Sample records for forms securities exchange

  1. 17 CFR 249.10 - Form 1-N for notice registration as a national securities exchange.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registration as a national securities exchange. 249.10 Section 249.10 Commodity and Securities Exchanges... or Exemption of, and Notification of Action Taken by, National Securities Exchanges § 249.10 Form 1-N for notice registration as a national securities exchange. This form shall be used for notice, and...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 17 CFR 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership... Certain Exchange Members, Brokers, and Dealers § 249.635 Form X-17A-19, report by national securities...

  7. 17 CFR 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership... Certain Exchange Members, Brokers, and Dealers § 249.635 Form X-17A-19, report by national securities...

  8. 17 CFR 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership... Certain Exchange Members, Brokers, and Dealers § 249.635 Form X-17A-19, report by national securities...

  9. 17 CFR 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership... Certain Exchange Members, Brokers, and Dealers § 249.635 Form X-17A-19, report by national securities...

  10. 17 CFR 249.635 - Form X-17A-19, report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership... Certain Exchange Members, Brokers, and Dealers § 249.635 Form X-17A-19, report by national securities...

  11. 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...

  12. 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...

  13. 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...

  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, 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...

  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, 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...

  16. 17 CFR 301.300b - Form 300-B, for report of all fails to deliver.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 300-B, for report of all fails to deliver. 301.300b Section 301.300b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 FORMS, SECURITIES INVESTOR PROTECTION CORPORATION Forms for...

  17. 17 CFR 301.300c - Form 300-C, for report of all fails to receive.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 300-C, for report of all fails to receive. 301.300c Section 301.300c Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 FORMS, SECURITIES INVESTOR PROTECTION CORPORATION Forms for...

  18. 17 CFR 239.34 - Form F-4, for registration of securities of foreign private issuers issued in certain business...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions. 239.34 Section 239.34 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE...

  19. 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...

  20. 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...

  1. 17 CFR 301.300a - Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 300-A, for summary of buy... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 FORMS, SECURITIES INVESTOR PROTECTION CORPORATION Forms for Closeout Or Completion of Open Contractual Commitments § 301.300a...

  2. 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...

  3. 17 CFR 239.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... F Street, NE, Washington, DC 20549. Any persons may inspect the forms at this address and at the... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Availability of forms. 239.0-1 Section 239.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED...

  4. 17 CFR 259.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... may inspect the forms at this address and at the Commission's regional and district offices. (See... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Availability of forms. 259.0-1 Section 259.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS...

  5. 17 CFR 239.800 - Form CB, report of sales of securities in connection with an exchange offer or 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 Form CB, report of sales of... Forms Pertaining to Exemptions § 239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering. This Form is used to report sales of securities in connection with a...

  6. 12 CFR 335.251 - Forms for notification of action taken by national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... national securities exchanges. 335.251 Section 335.251 Banks and Banking FEDERAL DEPOSIT INSURANCE... for notification of action taken by national securities exchanges. The applicable forms for notification of action taken by national securities exchanges are codified in subpart A of 17 CFR part 249. All...

  7. 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 ...

  8. 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 ...

  9. 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 ...

  10. 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 ...

  11. 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 ...

  12. 17 CFR 240.15Ba1-5 - Amendments to Form MA and Form MA-I.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Amendments to Form MA and Form MA-I. 240.15Ba1-5 Section 240.15Ba1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Amendments to Form MA and Form MA-I. (a) When amendment is required—Form MA. A registered municipal advisor...

  13. 17 CFR 209.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... may inspect the forms at this address and at the Commission's regional offices. (See § 200.11 of this... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Availability of forms. 209.0-1 Section 209.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED...

  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 249.0-1 - Availability of forms.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., 100 F Street, NE, Washington, DC 20549. Any person may inspect the forms at this address and at the... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Availability of forms. 249.0-1 Section 249.0-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS...

  16. 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...

  17. 17 CFR 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-17A-19 Report by... Certain Stabilizing Activities § 240.17a-19 Form X-17A-19 Report by national securities exchanges and... Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within 5 business...

  18. 17 CFR 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-17A-19 Report by... Certain Stabilizing Activities § 240.17a-19 Form X-17A-19 Report by national securities exchanges and... Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within 5 business...

  19. 17 CFR 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form X-17A-19 Report by... Certain Stabilizing Activities § 240.17a-19 Form X-17A-19 Report by national securities exchanges and... Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within 5 business...

  20. 17 CFR 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-17A-19 Report by... Certain Stabilizing Activities § 240.17a-19 Form X-17A-19 Report by national securities exchanges and... Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within 5 business...

  1. 17 CFR 240.17a-19 - Form X-17A-19 Report by national securities exchanges and registered national securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-17A-19 Report by... Certain Stabilizing Activities § 240.17a-19 Form X-17A-19 Report by national securities exchanges and... Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within 5 business...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 17 CFR 230.604 - Filing of notification on Form -1-E.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Business Investment Companies § 230.604 Filing of notification on Form -1-E. (a) At least 10 days... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Filing of notification on Form -1-E. 230.604 Section 230.604 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 17 CFR 240.16a-13 - Change in form of beneficial ownership.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... exercise or conversion of a derivative security or deposit into or withdrawal from a voting trust, that... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Change in form of beneficial ownership. 240.16a-13 Section 240.16a-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  14. 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...

  15. 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...

  16. 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...

  17. 17 CFR 242.404 - Type, form and use of margin.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Type, form and use of margin. 242.404 Section 242.404 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... this chapter; (v) Freely convertible foreign currency may be valued at an amount no greater than its...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  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 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 17 CFR 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and...

  13. 17 CFR 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and...

  14. 17 CFR 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and...

  15. 17 CFR 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and...

  16. 17 CFR 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... EXCHANGE COMMISSION (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and...

  17. 17 CFR 239.23 - Form N-14, for the registration of securities issued in business combination transactions by...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registration of securities issued in business combination transactions by investment companies and business development companies. 239.23 Section 239.23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... companies and business development companies. This form shall be used by a registered investment company or...

  18. 75 FR 4595 - BATS Y-Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61400; File No. 10-198] BATS Y-Exchange, Inc... Securities Exchange Act of 1934 January 22, 2010. On October 20, 2009, BATS Y-Exchange, Inc. (``BATS Y... on BATS Y Exchange's Form 1. The Commission will take these comments into consideration in making its...

  19. 17 CFR 249.1100 - Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form MSD, application for... of Municipal Securities Dealers § 249.1100 Form MSD, application for registration as a municipal... Exchange Act of 1934 (the “Act”), or to amend such application. Note: Copies of Form MSD have been filed...

  20. 17 CFR 41.46 - Type, form and use of margin.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Type, form and use of margin. 41.46 Section 41.46 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY... security in § 240.15c3-1(c)(2)(vi) of this title; (v) Freely convertible foreign currency may be valued at...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 17 CFR 239.38 - Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... completed fiscal years immediately prior to the business combination, when combined with the listing history... offers or a business combination. 239.38 Section 239.38 Commodity and Securities Exchanges SECURITIES AND... issuers to be issued in exchange offers or a business combination. (a) Form F-8 may be used for...

  7. 17 CFR 239.41 - Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... completed fiscal years immediately prior to the business combination, when combined with the listing history... offers or a business combination. 239.41 Section 239.41 Commodity and Securities Exchanges SECURITIES AND... issuers to be issued in exchange offers or a business combination. (a) Form F-80 may be used for...

  8. 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...

  9. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  10. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  11. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  12. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 17 CFR 239.42 - Form F-X, for appointment of agent for service of process and undertaking for issuers registering...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., rights offering or business combination. 239.42 Section 239.42 Commodity and Securities Exchanges... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-9, F-10...

  4. 17 CFR 274.129 - Form N-PX, annual report of proxy voting record of registered management investment company.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... proxy voting record of registered management investment company. 274.129 Section 274.129 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT... registered management investment company. This form shall be used by registered management investment...

  5. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  6. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  7. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  8. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  9. 17 CFR 249.1300T - Form MA-T-For temporary registration as a municipal advisor, and for amendments to, and...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form MA-T-For temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration. 249...) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Registration of Municipal Advisors § 249.1300T Form MA...

  10. 17 CFR 269.2 - Form T-2, for statement of eligibility and qualification for individual 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-2, for statement of... SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. This form shall be...

  11. 17 CFR 269.2 - Form T-2, for statement of eligibility and qualification for individual 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-2, for statement of... SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. This form shall be...

  12. 17 CFR 269.2 - Form T-2, for statement of eligibility and qualification for individual 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-2, for statement of... SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. This form shall be...

  13. 17 CFR 269.2 - Form T-2, for statement of eligibility and qualification for individual 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-2, for statement of... SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. This form shall be...

  14. 76 FR 39447 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-06

    ... SECURITIES AND EXCHANGE COMMISSION [Rule 15b6-1 and Form BDW; OMB Control No. 3235-0018; SEC File...: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC... et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of...

  15. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... Smaller Reporting Companies § 210.8-08 Age of financial statements. At the date of filing, financial...

  16. 17 CFR 249.308 - Form 8-K, for current reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 8-K, for current reports... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.308 Form 8-K, for current... Note: For Federal Register citations affecting Form 8-K, see the List of CFR Sections Affected, which...

  17. 17 CFR 249.308 - Form 8-K, for current reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 8-K, for current reports... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.308 Form 8-K, for current... Note: For Federal Register citations affecting Form 8-K, see the List of CFR Sections Affected, which...

  18. 17 CFR 249.308 - Form 8-K, for current reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 8-K, for current reports... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.308 Form 8-K, for current... Note: For Federal Register citations affecting Form 8-K, see the List of CFR Sections Affected, which...

  19. 17 CFR 249.308 - Form 8-K, for current reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 8-K, for current reports... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.308 Form 8-K, for current... Note: For Federal Register citations affecting Form 8-K, see the List of CFR Sections Affected, which...

  20. 17 CFR 249.308 - Form 8-K, for current reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 8-K, for current reports... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.308 Form 8-K, for current... Note: For Federal Register citations affecting Form 8-K, see the List of CFR Sections Affected, which...

  1. 17 CFR 249.1300T - Form MA-T-For temporary registration as a municipal advisor, and for amendments to, and...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form MA-T-For temporary...) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Registration of Municipal Advisors § 249.1300T Form MA... Form MA-T, see the List of CFR Sections Affected, which appears in the Finding Aids section of the...

  2. 76 FR 255 - Amendments To Form ADV; Extension of Compliance Date

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-04

    ...-00] RIN 3235-AI17 Amendments To Form ADV; Extension of Compliance Date AGENCY: Securities and Exchange Commission. ACTION: Final rule; extension of compliance date. SUMMARY: The Securities and Exchange Commission is extending the compliance date for Part 2B of Form ADV, the brochure supplement, and for certain...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 17 CFR 270.30a-2 - Certification of Form N-CSR and Form N-Q.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... and Form N-Q. 270.30a-2 Section 270.30a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Form N-CSR and Form N-Q. (a) Each report filed on Form N-CSR (§§ 249.331 and 274.128 of this chapter) or Form N-Q (§§ 249.332 and 274.130 of this chapter) by a registered management investment company...

  9. 17 CFR 270.30a-2 - Certification of Form N-CSR and Form N-Q.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... and Form N-Q. 270.30a-2 Section 270.30a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Form N-CSR and Form N-Q. (a) Each report filed on Form N-CSR (§§ 249.331 and 274.128 of this chapter) or Form N-Q (§§ 249.332 and 274.130 of this chapter) by a registered management investment company...

  10. 17 CFR 270.30a-2 - Certification of Form N-CSR and Form N-Q.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... and Form N-Q. 270.30a-2 Section 270.30a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Form N-CSR and Form N-Q. (a) Each report filed on Form N-CSR (§§ 249.331 and 274.128 of this chapter) or Form N-Q (§§ 249.332 and 274.130 of this chapter) by a registered management investment company...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 17 CFR 270.8b-24 - Summaries or outlines of documents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Summaries or outlines of documents. 270.8b-24 Section 270.8b-24 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... statement shall be made, in succinct and condensed form, as to the most important provisions of the document...

  1. 17 CFR 249.325 - Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934. 249.325... manager pursuant to section 13(f) of the Securities Exchange Act of 1934. This form shall be used by institutional investment managers which are required to furnish reports pursuant to section 13(f) of the...

  2. 78 FR 76662 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... rules and forms related to the offer and sale of securities pursuant to Section 3(b) of the Securities...

  3. 17 CFR 17.02 - Form, manner and time of filing reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Form, manner and time of filing reports. 17.02 Section 17.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... markets located in that time zone, and central time for information concerning all other markets. (b...

  4. 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...

  5. 17 CFR Appendix C to Part 4 - Form CTA-PR

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Form CTA-PR C Appendix C to Part 4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Pt. 4, App. C Appendix C to Part 4—Form CTA-PR ER24FE12.052 ER24FE12...

  6. 17 CFR 249.618 - Form BD-Y2K, information required of broker-dealers pursuant to section 17 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 BD-Y2K, information... Exchange Members, Brokers, and Dealers § 249.618 Form BD-Y2K, information required of broker-dealers... FR 37674, July 13, 1998] Editorial Note: For Federal Register citations affecting Form BD-Y2K, see...

  7. 17 CFR 249.619 - Form TA-Y2K, information required of transfer agents pursuant to section 17 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 TA-Y2K, information... Certain Exchange Members, Brokers, and Dealers § 249.619 Form TA-Y2K, information required of transfer... affecting Form TA-Y2K, see the List of CFR Sections Affected, which appears in the Finding Aids section of...

  8. 17 CFR 249.1001 - Form SIP, for application for registration as a securities information processor or to amend such...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... registration as a securities information processor or to amend such an application or registration. 249.1001..., SECURITIES EXCHANGE ACT OF 1934 Form for Registration of, and Reporting by Securities Information Processors § 249.1001 Form SIP, for application for registration as a securities information processor or to amend...

  9. 17 CFR 249.1001 - Form SIP, for application for registration as a securities information processor or to amend such...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registration as a securities information processor or to amend such an application or registration. 249.1001..., SECURITIES EXCHANGE ACT OF 1934 Form for Registration of, and Reporting by Securities Information Processors § 249.1001 Form SIP, for application for registration as a securities information processor or to amend...

  10. 17 CFR 301.300b - Form 300-B, for report of all fails to deliver.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... fails to deliver. 301.300b Section 301.300b Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300b Form 300-B, for report of all fails to... form shall be used to report all the fails to deliver, as defined by § 300.300(b) of this chapter, that...

  11. 17 CFR 301.300b - Form 300-B, for report of all fails to deliver.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... fails to deliver. 301.300b Section 301.300b Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300b Form 300-B, for report of all fails to... form shall be used to report all the fails to deliver, as defined by § 300.300(b) of this chapter, that...

  12. 17 CFR 301.300c - Form 300-C, for report of all fails to receive.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... fails to receive. 301.300c Section 301.300c Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300c Form 300-C, for report of all fails to... form shall be used to report all the fails to receive, as defied by § 300.300(a) of this chapter, that...

  13. 17 CFR 301.300b - Form 300-B, for report of all fails to deliver.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... fails to deliver. 301.300b Section 301.300b Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300b Form 300-B, for report of all fails to... form shall be used to report all the fails to deliver, as defined by § 300.300(b) of this chapter, that...

  14. 17 CFR 301.300c - Form 300-C, for report of all fails to receive.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... fails to receive. 301.300c Section 301.300c Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300c Form 300-C, for report of all fails to... form shall be used to report all the fails to receive, as defied by § 300.300(a) of this chapter, that...

  15. 17 CFR 301.300c - Form 300-C, for report of all fails to receive.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... fails to receive. 301.300c Section 301.300c Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300c Form 300-C, for report of all fails to... form shall be used to report all the fails to receive, as defied by § 300.300(a) of this chapter, that...

  16. 17 CFR 301.300c - Form 300-C, for report of all fails to receive.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... fails to receive. 301.300c Section 301.300c Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300c Form 300-C, for report of all fails to... form shall be used to report all the fails to receive, as defied by § 300.300(a) of this chapter, that...

  17. 17 CFR 301.300b - Form 300-B, for report of all fails to deliver.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... fails to deliver. 301.300b Section 301.300b Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Closeout Or Completion of Open Contractual Commitments § 301.300b Form 300-B, for report of all fails to... form shall be used to report all the fails to deliver, as defined by § 300.300(b) of this chapter, that...

  18. 17 CFR 210.3A-02 - Consolidated financial statements of the registrant and its subsidiaries.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Consolidated financial... Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS... 1975 Consolidated and Combined Financial Statements § 210.3A-02 Consolidated financial statements of...

  19. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  20. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  1. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  2. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  3. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  4. 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...

  5. 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...

  6. 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...

  7. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 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 Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  8. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 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 Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  9. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 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 Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  10. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 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 Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  11. 75 FR 38853 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-06

    ... SECURITIES AND EXCHANGE COMMISSION [Form N-14; SEC File No. 270-297; OMB Control No. 3235-0336... Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Form N-14, SEC... approval. Form N-14 (17 CFR 239.23)--Registration Statement Under the Securities Act of 1933 for Securities...

  12. 17 CFR 240.15d-19 - Reports by shell companies on Form 20-F.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reports by shell companies on... Under the Securities Exchange Act of 1934 Other Reports § 240.15d-19 Reports by shell companies on Form 20-F. Every foreign private issuer that was a shell company, other than a business combination...

  13. 17 CFR 240.13a-19 - Reports by shell companies on Form 20-F.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Reports by shell companies on... Under the Securities Exchange Act of 1934 Other Reports § 240.13a-19 Reports by shell companies on Form 20-F. Every foreign private issuer that was a shell company, other than a business combination...

  14. 17 CFR 240.15d-19 - Reports by shell companies on Form 20-F.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Reports by shell companies on... Under the Securities Exchange Act of 1934 Other Reports § 240.15d-19 Reports by shell companies on Form 20-F. Every foreign private issuer that was a shell company, other than a business combination...

  15. 17 CFR 240.13a-19 - Reports by shell companies on Form 20-F.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reports by shell companies on... Under the Securities Exchange Act of 1934 Other Reports § 240.13a-19 Reports by shell companies on Form 20-F. Every foreign private issuer that was a shell company, other than a business combination...

  16. 17 CFR 449.2 - Form G-FINW, notification by financial institutions of cessation of status as government...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form G-FINW, notification by....2 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE... available from the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the...

  17. 17 CFR 449.4 - Form G-FIN-5, notification of termination of association with a financial institution that is a...

    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-5, notification of.... 449.4 Section 449.4 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER... available from the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the...

  18. 17 CFR 449.3 - Form G-FIN-4, notification by persons associated with financial institutions that are government...

    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-4, notification by... Section 449.3 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C... Governors of the Federal Reserve System, the Comptroller of the Currency, the Federal Deposit Insurance...

  19. 17 CFR 274.203 - Form 4, statement of changes in beneficial ownership of securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 4, statement of changes... Forms for Other Statements § 274.203 Form 4, statement of changes in beneficial ownership of securities. This form shall be filed pursuant to § 270.30h-1 for statements of changes in beneficial ownership of...

  20. 17 CFR 274.203 - Form 4, statement of changes in beneficial ownership of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 4, statement of changes... Forms for Other Statements § 274.203 Form 4, statement of changes in beneficial ownership of securities. This form shall be filed pursuant to § 270.30h-1 for statements of changes in beneficial ownership of...

  1. 76 FR 13000 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ..., including through the use of automated collection techniques or other forms of information technology..., Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy... Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information...

  2. 17 CFR 210.11-03 - Presentation of financial forecast.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... required by generally accepted accounting principles. Form and Content of Schedules general ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Presentation of financial... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  3. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  4. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  5. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  6. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  7. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  8. 75 FR 79426 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-20

    ... SECURITIES AND EXCHANGE COMMISSION [Form BD-N/Rule 15b11-1; SEC File No. 270-498; OMB Control No.... Extension: Form BD-N/Rule 15b11-1; SEC File No. 270-498; OMB Control No. 3235-0556. Notice is hereby given...-register as broker-dealers pursuant to Section 15(b)(11)(A) of the Securities Exchange Act of 1934 (15 U.S...

  9. 75 FR 35852 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-23

    ... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 15Bc3-1 and Form MSD; SEC File No. 270-93; OMB Control No. 3235...

  10. 75 FR 22636 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

    ... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 6a-4, Form 1-N; OMB Control No. 3235-0554; SEC File No. 270-496...

  11. 17 CFR 239.13 - Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Form S-3, for registration... statement that it has a reasonable belief that it would have been eligible to use this Form S-3 as of... securities, discloses the basis for such belief, and files a final prospectus for an offering pursuant to...

  12. 17 CFR 239.13 - Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Form S-3, for registration... statement that it has a reasonable belief that it would have been eligible to use this Form S-3 as of... securities, discloses the basis for such belief, and files a final prospectus for an offering pursuant to...

  13. 17 CFR 239.13 - Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Form S-3, for registration... statement that it has a reasonable belief that it would have been eligible to use this Form S-3 as of... securities, discloses the basis for such belief, and files a final prospectus for an offering pursuant to...

  14. 17 CFR 249.801 - Form X-15AA-1, for application for registration as a national securities association or...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-15AA-1, for application....801 Form X-15AA-1, for application for registration as a national securities association or affiliated...). [33 FR 18995, Dec. 20, 1968] Editorial Note: For Federal Register citations affecting Form X-15AA-1...

  15. 17 CFR 249.801 - Form X-15AA-1, for application for registration as a national securities association or...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-15AA-1, for application....801 Form X-15AA-1, for application for registration as a national securities association or affiliated...). [33 FR 18995, Dec. 20, 1968] Editorial Note: For Federal Register citations affecting Form X-15AA-1...

  16. 17 CFR 249.801 - Form X-15AA-1, for application for registration as a national securities association or...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form X-15AA-1, for application....801 Form X-15AA-1, for application for registration as a national securities association or affiliated...). [33 FR 18995, Dec. 20, 1968] Editorial Note: For Federal Register citations affecting Form X-15AA-1...

  17. 17 CFR 249.801 - Form X-15AA-1, for application for registration as a national securities association or...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-15AA-1, for application....801 Form X-15AA-1, for application for registration as a national securities association or affiliated...). [33 FR 18995, Dec. 20, 1968] Editorial Note: For Federal Register citations affecting Form X-15AA-1...

  18. 17 CFR 249.801 - Form X-15AA-1, for application for registration as a national securities association or...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-15AA-1, for application....801 Form X-15AA-1, for application for registration as a national securities association or affiliated...). [33 FR 18995, Dec. 20, 1968] Editorial Note: For Federal Register citations affecting Form X-15AA-1...

  19. 17 CFR 274.5 - Form N-5, for registration statement of small business investment company under 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 N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company...-5, for registration statement of small business investment company under the Securities Act of 1933...

  20. 78 FR 15977 - Proposed Collection Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-13

    ..., including through the use of automated collection techniques or other forms of information technology..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... collection of information provided for in Rule 15a-6, (17 CFR 240.15a- 6), under the Securities Exchange Act...

  1. 78 FR 70973 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 18f-1 and Form N-18f-1, OMB Control No. 3235-0211, SEC File No...

  2. 77 FR 60484 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-03

    ... information so that they can assess the performance of the investment vehicle or stock plan. Form 11-K is... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy...

  3. 76 FR 62100 - Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ... fund assets, combined liquidity fund and registered money market fund assets or private equity fund... Fees for Exempt Reporting Advisers and Private Fund Advisers AGENCY: Securities and Exchange Commission... fund advisers filing Form PF. SUMMARY: The Securities and Exchange Commission (``Commission'') is...

  4. 78 FR 48204 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-07

    ... respondents, including through the use of automated collection techniques or other forms of information..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... information provided for in Rule 17a-1 (17 CFR 240.17a-1) under the Securities Exchange Act of 1934, as...

  5. 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...

  6. 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...

  7. 78 FR 52586 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-23

    ... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 15Ba2-1 and Form MSD, SEC File No. 270-0088, OMB Control No. 3235...

  8. 78 FR 52586 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-23

    ... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 15Bc3-1 and Form MSDW; SEC File No. 270-93, OMB Control No. 3235...

  9. 76 FR 5626 - Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc.

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-01

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63776; File No. 0-49764] Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc. January 26, 2011 Notice is hereby given that on November 1, 2010, SinoFresh Healthcare, Inc. (Applicant) filed with the Securities and Exchange Commission a Form...

  10. 75 FR 39287 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-08

    ... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 6a-4, Form 1-N; OMB Control No. 3235-0554; SEC File No. 270-496...

  11. 17 CFR 249.1200 - Form X-17F-1A-Report for missing, lost, stolen or counterfeit securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-17F-1A-Report for... Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities § 249.1200 Form X-17F...] Editorial Note: For Federal Register citations affecting Form X-17F-1A, see the List of CFR Sections...

  12. 17 CFR 249.1200 - Form X-17F-1A-Report for missing, lost, stolen or counterfeit securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-17F-1A-Report for... Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities § 249.1200 Form X-17F...] Editorial Note: For Federal Register citations affecting Form X-17F-1A, see the List of CFR Sections...

  13. 17 CFR 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-15AJ-2, for annual....803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an... Register citations affecting Form X-15AJ-2, see the List of CFR Sections Affected, which appears in the...

  14. 17 CFR 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form X-15AJ-2, for annual....803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an... Register citations affecting Form X-15AJ-2, see the List of CFR Sections Affected, which appears in the...

  15. 17 CFR 249.1200 - Form X-17F-1A-Report for missing, lost, stolen or counterfeit securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-17F-1A-Report for... Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities § 249.1200 Form X-17F...] Editorial Note: For Federal Register citations affecting Form X-17F-1A, see the List of CFR Sections...

  16. 17 CFR 269.5 - Form F-X, for appointment of agent for service of process by issuers registering securities on...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form F-X, for appointment of... INDENTURE ACT OF 1939 § 269.5 Form F-X, for appointment of agent for service of process by issuers..., F-10 or F-80. Form F-X shall be filed with the Commission: (a) By any issuer registering securities...

  17. 17 CFR 249.1200 - Form X-17F-1A-Report for missing, lost, stolen or counterfeit securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form X-17F-1A-Report for... Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities § 249.1200 Form X-17F...] Editorial Note: For Federal Register citations affecting Form X-17F-1A, see the List of CFR Sections...

  18. 17 CFR 249.1200 - Form X-17F-1A-Report for missing, lost, stolen or counterfeit securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-17F-1A-Report for... Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities § 249.1200 Form X-17F...] Editorial Note: For Federal Register citations affecting Form X-17F-1A, see the List of CFR Sections...

  19. 17 CFR 269.5 - Form F-X, for appointment of agent for service of process by issuers registering securities on...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form F-X, for appointment of... INDENTURE ACT OF 1939 § 269.5 Form F-X, for appointment of agent for service of process by issuers..., F-10 or F-80. Form F-X shall be filed with the Commission: (a) By any issuer registering securities...

  20. 17 CFR 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-15AJ-2, for annual....803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an... Register citations affecting Form X-15AJ-2, see the List of CFR Sections Affected, which appears in the...

  1. 17 CFR 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-15AJ-2, for annual....803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an... Register citations affecting Form X-15AJ-2, see the List of CFR Sections Affected, which appears in the...

  2. 17 CFR 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-15AJ-2, for annual....803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an... Register citations affecting Form X-15AJ-2, see the List of CFR Sections Affected, which appears in the...

  3. 17 CFR 249.250 - Form F-X, for appointment of agent for service of process by issuers registering securities on...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form F-X, for appointment of... F-X, for appointment of agent for service of process by issuers registering securities on Form F-8... registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80. Form F-X shall be filed with the...

  4. 17 CFR 249.250 - Form F-X, for appointment of agent for service of process by issuers registering securities on...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form F-X, for appointment of... F-X, for appointment of agent for service of process by issuers registering securities on Form F-8... registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80. Form F-X shall be filed with the...

  5. 78 FR 20700 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available from: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Form N-8F, OMB Control No. 3235-0157; SEC File No. 270-136. Notice is hereby given that, pursuant to the...

  6. 75 FR 39289 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-08

    ... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Form N-8F; SEC File No. 270-136; OMB Control No. 3235-0157. Notice is hereby given that, pursuant to the...

  7. 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...

  8. 17 CFR 239.33 - Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Form F-3, for registration... CFR 230.405); or (v) Discloses in the registration statement that it has a reasonable belief that it... offering of non-convertible investment grade securities, discloses the basis for such belief, and files a...

  9. 17 CFR 239.33 - Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Form F-3, for registration... CFR 230.405); or (v) Discloses in the registration statement that it has a reasonable belief that it... offering of non-convertible investment grade securities, discloses the basis for such belief, and files a...

  10. 17 CFR 239.33 - Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Form F-3, for registration... CFR 230.405); or (v) Discloses in the registration statement that it has a reasonable belief that it... offering of non-convertible investment grade securities, discloses the basis for such belief, and files a...

  11. 17 CFR 249.819 - Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... self-regulatory organizations. 249.819 Section 249.819 Commodity and Securities Exchanges SECURITIES... changes, advance notices and security-based swap submissions by all self-regulatory organizations. This form shall be used by all self-regulatory organizations, as defined in Section 3(a)(26) of the...

  12. 17 CFR 249.819 - Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... self-regulatory organizations. 249.819 Section 249.819 Commodity and Securities Exchanges SECURITIES... changes, advance notices and security-based swap submissions by all self-regulatory organizations. This form shall be used by all self-regulatory organizations, as defined in Section 3(a)(26) of the...

  13. 17 CFR 449.1 - Form G-FIN, notification by financial institutions of status as government securities broker or...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchange Act of 1934. This form is to be used by financial institutions that are government... Currency, the Federal Deposit Insurance Corporation, the Director of the Office of Thrift Supervision and...

  14. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND... Commission in pamphlet form. All SEC public rules and regulations, including its Rules of Practice, are contained in title 17 of the Code of Federal Regulations, which also is available for purchase from the...

  15. 31 CFR 339.3 - Exchanges with privilege of deferring reporting of interest for Federal income tax purposes.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... for the taxable year in which it is received. (b) Rules governing the exchange. (1) Exchange subscription Form PD 3253, completed and executed in accordance with the instructions thereon, the securities...

  16. 31 CFR 339.3 - Exchanges with privilege of deferring reporting of interest for Federal income tax purposes.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... for the taxable year in which it is received. (b) Rules governing the exchange. (1) Exchange subscription Form PD 3253, completed and executed in accordance with the instructions thereon, the securities...

  17. 31 CFR 339.3 - Exchanges with privilege of deferring reporting of interest for Federal income tax purposes.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... for the taxable year in which it is received. (b) Rules governing the exchange. (1) Exchange subscription Form PD 3253, completed and executed in accordance with the instructions thereon, the securities...

  18. 31 CFR 339.3 - Exchanges with privilege of deferring reporting of interest for Federal income tax purposes.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... for the taxable year in which it is received. (b) Rules governing the exchange. (1) Exchange subscription Form PD 3253, completed and executed in accordance with the instructions thereon, the securities...

  19. 31 CFR 339.3 - Exchanges with privilege of deferring reporting of interest for Federal income tax purposes.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... for the taxable year in which it is received. (b) Rules governing the exchange. (1) Exchange subscription Form PD 3253, completed and executed in accordance with the instructions thereon, the securities...

  20. 17 CFR 274.201 - Form N-MFP, portfolio holdings of money market funds.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... of money market funds. 274.201 Section 274.201 Commodity and Securities Exchanges SECURITIES AND... Statements § 274.201 Form N-MFP, portfolio holdings of money market funds. This form shall be used by registered open-end management investment companies that are regulated as money market funds under § 270.2a-7...

  1. 17 CFR 274.201 - Form N-MFP, portfolio holdings of money market funds.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... of money market funds. 274.201 Section 274.201 Commodity and Securities Exchanges SECURITIES AND... Statements § 274.201 Form N-MFP, portfolio holdings of money market funds. This form shall be used by registered open-end management investment companies that are regulated as money market funds under § 270.2a-7...

  2. 17 CFR 229.512 - (Item 512) Undertakings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... deviation from the low or high end of the estimated maximum offering range may be reflected in the form of... the registration statement is on Form S-8 (§ 239.16b of this chapter), and the information required to...

  3. 17 CFR 229.512 - (Item 512) Undertakings.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... deviation from the low or high end of the estimated maximum offering range may be reflected in the form of... the registration statement is on Form S-8 (§ 239.16b of this chapter), and the information required to...

  4. 17 CFR 229.512 - (Item 512) Undertakings.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... deviation from the low or high end of the estimated maximum offering range may be reflected in the form of... the registration statement is on Form S-8 (§ 239.16b of this chapter), and the information required to...

  5. 17 CFR 210.2-02T - Accountants' reports and attestation reports on internal control over financial reporting.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... attestation reports on internal control over financial reporting. 210.2-02T Section 210.2-02T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL... attestation reports on internal control over financial reporting. (a) The requirements of § 210.2-02(f) shall...

  6. 17 CFR 249.330 - Form N-SAR, annual and semi-annual report of certain registered investment companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form N-SAR, annual and semi... Exchange Act of 1934 § 249.330 Form N-SAR, annual and semi-annual report of certain registered investment...

  7. 17 CFR 249.330 - Form N-SAR, annual and semi-annual report of certain registered investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-SAR, annual and semi... Exchange Act of 1934 § 249.330 Form N-SAR, annual and semi-annual report of certain registered investment...

  8. 17 CFR 249.330 - Form N-SAR, annual and semi-annual report of certain registered investment companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form N-SAR, annual and semi... Exchange Act of 1934 § 249.330 Form N-SAR, annual and semi-annual report of certain registered investment...

  9. 17 CFR 249.330 - Form N-SAR, annual and semi-annual report of certain registered investment companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form N-SAR, annual and semi... Exchange Act of 1934 § 249.330 Form N-SAR, annual and semi-annual report of certain registered investment...

  10. 17 CFR 249.330 - Form N-SAR, annual and semi-annual report of certain registered investment companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-SAR, annual and semi... Exchange Act of 1934 § 249.330 Form N-SAR, annual and semi-annual report of certain registered investment...

  11. 17 CFR 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934 § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a...

  12. 17 CFR 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... EXCHANGE ACT OF 1934 § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a...

  13. 17 CFR 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... EXCHANGE ACT OF 1934 § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a...

  14. 17 CFR 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... EXCHANGE ACT OF 1934 § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a...

  15. 17 CFR 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... EXCHANGE ACT OF 1934 § 249b.200 Form CA-1, 1 form for registration or for exemption from registration as a... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a...

  16. 17 CFR 229.903 - (Item 903) Summary.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... distribution policies, form of ownership interest or management compensation; (ii) The general partner's...)); (5) The background of and reasons for the roll-up transaction, as well as alternatives to the roll-up...

  17. 17 CFR 229.903 - (Item 903) Summary.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... distribution policies, form of ownership interest or management compensation; (ii) The general partner's...)); (5) The background of and reasons for the roll-up transaction, as well as alternatives to the roll-up...

  18. 17 CFR 229.903 - (Item 903) Summary.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... distribution policies, form of ownership interest or management compensation; (ii) The general partner's...)); (5) The background of and reasons for the roll-up transaction, as well as alternatives to the roll-up...

  19. 17 CFR 229.903 - (Item 903) Summary.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY... distribution policies, form of ownership interest or management compensation; (ii) The general partner's...)); (5) The background of and reasons for the roll-up transaction, as well as alternatives to the roll-up...

  20. 75 FR 50784 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-17

    ..., Washington, DC 20549-0213. Extension: Form N-CSR; SEC File No. 270-512; OMB Control No. 3235-0570. Notice is... Office of Management and Budget for extension and approval. Form N-CSR (17 CFR 249.331 and 274.128) is a... the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). Form N-CSR is to be...

  1. 17 CFR 239.63 - Form ID, uniform application for access codes to file on EDGAR.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... for access codes to file on EDGAR. 239.63 Section 239.63 Commodity and Securities Exchanges SECURITIES... Statements § 239.63 Form ID, uniform application for access codes to file on EDGAR. Form ID must be filed by... log on to the EDGAR system, submit filings, and change its CCC. (d) Password Modification...

  2. 17 CFR 239.63 - Form ID, uniform application for access codes to file on EDGAR.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... for access codes to file on EDGAR. 239.63 Section 239.63 Commodity and Securities Exchanges SECURITIES... Statements § 239.63 Form ID, uniform application for access codes to file on EDGAR. Form ID must be filed by... log on to the EDGAR system, submit filings, and change its CCC. (d) Password Modification...

  3. 17 CFR 239.43 - Form F-N, appointment of agent for service of process by foreign banks and foreign insurance...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States. 239.43 Section 239.43 Commodity and Securities...

  4. 17 CFR 239.43 - Form F-N, appointment of agent for service of process by foreign banks and foreign insurance...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States. 239.43 Section 239.43 Commodity and Securities...

  5. 17 CFR 230.430A - Prospectus in a registration statement at the time of effectiveness.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Form and Content of Prospectuses § 230.430A Prospectus in a registration statement at the time of effectiveness. (a) The form of... respect to the public offering price, underwriting syndicate (including any material relationships between...

  6. 77 FR 24752 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-25

    ... Transaction in Which SIX Swiss Exchange AG Will Transfer Its Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG April 19, 2012. I. Introduction On March 8, 2012, each of... which SIX Swiss Exchange AG (``SIX'') will transfer its 50% indirect ownership interest of International...

  7. 75 FR 75207 - Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-02

    ...In accordance with Section 763 (``Section 763'') and Section 766 (``Section 766'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information (``Regulation SBSR'') under the Securities Exchange Act of 1934 (``Exchange Act'').\\1\\ Proposed Regulation SBSR would provide for the reporting of security- based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information. Registered security-based swap data repositories would be required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered security-based swap data repositories that are security- based swap dealers or major security-based swap participants would be required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Finally, proposed Regulation SBSR also would require a registered SDR to register with the Commission as a securities information processor on existing Form SIP. ---------------------------------------------------------------------------

  8. 17 CFR 210.3-17 - Financial statements of natural persons.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Financial statements of... COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES... Financial Statements § 210.3-17 Financial statements of natural persons. (a) In lieu of the financial...

  9. 77 FR 34414 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-11

    ... information on respondents, including through the use of automated collection techniques or other forms of..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... and Exchange Commission (``Commission'') is soliciting comments on the collection of information...

  10. 77 FR 15417 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-15

    ... Corporate Transaction in Which Its Indirect Parent, SIX Swiss Exchange AG, Will Transfer Its Indirect Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG...) make changes to its corporate structure in connection with the transfer of SIX Swiss Exchange AG's...

  11. 75 FR 71475 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-23

    ... the Exchange's Web site http://www.ise.com , at the principal office of the Exchange, and at the...'') and various forms of alternative trading systems (``ATSs''), including dark pools and electronic..., please use only one method. The Commission will post all comments on the Commissions Internet Web site...

  12. Lemnos interoperable security project.

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Halbgewachs, Ronald D.

    2010-03-01

    With the Lemnos framework, interoperability of control security equipment is straightforward. To obtain interoperability between proprietary security appliance units, one or both vendors must now write cumbersome 'translation code.' If one party changes something, the translation code 'breaks.' The Lemnos project is developing and testing a framework that uses widely available security functions and protocols like IPsec - to form a secure communications channel - and Syslog, to exchange security log messages. Using this model, security appliances from two or more different vendors can clearly and securely exchange information, helping to better protect the total system. Simplify regulatory compliance inmore » a complicated security environment by leveraging the Lemnos framework. As an electric utility, are you struggling to implement the NERC CIP standards and other regulations? Are you weighing the misery of multiple management interfaces against committing to a ubiquitous single-vendor solution? When vendors build their security appliances to interoperate using the Lemnos framework, it becomes practical to match best-of-breed offerings from an assortment of vendors to your specific control systems needs. The Lemnos project is developing and testing a framework that uses widely available open-source security functions and protocols like IPsec and Syslog to create a secure communications channel between appliances in order to exchange security data.« less

  13. 17 CFR 249.501a - Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... withdrawal, except for social security account numbers, disclosure of which is voluntary. The information... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form BDW, notice of withdrawal... Offers § 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240...

  14. 17 CFR 41.31 - Notice-designation requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...-designation requirements. (a) Any board of trade that is a national securities exchange, a national securities... electronic or hard copy form, shall be labeled as “Notice of Designation as a Contract Market in Security Futures Products,” and shall include: (1) The name and address of the board of trade; (2) The name and...

  15. 17 CFR 210.3-20 - Currency for financial statements of foreign private issuers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... in the issuer's consolidated financial statements and not located in a hyperinflationary environment..., Oct. 5, 1999] Consolidated and Combined Financial Statements ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  16. 17 CFR 249.220f - Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter). 24...

  17. 17 CFR 249.220f - Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter). 24...

  18. 17 CFR 249.220f - Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter). 24...

  19. 17 CFR 249.220f - Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter). 24...

  20. 17 CFR 249.220f - Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter). 24...

  1. 17 CFR 240.12d2-2 - Removal from listing and registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of the Form 25 (Sec. 249.25 of this chapter) by an issuer relates solely to the withdrawal of a class... strike a class of securities from listing on a national securities exchange and/or registration under... informed that any of the following conditions exist with respect to such a security: (1) The entire class...

  2. 31 CFR 306.15 - Transfers and exchanges of securities-closed periods.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... authorized representative, must accompany the securities presented. (Form PD 3905 or PD 1827, as appropriate... be received by the Bureau not less than 1 full month before the date on which the securities mature... notice of call, the following action will be taken: (1) Payment of final interest will be made to the...

  3. 31 CFR 306.15 - Transfers and exchanges of securities-closed periods.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... authorized representative, must accompany the securities presented. (Form PD 3905 or PD 1827, as appropriate... be received by the Bureau not less than 1 full month before the date on which the securities mature... notice of call, the following action will be taken: (1) Payment of final interest will be made to the...

  4. 17 CFR 210.2-07 - Communication with audit committees.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY... to be used; (2) All alternative treatments within Generally Accepted Accounting Principles for...

  5. 17 CFR 210.2-07 - Communication with audit committees.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY... to be used; (2) All alternative treatments within Generally Accepted Accounting Principles for...

  6. 17 CFR 210.2-07 - Communication with audit committees.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY... to be used; (2) All alternative treatments within Generally Accepted Accounting Principles for...

  7. 17 CFR 210.12-18 - Supplemental information (for property-casualty insurance underwriters).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... consolidated financial statements. 2 Present combined or consolidated amounts, as appropriate for each category... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... 1 Information included in audited financial statements, including other schedules, need not be...

  8. 31 CFR 515.325 - National securities exchange.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false National securities exchange. 515.325... Definitions § 515.325 National securities exchange. The term national securities exchange shall mean an exchange registered as a national securities exchange under section 6 of the Securities Exchange Act of...

  9. 31 CFR 500.325 - National securities exchange.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false National securities exchange. 500.325... Definitions § 500.325 National securities exchange. The term national securities exchange shall mean an exchange registered as a national securities exchange under section 6 of the Securities Exchange Act of...

  10. 17 CFR 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...(g). (a) Where in connection with a succession by merger, consolidation, exchange of securities... 12 of the Act unless upon consummation of the succession: (1) Such class is exempt from such... persons; or (3) The securities issued in connection with the succession were registered on Form F-8 or...

  11. 17 CFR 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...(g). (a) Where in connection with a succession by merger, consolidation, exchange of securities... 12 of the Act unless upon consummation of the succession: (1) Such class is exempt from such... persons; or (3) The securities issued in connection with the succession were registered on Form F-8 or...

  12. 17 CFR 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...(g). (a) Where in connection with a succession by merger, consolidation, exchange of securities... 12 of the Act unless upon consummation of the succession: (1) Such class is exempt from such... persons; or (3) The securities issued in connection with the succession were registered on Form F-8 or...

  13. 17 CFR 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...(g). (a) Where in connection with a succession by merger, consolidation, exchange of securities... 12 of the Act unless upon consummation of the succession: (1) Such class is exempt from such... persons; or (3) The securities issued in connection with the succession were registered on Form F-8 or...

  14. 17 CFR 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...(g). (a) Where in connection with a succession by merger, consolidation, exchange of securities... 12 of the Act unless upon consummation of the succession: (1) Such class is exempt from such... persons; or (3) The securities issued in connection with the succession were registered on Form F-8 or...

  15. 17 CFR 210.12-10-210.12-11 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF... ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules §§ 210.12-10—210.12-11 [Reserved] for management investment companies ...

  16. 17 CFR 210.12-10-210.12-11 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF... ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules §§ 210.12-10—210.12-11 [Reserved] for management investment companies ...

  17. 17 CFR 274.128 - 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... Form N-CSR, certified shareholder report. This form shall be used by registered management investment... Form N-CSR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the...

  18. 17 CFR 274.128 - 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... Form N-CSR, certified shareholder report. This form shall be used by registered management investment... Form N-CSR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the...

  19. 17 CFR 248.2 - Model privacy form: rule of construction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Model privacy form: rule of... Safeguarding Personal Information § 248.2 Model privacy form: rule of construction. (a) Model privacy form. Use of the model privacy form in Appendix A to Subpart A of this part, consistent with the instructions...

  20. 17 CFR 160.2 - Model privacy form and examples.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Model privacy form and... PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT § 160.2 Model privacy form and examples. (a) Model privacy form. Use of the model privacy form in appendix A of this...

  1. 17 CFR 160.2 - Model privacy form and examples.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Model privacy form and... PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT § 160.2 Model privacy form and examples. (a) Model privacy form. Use of the model privacy form in appendix A of this...

  2. 17 CFR 160.2 - Model privacy form and examples.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Model privacy form and... PRIVACY OF CONSUMER FINANCIAL INFORMATION § 160.2 Model privacy form and examples. (a) Model privacy form. Use of the model privacy form in appendix A of this part, consistent with the instructions in appendix...

  3. 17 CFR 160.2 - Model privacy form and examples.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Model privacy form and... (CONTINUED) PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT § 160.2 Model privacy form and examples. (a) Model privacy form. Use of the model privacy form in appendix A of...

  4. 17 CFR 269.10 - Form TH-Notification of reliance on temporary hardship exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form TH-Notification of....10 Form TH—Notification of reliance on temporary hardship exemption. Form TH shall be filed by any...: For Federal Register citations affecting Form TH, see the List of CFR Sections Affected, which appears...

  5. 17 CFR 160.2 - Model privacy form and examples.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Model privacy form and... PRIVACY OF CONSUMER FINANCIAL INFORMATION § 160.2 Model privacy form and examples. (a) Model privacy form. Use of the model privacy form in appendix A of this part, consistent with the instructions in appendix...

  6. 78 FR 9435 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-08

    ... is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the... securities on Forms F-7, F-8, F-9 or F-10 under the Securities Act of 1933 (U.S.C. 77a et seq.), or filing periodic reports on Form 40-F under the Exchange Act of 1934 (15 U.S.C. 78a et seq.). The information...

  7. 17 CFR 274.101 - Form N-SAR, semi-annual report of registered investment companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-SAR, semi-annual report... Forms for Reports § 274.101 Form N-SAR, semi-annual report of registered investment companies. This form...: For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which...

  8. 17 CFR 274.101 - Form N-SAR, semi-annual report of registered investment companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form N-SAR, semi-annual report... Forms for Reports § 274.101 Form N-SAR, semi-annual report of registered investment companies. This form...: For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which...

  9. 17 CFR 274.101 - Form N-SAR, semi-annual report of registered investment companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form N-SAR, semi-annual report... Forms for Reports § 274.101 Form N-SAR, semi-annual report of registered investment companies. This form...: For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which...

  10. 17 CFR 274.101 - Form N-SAR, semi-annual report of registered investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-SAR, semi-annual report... Forms for Reports § 274.101 Form N-SAR, semi-annual report of registered investment companies. This form...: For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which...

  11. 17 CFR 274.101 - Form N-SAR, semi-annual report of registered investment companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form N-SAR, semi-annual report... Forms for Reports § 274.101 Form N-SAR, semi-annual report of registered investment companies. This form...: For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which...

  12. 17 CFR 210.3-04 - Changes in stockholders' equity and noncontrolling interests.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... General Instructions As to Financial Statements § 210.3-04 Changes in stockholders' equity and noncontrolling interests. An analysis of the changes in each caption of stockholders' equity and noncontrolling...

  13. 31 CFR 306.16 - Exchanges of registered securities.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false Exchanges of registered securities.... SECURITIES Transfers, Exchanges and Reissues § 306.16 Exchanges of registered securities. No assignments will be required for: (a) Authorized denominational exchanges of registered securities for like securities...

  14. 75 FR 42177 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-20

    ... SECURITIES AND EXCHANGE COMMISSION [Form N-SAR; SEC File No. 270-292; OMB Control No. 3235-0330... Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Extension: Form N-SAR, SEC... extension and approval. Form N-SAR (OMB Control No. 3235-0330, 17 CFR 249.330) is the form used by all...

  15. 17 CFR 279.2 - Form ADV-W, notice of withdrawal from registration as investment adviser.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form ADV-W, notice of... § 279.2 Form ADV-W, notice of withdrawal from registration as investment adviser. This form shall be...: For Federal Register citations affecting Form ADV-W, see the List of CFR Sections Affected, which...

  16. 17 CFR 274.10 - Form N-8A, for notification of registration.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-8A, for notification of... (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 Registration Statements § 274.10 Form N...: For Federal Register citations affecting Form N-8A, see the List of CFR Sections Affected, which...

  17. 17 CFR 274.10 - Form N-8A, for notification of registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-8A, for notification of... (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 Registration Statements § 274.10 Form N...: For Federal Register citations affecting Form N-8A, see the List of CFR Sections Affected, which...

  18. 17 CFR 249.447 - Form TH-Notification of reliance on temporary hardship exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form TH-Notification of... § 249.447 Form TH—Notification of reliance on temporary hardship exemption. Form TH shall be filed by... Note: For Federal Register citations affecting Form TH, see the List of CFR Sections Affected, which...

  19. 17 CFR 274.404 - Form TH-Notification of reliance on temporary hardship exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form TH-Notification of... Forms for Electronic Filing § 274.404 Form TH—Notification of reliance on temporary hardship exemption. Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary...

  20. 17 CFR 259.604 - Form TH-Notification of reliance on temporary hardship exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form TH-Notification of... OF 1935 Forms for Electronic Filing § 259.604 Form TH—Notification of reliance on temporary hardship exemption. Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a...

  1. 17 CFR 239.65 - Form TH-Notification of reliance on temporary hardship exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form TH-Notification of... Statements § 239.65 Form TH—Notification of reliance on temporary hardship exemption. Form TH shall be filed... Note: For Federal Register citations affecting Form TH, see the List of CFR Sections Affected, which...

  2. Public Files of the SEC.

    ERIC Educational Resources Information Center

    Woodward, Steve

    Some 180 different forms are used by the Securities and Exchange Commission (SEC) to cover the broad range of business activities regulated by the agency. This report examines the forms that are of greatest use to those seeking information about business. These forms are grouped in the following categories: general business information,…

  3. 76 FR 7884 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-11

    ... Industry Regulatory Authority's (``FINRA'') Central Registration Depository System (``Web CRD''), and must... proposed Rule 313 all associated persons that are not already registered in Web CRD must register (i.e... the Exchange via a Form U4 through FINRA's Web CRD. (Generally, all principals must qualify as...

  4. 17 CFR 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... national securities exchanges, national securities associations, registered clearing agencies and the... Certain Stabilizing Activities § 240.17a-1 Recordkeeping rule for national securities exchanges, national...) Every national securities exchange, national securities association, registered clearing agency and the...

  5. 17 CFR 210.2-04 - Examination of financial statements of persons other than the registrant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... Qualifications and Reports of Accountants § 210.2-04 Examination of financial statements of persons other than the registrant. If a registrant is required to file financial statements of any other person, such...

  6. 17 CFR 210.3A-05 - Special requirements as to public utility holding companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Consolidated and Combined Financial Statements § 210.3A-05 Special requirements as to public utility holding companies. There shall be shown in the consolidated balance sheet of a public utility holding company the... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  7. 17 CFR 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... national securities exchanges and registered securities associations with the Act and rules and regulations... Enforcement of compliance by national securities exchanges and registered securities associations with the Act... associated with its members, a national securities exchange or registered securities association is not...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 17 CFR 275.204-1 - Amendments to Form ADV.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Amendments to Form ADV. 275... (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.204-1 Amendments to Form ADV. (a) When amendment is required. You must amend your Form ADV (17 CFR 279.1): (1) At least annually, within...

  4. 17 CFR 249b.101 - Form TA-W, notice of withdrawal from registration as transfer agent.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form TA-W, notice of... TA-W, notice of withdrawal from registration as transfer agent. This form shall be used for...))) [42 FR 44984, Sept. 8, 1977] Editorial Note: For Federal Register citations affecting Form TA-W, see...

  5. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot...

  6. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot...

  7. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot...

  8. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot...

  9. 17 CFR 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... (CONTINUED) FORMS, SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot...

  10. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  11. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  12. 17 CFR 274.14 - Form N-8B-4, registration statements of face-amount certificate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... statements of face-amount certificate companies. 274.14 Section 274.14 Commodity and Securities Exchanges... Registration Statements § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. This form shall be used for registration statements of face-amount certificate companies registered...

  13. 17 CFR 274.14 - Form N-8B-4, registration statements of face-amount certificate companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... statements of face-amount certificate companies. 274.14 Section 274.14 Commodity and Securities Exchanges... Registration Statements § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. This form shall be used for registration statements of face-amount certificate companies registered...

  14. 17 CFR 274.14 - Form N-8B-4, registration statements of face-amount certificate companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... statements of face-amount certificate companies. 274.14 Section 274.14 Commodity and Securities Exchanges... Registration Statements § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. This form shall be used for registration statements of face-amount certificate companies registered...

  15. 17 CFR 274.14 - Form N-8B-4, registration statements of face-amount certificate companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... statements of face-amount certificate companies. 274.14 Section 274.14 Commodity and Securities Exchanges... Registration Statements § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. This form shall be used for registration statements of face-amount certificate companies registered...

  16. 17 CFR 274.14 - Form N-8B-4, registration statements of face-amount certificate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... statements of face-amount certificate companies. 274.14 Section 274.14 Commodity and Securities Exchanges... Registration Statements § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. This form shall be used for registration statements of face-amount certificate companies registered...

  17. 17 CFR 201.152 - Filing of papers: Form.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Filing of papers: Form. 201... PRACTICE Rules of Practice General Rules § 201.152 Filing of papers: Form. (a) Specifications. Papers filed... white paper measuring 81/2×11 inches, except that, to the extent that the reduction of larger documents...

  18. 17 CFR 201.152 - Filing of papers: Form.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Filing of papers: Form. 201... PRACTICE Rules of Practice General Rules § 201.152 Filing of papers: Form. (a) Specifications. Papers filed... white paper measuring 81/2×11 inches, except that, to the extent that the reduction of larger documents...

  19. 17 CFR 160.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Form of opt out notice to... Opt Out Notices § 160.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out... boxes in a prominent position on the relevant forms with the opt out notice; (B) Include a reply form...

  20. 31 CFR 515.535 - Exchange of certain securities.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 31 Money and Finance:Treasury 3 2012-07-01 2012-07-01 false Exchange of certain securities. 515..., Authorizations, and Statements of Licensing Policy § 515.535 Exchange of certain securities. (a) Subject to the... securities listed on a national securities exchange, including the withdrawal of such securities from blocked...

  1. 31 CFR 515.535 - Exchange of certain securities.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 31 Money and Finance:Treasury 3 2013-07-01 2013-07-01 false Exchange of certain securities. 515..., Authorizations, and Statements of Licensing Policy § 515.535 Exchange of certain securities. (a) Subject to the... securities listed on a national securities exchange, including the withdrawal of such securities from blocked...

  2. 31 CFR 515.535 - Exchange of certain securities.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 31 Money and Finance:Treasury 3 2011-07-01 2011-07-01 false Exchange of certain securities. 515..., Authorizations, and Statements of Licensing Policy § 515.535 Exchange of certain securities. (a) Subject to the... securities listed on a national securities exchange, including the withdrawal of such securities from blocked...

  3. 31 CFR 515.535 - Exchange of certain securities.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 31 Money and Finance:Treasury 3 2014-07-01 2014-07-01 false Exchange of certain securities. 515..., Authorizations, and Statements of Licensing Policy § 515.535 Exchange of certain securities. (a) Subject to the... securities listed on a national securities exchange, including the withdrawal of such securities from blocked...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 17 CFR 240.19c-5 - Governing the multiple listing of options on national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of options on national securities exchanges. 240.19c-5 Section 240.19c-5 Commodity and Securities... of Exchange Members § 240.19c-5 Governing the multiple listing of options on national securities exchanges. (a) The rules of each national securities exchange that provides a trading market in standardized...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 17 CFR 249.1320 - Form MA-W, for withdrawal from registration as a municipal advisor.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form MA-W, for withdrawal from... Municipal Advisors and for Providing Information Regarding Certain Natural Persons § 249.1320 Form MA-W, for... 1, 2014. Editorial Note: For Federal Register citations affecting Form MA-W, see the List of CFR...

  3. 17 CFR 249.1310 - Form MA-I, for providing information regarding natural person municipal advisors, and for...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form MA-I, for providing... Regarding Certain Natural Persons § 249.1310 Form MA-I, for providing information regarding natural person... Register citations affecting Form MA-I, see the List of CFR Sections Affected, which appears in the Finding...

  4. 17 CFR 160.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Form of opt out notice to... COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION Privacy and Opt Out Notices § 160.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out notice. If you are required to provide an...

  5. 17 CFR 248.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form of opt out notice to... Information and Safeguarding Personal Information Privacy and Opt Out Notices § 248.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out notice. If you are required to provide an opt...

  6. 17 CFR 249.819 - Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... filing with respect to proposed rule changes by all self-regulatory organizations. 249.819 Section 249..., SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for... organizations. This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of...

  7. 17 CFR 249.819 - Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... filing with respect to proposed rule changes by all self-regulatory organizations. 249.819 Section 249..., SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for... organizations. This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of...

  8. 17 CFR 249.819 - Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... filing with respect to proposed rule changes by all self-regulatory organizations. 249.819 Section 249..., SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for... organizations. This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of...

  9. 17 CFR 249.318 - Form 18-K, annual report for foreign governments and political subdivisions thereof.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 18-K, annual report for... of 1934 § 249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.... [47 FR 54790, Dec. 6, 1982] Editorial Note: For Federal Register citations affecting Form 18-K, see...

  10. 17 CFR 249.318 - Form 18-K, annual report for foreign governments and political subdivisions thereof.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 18-K, annual report for... of 1934 § 249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.... [47 FR 54790, Dec. 6, 1982] Editorial Note: For Federal Register citations affecting Form 18-K, see...

  11. 17 CFR 249.507 - Form 7-M, consent to service of process by an individual nonresident broker-dealer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 7-M, consent to service of process by an individual nonresident broker-dealer. 249.507 Section 249.507 Commodity and... Forms for Statements Made in Connection With Exempt Tender Offers § 249.507 Form 7-M, consent to service...

  12. 17 CFR 249.509 - Form 9-M, consent to service of process by a partnership nonresident broker-dealer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 9-M, consent to service of process by a partnership nonresident broker-dealer. 249.509 Section 249.509 Commodity and... Forms for Statements Made in Connection With Exempt Tender Offers § 249.509 Form 9-M, consent to service...

  13. 17 CFR 274.11d - Form N-6, registration statement of separate accounts organized as unit investment trusts that...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... variable life insurance policies. Form N-6 shall be used as the registration statement to be filed pursuant... insurance policies to register as unit investment trusts. This form shall also be used for registration... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-6, registration...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 76 FR 28825 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-18

    ... likely to use the form each year. Most of the information requested on the form should be readily..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... request for extension of the previously approved collection of information discussed below. Section 17(d...

  19. 75 FR 18246 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-09

    ... be issued in connection with employee benefit plans. We estimate that Form S-8 takes approximately 24... techniques or other forms of information technology. Consideration will be given to comments and suggestions... Boucher, Director/ CIO, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way...

  20. 17 CFR 249.1300 - Form MA, for registration as a municipal advisor, and for amendments to registration.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form MA, for registration as a... Form MA, for registration as a municipal advisor, and for amendments to registration. The form shall be... affecting Form MA, see the List of CFR Sections Affected, which appears in the Finding Aids section of the...

  1. 17 CFR 160.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Form of opt out notice to... Privacy and Opt Out Notices § 160.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of...-off boxes in a prominent position on the relevant forms with the opt out notice; (B) Include a reply...

  2. 17 CFR 249.509 - Form 9-M, consent to service of process by a partnership 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 9-M, consent to service... Forms for Statements Made in Connection With Exempt Tender Offers § 249.509 Form 9-M, consent to service...: For Federal Register citations affecting Form 9-M, see the List of CFR Sections Affected, which...

  3. 17 CFR 249.507 - Form 7-M, consent to service of process by an individual 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 7-M, consent to service... Forms for Statements Made in Connection With Exempt Tender Offers § 249.507 Form 7-M, consent to service... Federal Register citations affecting Form 7-M, see the List of CFR Sections Affected, which appears in the...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 17 CFR 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Governing certain off-board agency transactions by members of national securities exchanges. 240.19c-1 Section 240.19c-1 Commodity... members of national securities exchanges. The rules of each national securities exchange shall provide as...

  10. Proceedings of the Second IDA-CIISS Workshop: Common Security Challenges and Defense Personnel Costs

    DTIC Science & Technology

    2008-01-01

    exchanges with about 100 relevant research institutions in more than 50 countries . CIISS believes the academic exchanges in the forms of exchanging...personnel costs. Session 4 focused on the personnel portion of total defense costs in both countries , with Stanley Horowitz discussing DoD personnel...was the system was intended to deal with rogue countries and the system was not capable of dealing with China. Secretary Gates called for more

  11. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  12. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  13. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  14. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  15. 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...

  16. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  17. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  18. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  19. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 31 CFR 306.19 - Denominational exchanges of coupon securities.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false Denominational exchanges of coupon... GOVERNING U.S. SECURITIES Transfers, Exchanges and Reissues § 306.19 Denominational exchanges of coupon securities. Denominational exchanges of bearer securities are not permitted. [64 FR 38126, July 15, 1999] ...

  5. 77 FR 34436 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-11

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Temporarily... International Securities Exchange, LLC (the ``Exchange'' or the ``ISE'') filed with the Securities and Exchange... Clearing and Outsourcing Solutions, Inc. (``Apex Clearing'') as an ISE member organization, subject to Apex...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 17 CFR 240.15a-4 - Forty-five day exemption from registration for certain members of national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Forty-five day exemption from registration for certain members of national securities exchanges. 240.15a-4 Section 240.15a-4 Commodity and... national securities exchanges. (a) A natural person who is a member of a national securities exchange shall...

  11. 78 FR 25322 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    ... securities to be issued in connection with an employee benefit plan. We estimate that Form S-8 takes... forms of information technology. Consideration will be given to comments and suggestions submitted in... Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312; or send an...

  12. 76 FR 50117 - Commission Rules and Forms Related to the FASB's Accounting Standards Codification

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-12

    ... [Release Nos. 33-9250; 34-65052; IC-29748] Commission Rules and Forms Related to the FASB's Accounting... Accounting Standards Codification\\TM\\ (``FASB Codification'').\\1\\ The technical amendments include revision... prescribed under the Securities Act, Exchange Act and Investment Company Act. \\1\\ ``FASB Accounting Standards...

  13. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  14. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  15. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  16. 26 CFR 1.1081-3 - Exchanges of stock or securities solely for stock or securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 26 Internal Revenue 11 2010-04-01 2010-04-01 true Exchanges of stock or securities solely for stock or securities. 1.1081-3 Section 1.1081-3 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF... § 1.1081-3 Exchanges of stock or securities solely for stock or securities. The exchange, without the...

  17. 77 FR 62541 - Investor Advisory Committee

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33-9365; 34-68019; File No. 265-28] Investor Advisory Committee AGENCY: Securities and Exchange Commission. ACTION: Notice of Telephonic Meeting of Securities and Exchange Commission Investor Advisory Committee. SUMMARY: The Securities and Exchange...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 77 FR 39758 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67295; File No. SR-NASDAQ-2012-061] Self... Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange... the Exchange's options trading facility. \\4\\ See Securities Exchange Act Release No. 67027 (May 18...

  5. 31 CFR 306.15 - Transfers and exchanges of securities-closed periods.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ..., may be used.) Denominational exchanges may be made at any time. Securities presented for transfer must... 31 Money and Finance: Treasury 2 2014-07-01 2014-07-01 false Transfers and exchanges of securities... REGULATIONS GOVERNING U.S. SECURITIES Transfers, Exchanges and Reissues § 306.15 Transfers and exchanges of...

  6. 31 CFR 306.15 - Transfers and exchanges of securities-closed periods.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ..., may be used.) Denominational exchanges may be made at any time. Securities presented for transfer must... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false Transfers and exchanges of securities... REGULATIONS GOVERNING U.S. SECURITIES Transfers, Exchanges and Reissues § 306.15 Transfers and exchanges of...

  7. 31 CFR 306.15 - Transfers and exchanges of securities-closed periods.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ..., may be used.) Denominational exchanges may be made at any time. Securities presented for transfer must... 31 Money and Finance:Treasury 2 2013-07-01 2013-07-01 false Transfers and exchanges of securities... REGULATIONS GOVERNING U.S. SECURITIES Transfers, Exchanges and Reissues § 306.15 Transfers and exchanges of...

  8. 17 CFR 200.602 - Application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application. 200.602 Section 200.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Programs or Activities Conducted by the Securities and Exchange Commission § 200.602 Application. This...

  9. 17 CFR 249.1330 - Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form MA-NR, for appointment of... Information Regarding Certain Natural Persons § 249.1330 Form MA-NR, for appointment of agent for service of... Register citations affecting Form MA-NR, see the List of CFR Sections Affected, which appears in the...

  10. 17 CFR 249.1300T - Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form MA-T, for temporary... Information Regarding Certain Natural Persons § 249.1300T Form MA-T, for temporary registration as a municipal... Register citations affecting Form MA-T, see the List of CFR Sections Affected, which appears in the Finding...

  11. 17 CFR 248.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form of opt out notice to... Safeguarding Personal Information Privacy and Opt Out Notices § 248.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out notice. If you are required to provide an opt out notice under...

  12. 17 CFR 248.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form of opt out notice to... Safeguarding Personal Information Privacy and Opt Out Notices § 248.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out notice. If you are required to provide an opt out notice under...

  13. 17 CFR 248.7 - Form of opt out notice to consumers; opt out methods.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form of opt out notice to... Safeguarding Personal Information Privacy and Opt Out Notices § 248.7 Form of opt out notice to consumers; opt out methods. (a)(1) Form of opt out notice. If you are required to provide an opt out notice under...

  14. 78 FR 56955 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70362; File No. SR-ISE-2013-42] Self-Regulatory..., 2013, International Securities Exchange, LLC (``Exchange'') filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to list and trade options on the Nations VolDex...

  15. 76 FR 79254 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ... Market Maker'') in a derivative securities product (``UTP Derivative Security'') that derives its value... Derivative Security on the Exchange(s) from acting or registering as a market maker on any other exchange in any Reference Asset of that UTP Derivative Security, or any derivative instrument based on a Reference...

  16. 17 CFR 300.502 - Claim for securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for securities. 300.502 Section 300.502 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  17. 17 CFR 242.604 - Display of customer limit orders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... responsible broker or dealer, electronic communications network, national securities exchange, or national... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Display of customer limit orders. 242.604 Section 242.604 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  18. 17 CFR 274.402 - Form ID, uniform application for access codes to file on EDGAR.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... for access codes to file on EDGAR. 274.402 Section 274.402 Commodity and Securities Exchanges... Forms for Electronic Filing § 274.402 Form ID, uniform application for access codes to file on EDGAR..., filing agent or training agent to log on to the EDGAR system, submit filings, and change its CCC. (d...

  19. 17 CFR 274.402 - Form ID, uniform application for access codes to file on EDGAR.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... for access codes to file on EDGAR. 274.402 Section 274.402 Commodity and Securities Exchanges... Forms for Electronic Filing § 274.402 Form ID, uniform application for access codes to file on EDGAR..., filing agent or training agent to log on to the EDGAR system, submit filings, and change its CCC. (d...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  10. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  11. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  12. 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...

  13. 17 CFR 300.307 - Completion with cash or securities of customer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Completion with cash or securities of customer. 300.307 Section 300.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 17 CFR 249b.300 - FORM NRSRO, application for registration as a nationally recognized statistical rating...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... registration as a nationally recognized statistical rating organization pursuant to section 15E of the... 1934 § 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating... nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act...

  19. 17 CFR 249b.300 - FORM NRSRO, application for registration as a nationally recognized statistical rating...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registration as a nationally recognized statistical rating organization pursuant to section 15E of the... 1934 § 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating... nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act...

  20. 76 FR 38434 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-30

    ... continuing effort to attract more activity in large-sized FX options. \\3\\ See Securities Exchange Act Release... SECURITIES AND EXCHANGE COMMISSION [Release No. 3464743; File No. SR-ISE-2011-35] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed...

  1. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  2. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  3. 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...

  4. 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...

  5. 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...

  6. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  7. 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...

  8. 76 FR 40758 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64805; File No. SR-ISE-2011-30] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders July 5, 2011. I. Introduction On May 23, 2011, the International Securities Exchange, LLC...

  9. 76 FR 64980 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65548; File No. SR-ISE-2011-39] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders October 13, 2011. I. Introduction On July 1, 2011, the International Securities Exchange...

  10. 17 CFR 200.735-2 - Policy.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Policy. 200.735-2 Section 200.735-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND... Members and Employees of the Commission § 200.735-2 Policy. (a) The Securities and Exchange Commission has...

  11. 17 CFR 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... the Office of EDGAR and Information Analysis at (202) 551-3610. (2) If filing the Schedule in paper... report or annual information form filed or submitted by the issuer with securities regulators of Ontario... Data Gathering, Analysis, and Retrieval (EDGAR) system in accordance with the EDGAR rules set forth in...

  12. 17 CFR 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... the Office of EDGAR and Information Analysis at (202) 551-3610. (2) If filing the Schedule in paper... report or annual information form filed or submitted by the issuer with securities regulators of Ontario... Data Gathering, Analysis, and Retrieval (EDGAR) system in accordance with the EDGAR rules set forth in...

  13. 17 CFR 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... the Office of EDGAR and Information Analysis at (202) 551-3610. (2) If filing the Schedule in paper... report or annual information form filed or submitted by the issuer with securities regulators of Ontario... Data Gathering, Analysis, and Retrieval (EDGAR) system in accordance with the EDGAR rules set forth in...

  14. 17 CFR 240.14d-102 - Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... the Office of EDGAR and Information Analysis at (202) 551-3610. (2) If filing the Schedule in paper... report or annual information form filed or submitted by the issuer with securities regulators of Ontario... Data Gathering, Analysis, and Retrieval (EDGAR) system in accordance with the EDGAR rules set forth in...

  15. 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form X-17A-5, information... Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the..., Oct. 29, 1984] Editorial Note: For Federal Register citations affecting Form X-17A-5, see the List of...

  16. 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form X-17A-5, information... Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the..., Oct. 29, 1984] Editorial Note: For Federal Register citations affecting Form X-17A-5, see the List of...

  17. 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 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 X-17A-5, information... Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the..., Oct. 29, 1984] Editorial Note: For Federal Register citations affecting Form X-17A-5, see the List of...

  18. 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form X-17A-5, information... Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the..., Oct. 29, 1984] Editorial Note: For Federal Register citations affecting Form X-17A-5, see the List of...

  19. 17 CFR 249.617 - Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form X-17A-5, information... Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the..., Oct. 29, 1984] Editorial Note: For Federal Register citations affecting Form X-17A-5, see the List of...

  20. 17 CFR 240.15d-13 - Quarterly reports on Form 10-Q (§ 249.308 of this chapter).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Quarterly reports on Form 10-Q... reports on Form 10-Q (§ 249.308 of this chapter). (a) Except as provided in paragraphs (b) and (c) of this... file a quarterly report on Form 10-Q (§ 249.308 of this chapter) within the period specified in General...

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