (A) Will be offered and sold pursuant to the Securities Act of 1933...

  11. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  12. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  13. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  14. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  15. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  16. 17 CFR 256.188 - Research, development, or demonstration expenditures.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Research, development, or demonstration expenditures. 256.188 Section 256.188 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 4. Deferred Debits § 256.188 Research, development, or...

  17. 17 CFR 230.702(T)-230.703(T) - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false [Reserved] 230.702(T)-230.703(T) Section 230.702(T)-230.703(T) Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of...

  18. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  19. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  20. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  1. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  2. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  3. 17 CFR 230.110 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours of the Commission. 230.110 Section 230.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.110 Business hours of the Commission...

  4. 17 CFR 210.12-12 - Investments in securities of unaffiliated issuers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments in securities of unaffiliated issuers. 210.12-12 Section 210.12-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  5. 17 CFR 229.1014 - (Item 1014) Fairness of the going-private transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1014) Fairness of the going-private transaction. 229.1014 Section 229.1014 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES...

  6. 17 CFR 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1009) Persons/assets, retained, employed, compensated or used. 229.1009 Section 229.1009 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933...

  7. 17 CFR 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1009) Persons/assets, retained, employed, compensated or used. 229.1009 Section 229.1009 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933...

  8. 17 CFR 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 1009) Persons/assets, retained, employed, compensated or used. 229.1009 Section 229.1009 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933...

  9. 17 CFR 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 1009) Persons/assets, retained, employed, compensated or used. 229.1009 Section 229.1009 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933...

  10. 17 CFR 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1009) Persons/assets, retained, employed, compensated or used. 229.1009 Section 229.1009 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933...

  11. 17 CFR 230.801 - Exemption in connection with a rights offering.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exemption in connection with a rights offering. 230.801 Section 230.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Exemptions for Cross-Border Rights Offerings...

  12. 17 CFR 230.606 - Offering not in excess of $100,000.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offering not in excess of $100,000. 230.606 Section 230.606 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  13. 17 CFR 230.190 - Registration of underlying securities in asset-backed securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Registration of underlying securities in asset-backed securities transactions. 230.190 Section 230.190 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  14. 17 CFR 403.6 - Compliance with part by futures commission merchants.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Compliance with part by futures commission merchants. 403.6 Section 403.6 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER...

  15. 17 CFR 403.2 - Hypothecation of customer securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Hypothecation of customer securities. 403.2 Section 403.2 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES...

  16. 17 CFR 279.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Availability of forms. 279.0-1 Section 279.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940 § 279.0-1 Availability of forms. (a) This part...

  17. 17 CFR 250.49 - Certain exemptions granted to non-utility subsidiaries.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Certain exemptions granted to non-utility subsidiaries. 250.49 Section 250.49 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935...

  18. 17 CFR 240.0-3 - Filing of material with the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of material with the Commission. 240.0-3 Section 240.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-3 Filing of material with the Commission...

  19. 17 CFR 240.15c1-2 - Fraud and misrepresentation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Fraud and misrepresentation. 240.15c1-2 Section 240.15c1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules Relating to Over-The-Counter Markets § 240.15c1-2 Fraud and...

  20. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  1. 17 CFR 240.14d-6 - Disclosure of tender offer information to security holders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Disclosure of tender offer information to security holders. 240.14d-6 Section 240.14d-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  2. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  3. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  4. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  5. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  6. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  7. 17 CFR 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from Section 7 for OTC derivatives dealers. 240.36a1-1 Section 240.36a1-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  8. 17 CFR 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SRO membership for OTC derivatives dealers. 240.15b9-2 Section 240.15b9-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  9. 17 CFR 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SIPA for OTC derivatives dealers. 240.36a1-2 Section 240.36a1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  10. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  11. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  12. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  13. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  14. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  15. 17 CFR 240.15c1-8 - Sales at the market.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Sales at the market. 240.15c1-8 Section 240.15c1-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules Relating to Over-The-Counter Markets § 240.15c1-8 Sales at the market...

  16. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  17. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  18. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Internal risk management control system requirements for supervised investment bank holding companies. 240.17i-4 Section 240.17i-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  19. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Internal risk management control system requirements for supervised investment bank holding companies. 240.17i-4 Section 240.17i-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  20. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  1. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  2. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  3. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  4. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  5. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  6. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  7. 17 CFR 260.7a-36 - Signatures to amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Signatures to amendments. 260.7a-36 Section 260.7a-36 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Amendments § 260.7a-36 Signatures to...

  8. 17 CFR 270.17j-1 - Personal investment activities of investment company personnel.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Personal investment activities of investment company personnel. 270.17j-1 Section 270.17j-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270...

  9. 17 CFR 275.0-3 - References to rules and regulations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false References to rules and regulations. 275.0-3 Section 275.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-3 References to rules and...

  10. 17 CFR 270.0-3 - Amendments to registration statements and reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to registration statements and reports. 270.0-3 Section 270.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.0-3 Amendments to...

  11. 17 CFR 270.17j-1 - Personal investment activities of investment company personnel.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Personal investment activities of investment company personnel. 270.17j-1 Section 270.17j-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270...

  12. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  13. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  14. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  15. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  16. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  17. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  18. 17 CFR 229.1204 - (Item 1204) Oil and gas production, production prices and production costs.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1204) Oil and gas production, production prices and production costs. 229.1204 Section 229.1204 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF...

  19. 17 CFR 275.202(a)(11)(G)-1 - Family offices.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Family offices. 275.202(a)(11)(G)-1 Section 275.202(a)(11)(G)-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.202(a)(11)(G)-1 Family...

  20. 17 CFR 250.7 - Companies deemed not to be electric or gas utility companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Companies deemed not to be electric or gas utility companies. 250.7 Section 250.7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935...

  1. 17 CFR 210.12-12B - Open option contracts written.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Open option contracts written. 210.12-12B Section 210.12-12B Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... AND CONSERVATION ACT OF 1975 Form and Content of Schedules § 210.12-12B Open option contracts written...

  2. 17 CFR 210.12-12B - Open option contracts written.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Open option contracts written. 210.12-12B Section 210.12-12B Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... AND CONSERVATION ACT OF 1975 For Management Investment Companies § 210.12-12B Open option contracts...

  3. 17 CFR 210.12-12B - Open option contracts written.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Open option contracts written. 210.12-12B Section 210.12-12B Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... AND CONSERVATION ACT OF 1975 Form and Content of Schedules § 210.12-12B Open option contracts written...

  4. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  5. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  6. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  7. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  8. 17 CFR 230.165 - Offers made in connection with a business combination transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offers made in connection with a business combination transaction. 230.165 Section 230.165 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.165...

  9. 17 CFR 230.167 - Communications in connection with certain registered offerings of asset-backed securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Communications in connection with certain registered offerings of asset-backed securities. 230.167 Section 230.167 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933...

  10. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  11. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  12. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  13. 17 CFR 403.1 - Application of part to registered brokers and dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Application of part to registered brokers and dealers. 403.1 Section 403.1 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER...

  14. 17 CFR 269.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Availability of forms. 269.0-1 Section 269.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.0-1 Availability of forms. (a) This part identifies...

  15. 17 CFR 274.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Availability of forms. 274.0-1 Section 274.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 § 274.0-1 Availability of forms. (a) This part identifies...

  16. 17 CFR 240.16a-3 - Reporting transactions and holdings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Act, except: (A) Exercises and conversions of derivative securities exempt under either § 240.16b-3 or... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reporting transactions and holdings. 240.16a-3 Section 240.16a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  17. 17 CFR 404.1 - Application of part to registered brokers and dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Application of part to registered brokers and dealers. 404.1 Section 404.1 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RECORDKEEPING AND...

  18. 17 CFR 37.3 - Requirements for underlying commodities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 5a(b)(3) of the Act, may trade any contract of sale of a commodity for future delivery (or option on... that are a security futures product, and the registered derivatives transaction execution facility is a... commodities. 37.3 Section 37.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION...

  19. 32 CFR 275.3 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... dealer in securities or commodities. (9) An investment banker or investment company. (10) A currency... matters. (26) Any futures commission merchant, commodity trading advisor, or commodity pool operator registered, or required to register, under the Commodity Exchange Act that is located inside any State or...

  20. 17 CFR 260.0-3 - Definition of “rules and regulations” as used in certain sections of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of ârules and regulationsâ as used in certain sections of the Act. 260.0-3 Section 260.0-3 Commodity and Securities Exchanges... Terms Used in the Rules and Regulations § 260.0-3 Definition of “rules and regulations” as used in...

  1. 17 CFR 240.6a-4 - Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... this section is available continuously on an Internet web site controlled by a Security Futures Product... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Notice of registration under... registered under Section 6(g) of the Act. 240.6a-4 Section 240.6a-4 Commodity and Securities Exchanges...

  2. 17 CFR 240.6a-4 - Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... this section is available continuously on an Internet web site controlled by a Security Futures Product... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Notice of registration under... registered under Section 6(g) of the Act. 240.6a-4 Section 240.6a-4 Commodity and Securities Exchanges...

  3. 17 CFR 270.27e-1 - Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Requirements for notice to be... Act. 270.27e-1 Section 270.27e-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... administered by the U.S. Securities and Exchange Commission. You should read it carefully and retain it with...

  4. 17 CFR 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Internal risk management control systems for OTC derivatives dealers. 240.15c3-4 Section 240.15c3-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  5. 17 CFR 230.144 - Persons deemed not to be engaged in a distribution and therefore not underwriters.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Persons deemed not to be engaged in a distribution and therefore not underwriters. 230.144 Section 230.144 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  6. 17 CFR 269.1 - Form T-1, for statement of eligibility and qualification for corporate trustees.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form T-1, for statement of eligibility and qualification for corporate trustees. 269.1 Section 269.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.1...

  7. 17 CFR 269.1 - Form T-1, for statement of eligibility and qualification for corporate trustees.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form T-1, for statement of eligibility and qualification for corporate trustees. 269.1 Section 269.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.1...

  8. 17 CFR 269.1 - Form T-1, for statement of eligibility and qualification for corporate trustees.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form T-1, for statement of eligibility and qualification for corporate trustees. 269.1 Section 269.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.1...

  9. 17 CFR 269.1 - Form T-1, for statement of eligibility and qualification for corporate trustees.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form T-1, for statement of eligibility and qualification for corporate trustees. 269.1 Section 269.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.1...

  10. 17 CFR 269.1 - Form T-1, for statement of eligibility and qualification for corporate trustees.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form T-1, for statement of eligibility and qualification for corporate trustees. 269.1 Section 269.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.1...

  11. 17 CFR 240.15d-20 - Plain English presentation of specified information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Plain English presentation of specified information. 240.15d-20 Section 240.15d-20 Commodity and Securities Exchanges SECURITIES AND... Regulations Under the Securities Exchange Act of 1934 Other Reports § 240.15d-20 Plain English presentation of...

  12. 17 CFR 240.13a-20 - Plain English presentation of specified information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Plain English presentation of specified information. 240.13a-20 Section 240.13a-20 Commodity and Securities Exchanges SECURITIES AND... Regulations Under the Securities Exchange Act of 1934 Other Reports § 240.13a-20 Plain English presentation of...

  13. 17 CFR 270.3a-1 - Certain prima facie investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Certain prima facie investment companies. 270.3a-1 Section 270.3a-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-1 Certain prima facie investment...

  14. 75 FR 8682 - Sunshine Act Meetings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... futures and options in the precious and base metals markets, and to consider Federal position limits in... precious and base metals markets and related hedge exemptions on regulated futures exchanges, derivatives... COMMODITY FUTURES TRADING COMMISSION Sunshine Act Meetings Agency Holding the Meeting: Commodity...

  15. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  16. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  17. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  18. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  19. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  20. 17 CFR 210.12-13 - Investments other than securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments other than... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  1. 17 CFR 210.12-13 - Investments other than securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments other than... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  2. 17 CFR 210.6A-03 - Statements of financial condition.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Employee Stock Purchase... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Statements of financial...

  3. 17 CFR 165.18 - Staff communications with whistleblowers from represented entities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Staff communications with... FUTURES TRADING COMMISSION WHISTLEBLOWER RULES § 165.18 Staff communications with whistleblowers from... Commission relating to a potential violation of the Commodity Exchange Act, the Commission's staff is...

  4. 17 CFR 259.5s - Form U5S, for annual reports filed under section 5(c) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form U5S, for annual reports filed under section 5(c) of the Act. 259.5s Section 259.5s Commodity and Securities Exchanges SECURITIES... 1935 Forms for Registration and Annual Supplements § 259.5s Form U5S, for annual reports filed under...

  5. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  6. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  7. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  8. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  9. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  10. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION 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 Roll-Up...

  11. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION 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 Roll-Up...

  12. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  13. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  14. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  15. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  16. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION 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 Roll-Up...

  17. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION 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 Roll-Up...

  18. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  19. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  20. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  1. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  2. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  3. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  4. 17 CFR 449.1 - Form G-FIN, notification by financial institutions of status as government securities broker or...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form G-FIN, notification by...)(i) of the Securities Exchange Act of 1934. 449.1 Section 449.1 Commodity and Securities Exchanges... Currency, the Federal Deposit Insurance Corporation, the Director of the Office of Thrift Supervision and...

  5. 17 CFR 240.15d-23 - Reporting regarding certain securities underlying asset-backed securities under section 15(d) of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act. 240.15d-23 Section 240.15d-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND...

  6. 17 CFR 239.17c - Form N-6, registration statement for separate accounts organized as unit investment trusts that...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... insurance policies. Form N-6 shall be used for registration under the Securities Act of 1933 of securities... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form N-6, registration... policies. 239.17c Section 239.17c Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  7. 17 CFR 1.27 - Record of investments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Record of investments. 1.27... UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.27 Record of investments... record showing the following: (1) The date on which such investments were made; (2) The name of the...

  8. 17 CFR 1.60 - Pending legal proceedings.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Pending legal proceedings. 1... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.60 Pending legal proceedings. (a) Every... Commission may thereafter request filed in any material legal proceeding to which the contract market is a...

  9. 17 CFR 1.60 - Pending legal proceedings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Pending legal proceedings. 1... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.60 Pending legal proceedings. (a) Every... Commission may thereafter request filed in any material legal proceeding to which the contract market is a...

  10. 17 CFR 1.60 - Pending legal proceedings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Pending legal proceedings. 1... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.60 Pending legal proceedings. (a) Every... Commission may thereafter request filed in any material legal proceeding to which the contract market is a...

  11. 17 CFR 1.25 - Investment of customer funds.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Investment of customer funds... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.25 Investment of customer funds. (a) Permitted investments. (1) Subject to the terms and conditions set forth in this...

  12. 17 CFR 1.27 - Record of investments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Record of investments. 1.27... UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.27 Record of investments... record showing the following: (1) The date on which such investments were made; (2) The name of the...

  13. 75 FR 76706 - Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-09

    ... COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63423... Reform and Consumer Protection Act, Section 719(b) AGENCY: Commodity Futures Trading Commission; Securities and Exchange Commission. ACTION: Request for Comments. SUMMARY: The Dodd-Frank Wall Street Reform...

  14. 17 CFR 4.12 - Exemption from provisions of part 4.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... part 4. 4.12 Section 4.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... said Act; (B) Will generally and routinely engage in the buying and selling of securities and securities derived instruments; (C) Will not enter into commodity futures and commodity options contracts for...

  15. 17 CFR 210.12-12A - Investments-securities sold short.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments-securities sold... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  16. 17 CFR 210.12-12A - Investments-securities sold short.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments-securities sold... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  17. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  18. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  19. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  20. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  1. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  2. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. 230.489 Section 230.489 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment...

  3. 17 CFR 1.22 - Use of customer funds restricted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Use of customer funds... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.22 Use of customer funds restricted. No futures commission merchant shall use, or permit the use of, the customer funds of...

  4. 17 CFR 1.21 - Care of money and equities accruing to customers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Care of money and equities... COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.21 Care of money and equities accruing to customers. All money received directly or indirectly by...

  5. 17 CFR 232.106 - Prohibition against electronic submissions containing executable code.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Prohibition against electronic submissions containing executable code. 232.106 Section 232.106 Commodity and Securities Exchanges SECURITIES... Filer Manual section also may be a violation of the Computer Fraud and Abuse Act of 1986, as amended...

  6. 17 CFR 232.106 - Prohibition against electronic submissions containing executable code.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Prohibition against electronic submissions containing executable code. 232.106 Section 232.106 Commodity and Securities Exchanges SECURITIES... Filer Manual section also may be a violation of the Computer Fraud and Abuse Act of 1986, as amended...

  7. 17 CFR 232.106 - Prohibition against electronic submissions containing executable code.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Prohibition against electronic submissions containing executable code. 232.106 Section 232.106 Commodity and Securities Exchanges SECURITIES... Filer Manual section also may be a violation of the Computer Fraud and Abuse Act of 1986, as amended...

  8. 17 CFR 1.7 - Books and records requirements for security-based swap agreements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Books and records requirements... FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.7 Books... not be required to keep and maintain additional books and records regarding security-based swap...

  9. 17 CFR 1.7 - Books and records requirements for security-based swap agreements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Books and records requirements... FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.7 Books... not be required to keep and maintain additional books and records regarding security-based swap...

  10. 17 CFR 210.8-02 - Annual financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Annual financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  11. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  12. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  13. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  14. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  15. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  16. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  17. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  18. 17 CFR 270.3a-5 - Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for subsidiaries organized to finance the operations of domestic or foreign companies. 270.3a-5 Section 270.3a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-5 Exemption...

  19. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  20. 76 FR 54537 - Swap Data Repositories: Registration Standards, Duties and Core Principles

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-01

    ...The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting its regulations to implement section 21 of the Commodity Exchange Act (``CEA'' or ``Act''), which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (``SDRs''). Section 21 of the CEA was added by section 728 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'').

  1. 77 FR 48207 - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-13

    ...In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are jointly adopting new rules and interpretations under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') to further define the terms ``swap,'' ``security-based swap,'' and ``security-based swap agreement'' (collectively, ``Product Definitions''); regarding ``mixed swaps;'' and governing books and records with respect to ``security-based swap agreements.'' The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release.

  2. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  3. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  4. 17 CFR 245.103 - Issuer right of recovery; right of action by equity security owner.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., conversion or termination of a derivative security) in violation of section 306(a)(1) of that Act of an... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Issuer right of recovery; right of action by equity security owner. 245.103 Section 245.103 Commodity and Securities Exchanges...

  5. 17 CFR 249.332 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 249.332 Section 249.332 Commodity... Securities Exchange Act of 1934 § 249.332 Form N-Q, quarterly schedule of portfolio holdings of registered...

  6. 17 CFR 249.332 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 249.332 Section 249.332 Commodity... Securities Exchange Act of 1934 § 249.332 Form N-Q, quarterly schedule of portfolio holdings of registered...

  7. 17 CFR 249.332 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 249.332 Section 249.332 Commodity... Securities Exchange Act of 1934 § 249.332 Form N-Q, quarterly schedule of portfolio holdings of registered...

  8. 17 CFR 249.332 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 249.332 Section 249.332 Commodity... Securities Exchange Act of 1934 § 249.332 Form N-Q, quarterly schedule of portfolio holdings of registered...

  9. 17 CFR 1.20 - Customer funds to be segregated and separately accounted for.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money... contract market, a futures commission merchant, or any depository except to purchase, margin, guarantee... money accruing to such commodity or option customers as the result of trades, contracts or commodity...

  10. 76 FR 77670 - Retail Commodity Transactions Under Commodity Exchange Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-14

    ... were characterized as spot sales in contract documents, but in which, in practice, customer positions... but were ``in form, spot sales for delivery within 48 hours.'' \\10\\ In so ruling, the court focused... documents, held them to be spot contracts outside of CFTC jurisdiction. The CFTC Reauthorization Act of 2008...

  11. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  12. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  13. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  14. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  15. 75 FR 34434 - Request To Amend an Existing Order Under Section 4(c) of the Commodity Exchange Act Permitting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-17

    ...) pursuant to Section 4(c) of the Act, (a) to permit the clearing of coffee, sugar, and cocoa OTC swap..., ``a * * * commodity swap,'' which latter term includes swaps on agricultural products. While the...(c) of the Act, ICE Clear could not engage in the clearing of OTC swap contracts in cocoa, sugar and...

  16. 17 CFR 15.03 - Reporting levels.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...Street products are contracts offered by HedgeStreet, Inc., a designated contract market, that pay up to... Commodity Exchange Act. Security futures product has the same meaning as in section 1a(32) of the Commodity... as follows: Commodity Number of contracts Agricultural: Cocoa 100 Coffee 50 Corn 250 Cotton 100...

  17. 76 FR 49291 - Agricultural Swaps

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-10

    ...) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Kansas City Board of Trade Clearing Corporation To Clear Over-the-Counter Wheat Calendar Swaps and (2) Pursuant to Section 4d of the Commodity... businesses that produce, process, and merchandize energy commodities at retail and wholesale levels; National...

  18. 17 CFR 210.6A-01 - Application of §§ 210.6A-01 to 210.6A-05.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Employee Stock Purchase... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of §§ 210.6A-01...

  19. 17 CFR 229.510 - (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities. 229.510 Section 229.510 Commodity and...-REGULATION S-K Registration Statement and Prospectus Provisions § 229.510 (Item 510) Disclosure of Commission...

  20. 17 CFR 229.510 - (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities. 229.510 Section 229.510 Commodity and...-REGULATION S-K Registration Statement and Prospectus Provisions § 229.510 (Item 510) Disclosure of Commission...

  1. 17 CFR 229.510 - (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities. 229.510 Section 229.510 Commodity and...-REGULATION S-K Registration Statement and Prospectus Provisions § 229.510 (Item 510) Disclosure of Commission...

  2. 77 FR 9733 - Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-17

    ...The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (``CEA'') pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the ``Dodd-Frank Act''). These rules prescribe external business conduct standards for swap dealers and major swap participants.

  3. 78 FR 52426 - Retail Commodity Transactions Under Commodity Exchange Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-23

    ... enacted to reduce risk, increase transparency, and promote market integrity within the financial system by... typical commercial practice in cash or spot markets for the commodity involved.\\11\\ \\10\\ 7 U.S.C. 2(c)(2..., LLP (GBT), and Rothgerber Johnson & Lyons LLP (RJL). \\17\\ National Energy Markets Association (NEM...

  4. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges... Section 15(d) of the Act § 240.15g-2 Penny stock disclosure document relating to the penny stock market...

  5. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges... Section 15(d) of the Act § 240.15g-2 Penny stock disclosure document relating to the penny stock market...

  6. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges... Section 15(d) of the Act § 240.15g-2 Penny stock disclosure document relating to the penny stock market...

  7. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges... Section 15(d) of the Act § 240.15g-2 Penny stock disclosure document relating to the penny stock market...

  8. 17 CFR 274.11 - Form N-1, registration statement of open-end management investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... statement of open-end management investment companies. 274.11 Section 274.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT...(b) of the Investment Company Act of 1940 by open-end management investment companies that are...

  9. 17 CFR 403.7 - Effective dates.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES § 403.7 Effective... referred to in § 403.4 concerning the Securities Investor Protection Act of 1970, and (ii) if applicable... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Effective dates. 403.7 Section...

  10. 77 FR 64569 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-22

    ... underlying the Act, including, for example, promoting market transparency for derivatives markets, promoting... is registered as a derivatives clearing organization with the Commodity Futures Trading Commission... changes are consistent with the requirements of the Exchange Act. First, CME, a derivatives clearing...

  11. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934.

    THOMAS, 113th Congress

    Sen. Johanns, Mike [R-NE

    2013-05-07

    Senate - 05/08/2013 Read the second time. Placed on Senate Legislative Calendar under General Orders. Calendar No. 67. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  12. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934.

    THOMAS, 112th Congress

    Sen. Johanns, Mike [R-NE

    2012-08-01

    Senate - 08/01/2012 Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  13. 75 FR 24612 - Order Finding That the Zone 6-NY Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a... (``Reauthorization Act'') \\2\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  14. 75 FR 24592 - Order Finding that the TETCO-M3 Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a... (``Reauthorization Act'') \\2\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  15. 17 CFR 210.3-12 - Age of financial statements at effective date of registration statement or at mailing date of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements at... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY... POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements § 210.3-12 Age of...

  16. 75 FR 80897 - Swap Data Repositories

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-23

    ...The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is proposing rules to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 728 of the Dodd-Frank Act amends the Commodity Exchange Act (``CEA'' or the ``Act'') by adding new Section 21, which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (``SDRs'') and directs the Commission to adopt rules governing persons that are registered, as such, under this Section.

  17. 75 FR 80747 - End-User Exception to Mandatory Clearing of Swaps

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-23

    ...The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is proposing new requirements governing the elective exception to mandatory clearing of swaps available for swap counterparties meeting certain conditions under Section 2(h)(7) of the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission is requesting comments on the proposed rule and related matters.

  18. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  19. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  20. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  1. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  2. 17 CFR 210.3-10 - Financial statements of guarantors and issuers of guaranteed securities registered or being...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... than U.S. Generally Accepted Accounting Principles or International Financial Reporting Standards as... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Financial statements of... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  3. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes.

    THOMAS, 112th Congress

    Sen. Johanns, Mike [R-NE

    2011-05-11

    Senate - 05/11/2011 Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  4. 17 CFR 37.7 - Additional requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 37.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES... transaction execution facility insofar as transactions in futures or option contracts of foreign traders are... of section 5c(c) of the Act and § 40.2 of this chapter, derivatives transaction execution facilities...

  5. 17 CFR 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act-additional products.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...)(1) of this section that is otherwise excluded by section 1a(47)(B) of the Commodity Exchange Act (7 U.S.C. 1a(47)(B)). (c) Foreign exchange forwards and foreign exchange swaps. Notwithstanding.... 78c(a)(69)). (b) Inclusion of particular products. (1) The term swap includes, without limiting the...

  6. 17 CFR 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act-additional products.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...)(1) of this section that is otherwise excluded by section 1a(47)(B) of the Commodity Exchange Act (7 U.S.C. 1a(47)(B)). (c) Foreign exchange forwards and foreign exchange swaps. Notwithstanding.... 78c(a)(69)). (b) Inclusion of particular products. (1) The term swap includes, without limiting the...

  7. 17 CFR 240.11b-1 - Regulation of specialists.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Regulation of specialists. 240... Securities Exchange Act of 1934 Adoption of Regulation on Conduct of Specialists § 240.11b-1 Regulation of specialists. (a)(1) The rules of a national securities exchange may permit a member of such exchange to...

  8. 75 FR 23679 - Order Finding That the ICE Malin Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-04

    ... commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act...\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price discovery contracts (``SPDCs...

  9. 75 FR 24586 - Order Finding That the San Juan Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a...\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price discovery contracts (``SPDCs...

  10. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act shall...

  11. 17 CFR 200.20b - Director of Division of Investment Management.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) and pooled investment funds or... registered under the Investment Company Act of 1940 and pooled investment funds or accounts in connection... Investment Management. 200.20b Section 200.20b Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  12. 17 CFR 249.328T - Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.328T Form 17-H, Risk assessment...

  13. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  14. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  15. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  16. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  17. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  18. A bill to amend the Commodity Exchange Act to require energy commodities to be traded only on regulated markets, and for other purposes.

    THOMAS, 111th Congress

    Sen. Nelson, Bill [D-FL

    2009-01-13

    Senate - 01/13/2009 Read twice and referred to the Committee on Agriculture, Nutrition, and Forestry. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  19. 17 CFR 200.13 - Executive Director.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Section 200.13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization... and Information Services, the Office of Freedom of Information and Privacy Act Operations, and the...

  20. 17 CFR 200.310 - Fees.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of Records... Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312...

  1. 17 CFR 200.310 - Fees.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of Records... Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312...

  2. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities Act industry guides... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry... claims and claim adjustment expenses of property-casualty insurance underwriters. (g) Guide 7...

  3. 17 CFR 240.11a-1 - Regulation of floor trading.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Regulation of floor trading... Securities Exchange Act of 1934 Adoption of Floor Trading Regulation (rule 11a-1) § 240.11a-1 Regulation of floor trading. (a) No member of a national securities exchange, while on the floor of such exchange...

  4. 17 CFR 240.11a-1 - Regulation of floor trading.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Regulation of floor trading... Securities Exchange Act of 1934 Adoption of Floor Trading Regulation (rule 11a-1) § 240.11a-1 Regulation of floor trading. (a) No member of a national securities exchange, while on the floor of such exchange...

  5. 17 CFR 240.11a-1 - Regulation of floor trading.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Regulation of floor trading... Securities Exchange Act of 1934 Adoption of Floor Trading Regulation (rule 11a-1) § 240.11a-1 Regulation of floor trading. (a) No member of a national securities exchange, while on the floor of such exchange...

  6. 17 CFR 240.11a-1 - Regulation of floor trading.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Regulation of floor trading... Securities Exchange Act of 1934 Adoption of Floor Trading Regulation (rule 11a-1) § 240.11a-1 Regulation of floor trading. (a) No member of a national securities exchange, while on the floor of such exchange...

  7. 17 CFR 240.11a-1 - Regulation of floor trading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Regulation of floor trading... Securities Exchange Act of 1934 Adoption of Floor Trading Regulation (rule 11a-1) § 240.11a-1 Regulation of floor trading. (a) No member of a national securities exchange, while on the floor of such exchange...

  8. 75 FR 24626 - Order Finding That the TETCO-M3 Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a...\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price discovery contracts (``SPDCs...

  9. 17 CFR 240.15a-1 - Securities activities of OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... options, forwards, futures, swap agreements, or collars involving currencies, interest or other rates... derivatives dealers. 240.15a-1 Section 240.15a-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Under the Securities Exchange Act of 1934 Exemption of Certain Otc Derivatives Dealers § 240.15a-1...

  10. 17 CFR 240.12d2-1 - Suspension of trading.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Suspension of trading. 240... Securities Exchange Act of 1934 Suspension of Trading, Withdrawal, and Striking from Listing and Registration § 240.12d2-1 Suspension of trading. (a) A national securities exchange may suspend from trading a...

  11. 17 CFR 240.15a-1 - Securities activities of OTC derivatives dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... derivatives dealers. 240.15a-1 Section 240.15a-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Under the Securities Exchange Act of 1934 Exemption of Certain Otc Derivatives Dealers § 240.15a-1 Securities activities of OTC derivatives dealers. Preliminary Note: OTC derivatives dealers are a special...

  12. 17 CFR 240.12d2-1 - Suspension of trading.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Suspension of trading. 240... Securities Exchange Act of 1934 Suspension of Trading, Withdrawal, and Striking from Listing and Registration § 240.12d2-1 Suspension of trading. (a) A national securities exchange may suspend from trading a...

  13. 17 CFR 240.12d2-1 - Suspension of trading.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Suspension of trading. 240... Securities Exchange Act of 1934 Suspension of Trading, Withdrawal, and Striking from Listing and Registration § 240.12d2-1 Suspension of trading. (a) A national securities exchange may suspend from trading a...

  14. 17 CFR 240.12d2-1 - Suspension of trading.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Suspension of trading. 240... Securities Exchange Act of 1934 Suspension of Trading, Withdrawal, and Striking from Listing and Registration § 240.12d2-1 Suspension of trading. (a) A national securities exchange may suspend from trading a...

  15. 17 CFR 240.12d2-1 - Suspension of trading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Suspension of trading. 240... Securities Exchange Act of 1934 Suspension of Trading, Withdrawal, and Striking from Listing and Registration § 240.12d2-1 Suspension of trading. (a) A national securities exchange may suspend from trading a...

  16. 17 CFR 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... be sent by first-class U.S. mail or personally delivered to the Secretary, Commodity Futures Trading... this section, the authorized state official must inform the Secretary of the Commission by telephone as... of written communication to the Secretary of the Commission, prior to instituting the proceeding in...

  17. 17 CFR 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... be sent by first-class U.S. mail or personally delivered to the Secretary, Commodity Futures Trading... this section, the authorized state official must inform the Secretary of the Commission by telephone as... of written communication to the Secretary of the Commission, prior to instituting the proceeding in...

  18. 17 CFR 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... be sent by first-class U.S. mail or personally delivered to the Secretary, Commodity Futures Trading... this section, the authorized state official must inform the Secretary of the Commission by telephone as... of written communication to the Secretary of the Commission, prior to instituting the proceeding in...

  19. 17 CFR 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... be sent by first-class U.S. mail or personally delivered to the Secretary, Commodity Futures Trading... this section, the authorized state official must inform the Secretary of the Commission by telephone as... of written communication to the Secretary of the Commission, prior to instituting the proceeding in...

  20. 17 CFR 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... be sent by first-class U.S. mail or personally delivered to the Secretary, Commodity Futures Trading... this section, the authorized state official must inform the Secretary of the Commission by telephone as... of written communication to the Secretary of the Commission, prior to instituting the proceeding in...

  1. 17 CFR 160.6 - Information to be included in privacy notices.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... privacy notices. 160.6 Section 160.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.6 Information to be included in privacy notices. (a) General rule. The initial...

  2. 17 CFR 160.6 - Information to be included in privacy notices.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... privacy notices. 160.6 Section 160.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.6 Information to be included in privacy notices. (a) General rule. The...

  3. 17 CFR 160.6 - Information to be included in privacy notices.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... privacy notices. 160.6 Section 160.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.6 Information to be included in privacy notices. (a) General rule. The initial...

  4. 17 CFR 5.14 - Records to be kept by retail foreign exchange dealers and futures commission merchants.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Records to be kept by retail... be kept by retail foreign exchange dealers and futures commission merchants. (a) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application...

  5. 17 CFR 5.14 - Records to be kept by retail foreign exchange dealers and futures commission merchants.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Records to be kept by retail... be kept by retail foreign exchange dealers and futures commission merchants. (a) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application...

  6. 17 CFR 5.14 - Records to be kept by retail foreign exchange dealers and futures commission merchants.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Records to be kept by retail... be kept by retail foreign exchange dealers and futures commission merchants. (a) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application...

  7. 76 FR 807 - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-06

    ... fund-like products linked to the performance of underlying commodities.\\8\\ \\4\\ See, e.g., Securities Exchange Act Release No. 58161 (July 15, 2008), 73 FR 42380 (July 21, 2008) (SR-Amex-2008-39). \\5\\ See, e.g...). \\6\\ See, e.g., Securities Exchange Act Release No. 58457 (September 3, 2008), 73 FR 52711 (September...

  8. 75 FR 24641 - Order Finding That the HSC1

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... commercial market (``ECM'') under sections 2(h)(3)--(5) of the Commodity Exchange Act (``CEA'' or the ``Act... (``Reauthorization Act'') \\4\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  9. 17 CFR 270.17f-7 - Custody of investment company assets with a foreign securities depository.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Custody of investment company... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.17f-7 Custody of investment company assets with a foreign securities depository. (a) Custody...

  10. 17 CFR 240.12g-1 - Exemption from section 12(g).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... pursuant to section 12(g)(1) if on the last day of its most recent fiscal year the issuer had total assets...). 240.12g-1 Section 240.12g-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Extensions and Temporary Exemptions; Definitions § 240.12g-1 Exemption from...

  11. 17 CFR 240.12g-1 - Exemption from section 12(g).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... pursuant to section 12(g)(1) if on the last day of its most recent fiscal year the issuer had total assets...). 240.12g-1 Section 240.12g-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Extensions and Temporary Exemptions; Definitions § 240.12g-1 Exemption from...

  12. 17 CFR 240.12g-1 - Exemption from section 12(g).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... pursuant to section 12(g)(1) if on the last day of its most recent fiscal year the issuer had total assets...). 240.12g-1 Section 240.12g-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Extensions and Temporary Exemptions; Definitions § 240.12g-1 Exemption from...

  13. 17 CFR 240.12g-1 - Exemption from section 12(g).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... pursuant to section 12(g)(1) if on the last day of its most recent fiscal year the issuer had total assets...). 240.12g-1 Section 240.12g-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Extensions and Temporary Exemptions; Definitions § 240.12g-1 Exemption from...

  14. 17 CFR 240.12g-1 - Exemption from section 12(g).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... pursuant to section 12(g)(1) if on the last day of its most recent fiscal year the issuer had total assets...). 240.12g-1 Section 240.12g-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Extensions and Temporary Exemptions; Definitions § 240.12g-1 Exemption from...

  15. 17 CFR 239.25 - Form S-4, for the registration of securities issued in business combination transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form S-4, for the registration of securities issued in business combination transactions. 239.25 Section 239.25 Commodity and... business combination transactions. This form may be used for registration under the Securities Act of 1933...

  16. 17 CFR 1.37 - Customer's or option customer's name, address, and occupation recorded; record of guarantor or...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...'s name, address, and occupation recorded; record of guarantor or controller of account. 1.37 Section... UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.37 Customer's or option customer's name, address, and... each commodity futures or option account carried or introduced by it the true name and address of the...

  17. 17 CFR 249.508 - Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 8-M, consent to service... and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT... pursuant to Rule 15b1-5 (§ 240.15b1-5 of this chapter) by each corporate nonresident broker-dealer...

  18. 5 CFR 5101.103 - Outside employment and activities.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... Commission; or (3) Is prohibited by section 2(a)(7) of the Commodity Exchange Act, as incorporated in 17 CFR... employment or compensation from any person, exchange or clearinghouse subject to regulation by the Commission... in the activities of a nonprofit charitable, religious, professional, social, fraternal, educational...

  19. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  20. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  1. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  2. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  3. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  4. 17 CFR 230.238 - Exemption for standardized options.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... options. 230.238 Section 230.238 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Exemption for standardized options. (a) Exemption. Except as expressly provided in paragraphs (b) and (c) of this section, the Act does not apply to any standardized option, as that term is defined by section 240...

  5. 17 CFR 201.67 - Applications by legal guardians.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Applications by legal... Securities Exchange Act of 1934 § 201.67 Applications by legal guardians. An application pursuant to this subpart may be filed by an executor, administrator, or other legal representative of a person who provides...

  6. 17 CFR 229.302 - (Item 302) Supplementary financial information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... paragraphs 9-34 of Statement of Financial Accounting Standards (“SFAS”) No. 69, “Disclosures about Oil and... financial information. 229.302 Section 229.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Financial Information § 229.302...

  7. 17 CFR 270.8f-1 - Deregistration of certain registered investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registered investment companies. 270.8f-1 Section 270.8f-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.8f-1 Deregistration of certain registered investment companies. A registered investment company that seeks a...

  8. 17 CFR 240.8c-1 - Hypothecation of customers' securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Hypothecation of customers... Securities Exchange Act of 1934 Hypothecation of Customers' Securities § 240.8c-1 Hypothecation of customers... any customer under circumstances: (1) That will permit the commingling of securities carried for the...

  9. 75 FR 66829 - Determination of Foreign Exchange Swaps and Forwards

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-29

    ... Commodity Exchange Act (``CEA''), as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer... the application of the factors that the Secretary must consider in making a determination regarding... Treasury must consider the following factors: \\7\\ Notwithstanding any such determination by the Secretary...

  10. 17 CFR 230.156 - Investment company sales literature.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... literature. 230.156 Section 230.156 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... literature. (a) Under the federal securities laws, including section 17(a) of the Securities Act of 1933 (15... of any means or instrumentality of interstate commerce or of the mails, to use sales literature which...

  11. 17 CFR 230.156 - Investment company sales literature.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... literature. 230.156 Section 230.156 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... literature. (a) Under the federal securities laws, including section 17(a) of the Securities Act of 1933 (15... of any means or instrumentality of interstate commerce or of the mails, to use sales literature which...

  12. 17 CFR 230.156 - Investment company sales literature.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... literature. 230.156 Section 230.156 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... literature. (a) Under the federal securities laws, including section 17(a) of the Securities Act of 1933 (15... of any means or instrumentality of interstate commerce or of the mails, to use sales literature which...

  13. 17 CFR 403.3 - Use of customers' free credit balances.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... balances. 403.3 Section 403.3 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES § 403.3 Use of customers' free credit balances. Every registered government securities broker or dealer...

  14. 17 CFR 403.3 - Use of customers' free credit balances.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... balances. 403.3 Section 403.3 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES § 403.3 Use of customers' free credit balances. Every registered government securities broker or dealer...

  15. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Electronic shareholder forums... Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-17 Electronic shareholder... establish, maintain, or operate an electronic shareholder forum to facilitate interaction among the...

  16. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Electronic shareholder forums... Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-17 Electronic shareholder... establish, maintain, or operate an electronic shareholder forum to facilitate interaction among the...

  17. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Electronic shareholder forums... Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-17 Electronic shareholder... establish, maintain, or operate an electronic shareholder forum to facilitate interaction among the...

  18. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Electronic shareholder forums... Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-17 Electronic shareholder... establish, maintain, or operate an electronic shareholder forum to facilitate interaction among the...

  19. 17 CFR 403.4 - Customer protection-reserves and custody of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Customer protection-reserves... TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES § 403.4 Customer protection—reserves and custody of securities. Every registered...

  20. 76 FR 65224 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-20

    ..., such as promoting market transparency for over-the-counter derivatives markets, promoting the prompt... registration as a derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not... accurate clearance and settlement of derivative agreements, contracts, and transactions because it should...

  1. 76 FR 54270 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-31

    ... market transparency for over-the-counter derivatives markets, promoting the prompt and accurate clearance... derivatives clearing organization under the Commodity Exchange Act (``CEA'') and do not significantly affect... clearing agency be designed to promote the prompt and accurate clearance and settlement of derivative...

  2. 17 CFR 240.3b-14 - Definition of cash management securities activities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definition of cash management... Under the Securities Exchange Act of 1934 Definitions § 240.3b-14 Definition of cash management securities activities. The term cash management securities activities means securities activities that are...

  3. 17 CFR 240.12b-5 - Determination of affiliates of banks.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... banks. 240.12b-5 Section 240.12b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 General § 240.12b-5 Determination of affiliates of banks. In determining whether a person is an “affiliate” or “parent” of a bank or whether a bank is a “subsidiary” or “majority...

  4. 17 CFR 240.12b-5 - Determination of affiliates of banks.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... banks. 240.12b-5 Section 240.12b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 General § 240.12b-5 Determination of affiliates of banks. In determining whether a person is an “affiliate” or “parent” of a bank or whether a bank is a “subsidiary” or “majority...

  5. 17 CFR 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Inclusion of items, differentiation between items and answers, omission of instructions. 260.7a-16 Section 260.7a-16 Commodity and... INDENTURE ACT OF 1939 Formal Requirements § 260.7a-16 Inclusion of items, differentiation between items and...

  6. 17 CFR 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Inclusion of items, differentiation between items and answers, omission of instructions. 260.7a-16 Section 260.7a-16 Commodity and... INDENTURE ACT OF 1939 Formal Requirements § 260.7a-16 Inclusion of items, differentiation between items and...

  7. 17 CFR 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Inclusion of items, differentiation between items and answers, omission of instructions. 260.7a-16 Section 260.7a-16 Commodity and... INDENTURE ACT OF 1939 Formal Requirements § 260.7a-16 Inclusion of items, differentiation between items and...

  8. 17 CFR 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Inclusion of items, differentiation between items and answers, omission of instructions. 260.7a-16 Section 260.7a-16 Commodity and... INDENTURE ACT OF 1939 Formal Requirements § 260.7a-16 Inclusion of items, differentiation between items and...

  9. 17 CFR 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Inclusion of items, differentiation between items and answers, omission of instructions. 260.7a-16 Section 260.7a-16 Commodity and... INDENTURE ACT OF 1939 Formal Requirements § 260.7a-16 Inclusion of items, differentiation between items and...

  10. 17 CFR 274.130 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 274.130 Section 274.130 Commodity... INVESTMENT COMPANY ACT OF 1940 Forms for Reports § 274.130 Form N-Q, quarterly schedule of portfolio holdings...

  11. 17 CFR 274.130 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 274.130 Section 274.130 Commodity... INVESTMENT COMPANY ACT OF 1940 Forms for Reports § 274.130 Form N-Q, quarterly schedule of portfolio holdings...

  12. 17 CFR 274.130 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 274.130 Section 274.130 Commodity... INVESTMENT COMPANY ACT OF 1940 Forms for Reports § 274.130 Form N-Q, quarterly schedule of portfolio holdings...

  13. 17 CFR 274.130 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. 274.130 Section 274.130 Commodity... INVESTMENT COMPANY ACT OF 1940 Forms for Reports § 274.130 Form N-Q, quarterly schedule of portfolio holdings...

  14. 17 CFR 249.508 - Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 8-M, consent to service... and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT...-dealer. This form shall be filed pursuant to Rule 15b1-5 (§ 240.15b1-5 of this chapter) by each corporate...

  15. 17 CFR 249.508 - Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 8-M, consent to service... and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT...-dealer. This form shall be filed pursuant to Rule 15b1-5 (§ 240.15b1-5 of this chapter) by each corporate...

  16. 17 CFR 249.508 - Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 8-M, consent to service... and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT...-dealer. This form shall be filed pursuant to Rule 15b1-5 (§ 240.15b1-5 of this chapter) by each corporate...

  17. 17 CFR 275.206(4)-8 - Pooled investment vehicles.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Pooled investment vehicles... COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.206(4)-8 Pooled investment vehicles. (a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act...

  18. 17 CFR 275.206(4)-8 - Pooled investment vehicles.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Pooled investment vehicles... COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.206(4)-8 Pooled investment vehicles. (a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act...

  19. 17 CFR 275.206(4)-1 - Advertisements by investment advisers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Advertisements by investment... COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.206(4)-1 Advertisements by investment advisers. (a) It shall constitute a fraudulent, deceptive, or manipulative act...

  20. 75 FR 55382 - Sunshine Act Meetings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ... of Public Affairs at (202) 418-5080 or the SEC's office of Public Affairs at (202) 551-4120. Dated... provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission (``SEC'') and the Commodity Futures Trading Commission (``CFTC'') will hold public roundtable...

  1. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or Completion of Open...) of the Securities Investor Protection Act of 1970, as amended (hereinafter referred to as “the Act... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definitions. 300.300 Section...

  2. 75 FR 75665 - Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-06

    ... Commodity Exchange Act (Act) provides that exempt commercial markets (ECMs) are markets excluded from the...) implements the notification requirements, and rule 36.3(b)(1) establishes information requirements for ECMs consistent with section 2(h)(5)(B) of the Act. An ECM may provide the Commission with access to transactions...

  3. 75 FR 23686 - Order Finding That the Carbon Financial Instrument Contract Offered for Trading on the Chicago...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-04

    ... commercial market (``ECM'') under Section 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act... (``Reauthorization Act'') \\2\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  4. 17 CFR 240.15c1-8 - Sales at the market.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Sales at the market. 240.15c1... Securities Exchange Act of 1934 Rules Relating to Over-The-Counter Markets § 240.15c1-8 Sales at the market... securities exchange that such security is being offered to such customer “at the market” or at a price...

  5. 17 CFR 240.14a-16 - Internet availability of proxy materials.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Internet availability of proxy... Under the Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-16 Internet... the security holder a Notice of Internet Availability of Proxy Materials, as described in this section...

  6. 17 CFR 240.14a-16 - Internet availability of proxy materials.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Internet availability of proxy... Under the Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-16 Internet... the security holder a Notice of Internet Availability of Proxy Materials, as described in this section...

  7. 17 CFR 240.14a-16 - Internet availability of proxy materials.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Internet availability of proxy... Under the Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-16 Internet... the security holder a Notice of Internet Availability of Proxy Materials, as described in this section...

  8. 17 CFR 270.17f-4 - Custody of investment company assets with a securities depository.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Custody of investment company... SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.17f-4 Custody of investment company assets with a securities depository. (a) Custody arrangement with...

  9. 17 CFR 240.3b-12 - Definition of OTC derivatives dealer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to options, forwards, futures, swap agreements, or collars involving currencies, interest or other... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of OTC derivatives... Securities Exchange Act of 1934 Definitions § 240.3b-12 Definition of OTC derivatives dealer. The term OTC...

  10. 17 CFR 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... reinstate unlisted trading privileges. 240.12f-1 Section 240.12f-1 Commodity and Securities Exchanges... Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-1 Applications for permission to reinstate unlisted trading privileges. (a) An application to reinstate unlisted...

  11. 17 CFR 240.15d-10 - Transition reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Transition reports. 240.15d-10... Exchange Act of 1934 Other Reports § 240.15d-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  12. 17 CFR 240.15d-10 - Transition reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Transition reports. 240.15d-10... Exchange Act of 1934 Other Reports § 240.15d-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  13. 17 CFR 240.13a-10 - Transition reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Transition reports. 240.13a-10... Exchange Act of 1934 Other Reports § 240.13a-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  14. 17 CFR 240.15d-10 - Transition reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Transition reports. 240.15d-10... Exchange Act of 1934 Other Reports § 240.15d-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  15. 17 CFR 240.13a-10 - Transition reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Transition reports. 240.13a-10... Exchange Act of 1934 Other Reports § 240.13a-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  16. 17 CFR 240.13a-10 - Transition reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Transition reports. 240.13a-10... Exchange Act of 1934 Other Reports § 240.13a-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  17. 17 CFR 240.13a-10 - Transition reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Transition reports. 240.13a-10... Exchange Act of 1934 Other Reports § 240.13a-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  18. 17 CFR 240.15d-10 - Transition reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Transition reports. 240.15d-10... Exchange Act of 1934 Other Reports § 240.15d-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  19. 17 CFR 240.13a-10 - Transition reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Transition reports. 240.13a-10... Exchange Act of 1934 Other Reports § 240.13a-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  20. 17 CFR 240.15d-10 - Transition reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Transition reports. 240.15d-10... Exchange Act of 1934 Other Reports § 240.15d-10 Transition reports. (a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date...

  1. 17 CFR 240.14a-16 - Internet availability of proxy materials.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Internet availability of proxy... Under the Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-16 Internet... the security holder a Notice of Internet Availability of Proxy Materials, as described in this section...

  2. 17 CFR 240.14a-16 - Internet availability of proxy materials.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Internet availability of proxy... Under the Securities Exchange Act of 1934 Regulation 14a: Solicitation of Proxies § 240.14a-16 Internet... the security holder a Notice of Internet Availability of Proxy Materials, as described in this section...

  3. 17 CFR 275.0-4 - General requirements of papers and applications.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... and applications. 275.0-4 Section 275.0-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-4 General requirements... date when they are actually received by it. (2) All filings required to be made electronically with the...

  4. 17 CFR 275.0-4 - General requirements of papers and applications.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... and applications. 275.0-4 Section 275.0-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-4 General requirements... date when they are actually received by it. (2) All filings required to be made electronically with the...

  5. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  6. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  7. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  8. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  9. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  10. 17 CFR 240.3b-2 - Definition of “officer”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of âofficerâ. 240... Securities Exchange Act of 1934 Definitions § 240.3b-2 Definition of “officer”. The term officer means a... accounting officer, and any person routinely performing corresponding functions with respect to any...

  11. 17 CFR 270.31a-2 - Records to be preserved by registered investment companies, certain majority-owned subsidiaries...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies. 270.31a-2 Section 270.31a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF...

  12. 17 CFR 270.6c-3 - Exemptions for certain registered variable life insurance separate accounts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registered variable life insurance separate accounts. 270.6c-3 Section 270.6c-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6c-3 Exemptions for certain registered variable life insurance separate accounts. A separate...

  13. 17 CFR 210.9-06 - Condensed financial information of registrant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933... be presented in a note to the financial statements when the restricted net assets (§ 210.4-08(e)(3... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Condensed financial...

  14. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Derivative securities. 240.16b... Exchange Act of 1934 Exemption of Certain Transactions from Section 16(b) § 240.16b-6 Derivative securities...). Note to paragraph (b): The exercise or conversion of a derivative security that does not satisfy the...

  15. 17 CFR 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... reinstate unlisted trading privileges. 240.12f-1 Section 240.12f-1 Commodity and Securities Exchanges... Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-1 Applications for permission to reinstate unlisted trading privileges. (a) An application to reinstate unlisted...

  16. 17 CFR 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... reinstate unlisted trading privileges. 240.12f-1 Section 240.12f-1 Commodity and Securities Exchanges... Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-1 Applications for permission to reinstate unlisted trading privileges. (a) An application to reinstate unlisted...

  17. 17 CFR 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... reinstate unlisted trading privileges. 240.12f-1 Section 240.12f-1 Commodity and Securities Exchanges... Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-1 Applications for permission to reinstate unlisted trading privileges. (a) An application to reinstate unlisted...

  18. 17 CFR 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... reinstate unlisted trading privileges. 240.12f-1 Section 240.12f-1 Commodity and Securities Exchanges... Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-1 Applications for permission to reinstate unlisted trading privileges. (a) An application to reinstate unlisted...

  19. 17 CFR 42.2 - Compliance with Bank Secrecy Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Compliance with Bank Secrecy...-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.2 Compliance with Bank Secrecy Act. Every futures commission merchant and introducing broker shall comply with the applicable provisions of the Bank...

  20. 76 FR 22938 - Sunshine Act Meetings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-25

    ... of Public Affairs at (202) 418-5080 or the SEC's office of Public Affairs at (202) 551-4120. Dated... provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission (``SEC'') and the Commodity Futures Trading Commission (``CFTC'') will hold a public roundtable to...

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