Sample records for securities exchanges commodity

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  2. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Security deposits for retail forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions...

  3. 17 CFR 33.10 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 33.10 Section 33.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.10 Fraud in...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 17 CFR 41.21 - Requirements for underlying securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Requirements for underlying securities. 41.21 Section 41.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Requirements and Standards for Listing Security Futures Products § 41.21...

  16. 17 CFR 5.4 - Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. 5.4 Section 5.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.4...

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

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  18. 17 CFR 8.02 - Implementing exchange rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Implementing exchange rules. 8.02 Section 8.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.02 Implementing...

  19. 17 CFR 240.3b-13 - Definition of eligible OTC derivative instrument.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... interest in, one or more commodities, securities, currencies, interest or other rates, indices... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of eligible OTC derivative instrument. 240.3b-13 Section 240.3b-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  20. 17 CFR 240.3b-13 - Definition of eligible OTC derivative instrument.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... interest in, one or more commodities, securities, currencies, interest or other rates, indices... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definition of eligible OTC derivative instrument. 240.3b-13 Section 240.3b-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  6. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  7. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  8. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  9. 17 CFR 5.12 - Financial reports of retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Financial reports of retail foreign exchange dealers. 5.12 Section 5.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.12 Financial reports of retail foreign exchange...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 17 CFR 9.21 - Record of exchange proceeding.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Record of exchange proceeding. 9.21 Section 9.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With...

  15. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  16. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 17 CFR 41.24 - Rule amendments to security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rule amendment relating to a security futures product if the registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rule amendments to security futures products. 41.24 Section 41.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

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

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

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

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  9. 17 CFR 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...

  10. 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...

  11. 17 CFR 32.9 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 32.9 Section 32.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.9 Fraud in connection with commodity...

  12. 17 CFR 1.32 - Segregated account; daily computation and record.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  13. 17 CFR 5.10 - Risk assessment recordkeeping requirements for retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Risk assessment recordkeeping requirements for retail foreign exchange dealers. 5.10 Section 5.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.10 Risk assessment...

  14. 17 CFR 5.11 - Risk assessment reporting requirements for retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Risk assessment reporting requirements for retail foreign exchange dealers. 5.11 Section 5.11 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.11 Risk assessment...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  9. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  10. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  11. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  12. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  13. 17 CFR 41.23 - Listing of security futures products for trading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... security futures products for trading, a designated contract market or registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Listing of security futures products for trading. 41.23 Section 41.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  14. 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...

  15. 17 CFR 8.28 - Final decision.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision. 8.28 Section 8.28 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Summary Actions § 8.28 Final decision. Each exchange shall...

  16. 17 CFR 1.49 - Denomination of customer funds and location of depositories.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  17. 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...

  18. 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...

  19. 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...

  20. 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...

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  2. 17 CFR 240.12h-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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 17 CFR 5.17 - Authorization to trade.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authorization to trade. 5.17 Section 5.17 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.17 Authorization to trade. No retail foreign exchange dealer, futures commission...

  19. 17 CFR 1.1 - Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  20. 17 CFR 5.13 - Reporting to customers of retail foreign exchange dealers and futures commission merchants...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Reporting to customers of....13 Section 5.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.13 Reporting to customers of retail foreign exchange dealers and futures...

  1. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  2. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  3. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  4. 17 CFR 230.610 - Suspension of exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  5. 17 CFR 230.608 - Prohibition of certain statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  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 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  19. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  20. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  1. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  2. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 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...

  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 200.506 - Derivative classification.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Derivative classification. 200.506 Section 200.506 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Classification and Declassification of National Security...

  12. 17 CFR 32.5 - Disclosure.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... effect of any foreign currency fluctuations with respect to commodity option transactions which are to be... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Disclosure. 32.5 Section 32.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION...

  13. 17 CFR 1.46 - Application and closing out of offsetting long and short positions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  14. 17 CFR 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  15. 17 CFR 5.8 - Aggregate retail forex assets.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Aggregate retail forex assets. 5.8 Section 5.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.8 Aggregate retail forex assets. (a) Each retail foreign exchange dealer...

  16. 17 CFR 230.651-230.656 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  17. 17 CFR 230.609 - Reports of sales hereunder.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  18. 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...

  19. 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...

  20. 17 CFR 8.08 - Disciplinary committee.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Disciplinary committee. 8.08 Section 8.08 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.08 Disciplinary...

  1. 17 CFR 32.13 - Exemption from prohibition of commodity option transactions for trade options on certain...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Exemption from prohibition of commodity option transactions for trade options on certain agricultural commodities. 32.13 Section 32.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.13 Exemption from...

  2. 17 CFR 242.403 - Required margin.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Required margin. 242.403 Section 242.403 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  3. 17 CFR 230.481 - Information required in prospectuses.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  4. 17 CFR 300.200 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.200 Section 300.200 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts Introduced by Other Brokers...

  5. 17 CFR 300.500 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.500 Section 300.500 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 of A...

  6. 17 CFR 242.402 - General provisions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false General provisions. 242.402 Section 242.402 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  7. 17 CFR 5.14 - Records to be kept by retail foreign exchange dealers and futures commission merchants.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Records to be kept by retail foreign exchange dealers and futures commission merchants. 5.14 Section 5.14 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.14 Records to...

  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, 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...

  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, 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...

  10. 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...

  11. 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...

  12. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  13. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  14. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  15. 17 CFR 230.702(T)-230.703(T) - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  16. 17 CFR 240.13d-5 - Acquisition of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of each member's business and not with the purpose nor with the effect of changing or influencing... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Acquisition of securities. 240.13d-5 Section 240.13d-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  17. 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...

  18. 17 CFR 230.606 - Offering not in excess of $100,000.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  19. 17 CFR 240.14c-3 - Annual report to be furnished security holders.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Notice of Internet Availability of Proxy Materials, annual report to security holders or information... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Annual report to be furnished security holders. 240.14c-3 Section 240.14c-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  20. 17 CFR 240.14c-3 - Annual report to be furnished security holders.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Notice of Internet Availability of Proxy Materials, annual report to security holders or information... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Annual report to be furnished security holders. 240.14c-3 Section 240.14c-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  1. 17 CFR 240.14c-3 - Annual report to be furnished security holders.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Notice of Internet Availability of Proxy Materials, annual report to security holders or information... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Annual report to be furnished security holders. 240.14c-3 Section 240.14c-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  2. 17 CFR 240.14c-3 - Annual report to be furnished security holders.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Notice of Internet Availability of Proxy Materials, annual report to security holders or information... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Annual report to be furnished security holders. 240.14c-3 Section 240.14c-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  3. 17 CFR 250.52 - Exemption of issue and sale of certain securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... business of the subsidiary company; and (2) The interest rates and maturity dates of any debt security... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption of issue and sale of certain securities. 250.52 Section 250.52 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  4. 17 CFR 230.167 - Communications in connection with certain registered offerings of asset-backed securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  5. 17 CFR 270.8b-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. 270.8b-3 Section 270.8b-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES... securities is required to be stated, there shall be given such information as will indicate the type and...

  6. 17 CFR 8.20 - Final decision.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision. 8.20 Section 8.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.20 Final decision. Each...

  7. 17 CFR 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  8. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  9. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  10. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  11. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  12. 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...

  13. 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...

  14. 17 CFR 240.0-2 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  15. 17 CFR 240.14d-2 - Commencement of a tender offer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  16. 17 CFR 240.14a-12 - Solicitation before furnishing a proxy statement.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  17. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  18. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  19. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  20. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  1. 17 CFR 240.12b-37 - Satisfaction of filing requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  2. 17 CFR 141.2 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Definitions. 141.2 Section 141.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141.2... social security, federal, state or local income tax, health insurance premiums, retirement contributions...

  3. 17 CFR 41.2 - Required records.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Required records. 41.2 Section 41.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS General Provisions § 41.2 Required records. A designated contract market or registered derivatives...

  4. 17 CFR 250.25 - Answers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Answers. 250.25 Section 250.25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND... therein appropriate reservations of constitutional or other legal rights. ...

  5. 17 CFR 242.405 - Withdrawal of margin.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Withdrawal of margin. 242.405 Section 242.405 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  6. 17 CFR 204.3 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  7. 17 CFR 204.62 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definitions. 204.62 Section 204.62 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT... subpart, “amounts required by law to be withheld” include amounts for deductions such as social security...

  8. 17 CFR 242.612 - Minimum pricing increment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Minimum pricing increment. 242.612 Section 242.612 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Regulation of the National Market System § 242.612 Minimum pricing increment. (a) No national securities...

  9. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  10. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  11. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  12. 17 CFR 230.484 - Undertaking required in certain registration statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  13. 17 CFR 300.100 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.100 Section 300.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ Customers of...

  14. 17 CFR 300.305 - Excluded contracts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Excluded contracts. 300.305 Section 300.305 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or Completion of Open...

  15. 17 CFR 300.101 - Individual accounts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Individual accounts. 300.101 Section 300.101 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ...

  16. 17 CFR 300.105 - Joint accounts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Joint accounts. 300.105 Section 300.105 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ...

  17. 17 CFR 200.507 - Declassification dates on derivative documents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Declassification dates on derivative documents. 200.507 Section 200.507 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... of National Security Information and Material § 200.507 Declassification dates on derivative...

  18. 17 CFR 300.501 - Claim for cash.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for cash. 300.501 Section 300.501 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...

  19. 17 CFR 242.101 - Activities by distribution participants.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Activities by distribution participants. 242.101 Section 242.101 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES...

  20. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  1. 17 CFR 37.4 - Election to trade excluded and exempt commodities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Election to trade excluded and exempt commodities. 37.4 Section 37.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.4 Election to trade excluded and exempt...

  2. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  3. 17 CFR 3.3 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 [Reserved] ...

  4. 17 CFR 3.3 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 [Reserved] ...

  5. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Minimum financial requirements... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.7 Minimum financial requirements for retail foreign...

  6. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Maintenance of minimum... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.6 Maintenance of minimum financial...

  7. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Distribution of âRisk... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.5 Distribution of “Risk...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer...

  13. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer...

  14. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange...

  15. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  16. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  17. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  18. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  19. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  20. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  1. 17 CFR 5.2 - Prohibited transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited transactions. 5.2 Section 5.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.2 Prohibited transactions. (a) Scope. The provisions of this section shall be...

  2. 17 CFR 5.15 - Unlawful representations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Unlawful representations. 5.15 Section 5.15 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.15 Unlawful representations. It shall be unlawful for any person registered...

  3. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  4. 17 CFR 5.22 - Registered futures association membership.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Registered futures association membership. 5.22 Section 5.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.22 Registered futures association membership. (a) Each person...

  5. 17 CFR 8.11 - Notice of charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Notice of charges. 8.11 Section 8.11 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.11 Notice of...

  6. 17 CFR 8.13 - Answer to charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Answer to charges. 8.13 Section 8.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.13 Answer to...

  7. 17 CFR 9.23 - Answering brief.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Answering brief. 9.23 Section 9.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With Respect to...

  8. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  9. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  10. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  11. 17 CFR 37.4 - Election to trade excluded and exempt commodities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Election to trade excluded and exempt commodities. 37.4 Section 37.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.4 Election to trade excluded and exempt commodities. A board of trade that is or elects...

  12. 17 CFR 230.173 - Notice of registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  13. 17 CFR 230.259 - Withdrawal or abandonment of offering statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  14. 17 CFR 300.303 - Report to trustee.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Report to trustee. 300.303 Section 300.303 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or Completion of Open...

  15. 17 CFR 300.302 - Mechanics of closeout or completion.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Mechanics of closeout or completion. 300.302 Section 300.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or...

  16. 17 CFR 242.301 - Requirements for alternative trading systems.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Requirements for alternative trading systems. 242.301 Section 242.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY...

  17. 17 CFR 242.301 - Requirements for alternative trading systems.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Requirements for alternative trading systems. 242.301 Section 242.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY...

  18. 17 CFR 242.301 - Requirements for alternative trading systems.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Requirements for alternative trading systems. 242.301 Section 242.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY...

  19. 17 CFR 242.301 - Requirements for alternative trading systems.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Requirements for alternative trading systems. 242.301 Section 242.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY...

  20. 76 FR 32880 - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-07

    ... COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 1 RIN 3038-AD46 SECURITIES AND EXCHANGE...-Based Swap Agreement Recordkeeping AGENCY: Commodity Futures Trading Commission; Securities and Exchange... Futures Trading Commission and the Securities and Exchange Commission published a document in the Federal...

  1. 17 CFR 240.0-3 - Filing of material with the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  3. 17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

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

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

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

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  7. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  8. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  9. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  10. 17 CFR 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  11. 17 CFR 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  12. 17 CFR 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  13. 17 CFR 5.16 - Prohibition of guarantees against loss.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibition of guarantees against loss. 5.16 Section 5.16 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.16 Prohibition of guarantees against loss. (a) No...

  14. 17 CFR 5.18 - Trading and operational standards.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading and operational standards. 5.18 Section 5.18 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.18 Trading and operational standards. (a) For purposes of this...

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  16. 17 CFR 230.251 - Scope of exemption.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Scope of exemption. 230.251 Section 230.251 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... received in a foreign currency shall be translated into United States currency at a currency exchange rate...

  17. 17 CFR 200.610 - Self-evaluation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... handicaps or organizations representing individuals with handicaps, to participate in the self-evaluation... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Self-evaluation. 200.610 Section 200.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION...

  18. 17 CFR 200.551 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Applicability. 200.551 Section 200.551 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment...

  19. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  20. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  1. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  2. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  3. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  4. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  5. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  6. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  7. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  8. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  9. 17 CFR 256.931 - Rents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Rents. 256.931 Section 256.931 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS..., computers, data processing equipment, micro-wave and telecommunication equipment, airplanes, automobiles...

  10. 17 CFR 32.13 - Exemption from prohibition of commodity option transactions for trade options on certain...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Exemption from prohibition of... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION... are met at the time of the solicitation or acceptance: (1) That person is registered with the...

  11. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers. 4.32 Section 4.32 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING...

  12. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  13. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  14. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  15. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  16. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  18. 17 CFR 230.135 - Notice of proposed registered offerings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... effect that it does not constitute an offer of any securities for sale; and (2) Limited notice content... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Notice of proposed registered offerings. 230.135 Section 230.135 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  19. 17 CFR 245.102 - Exceptions to definition of blackout period.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exceptions to definition of blackout period. 245.102 Section 245.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... not purchase, sell or otherwise acquire or transfer an interest in any equity security of an issuer...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 17 CFR 230.801 - Exemption in connection with a rights offering.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  6. 17 CFR 300.102 - Accounts held by executors, administrators, guardians, etc.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Accounts held by executors, administrators, guardians, etc. 300.102 Section 300.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION...

  7. 17 CFR 300.103 - Accounts held by a corporation, partnership or unincorporated association.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Accounts held by a corporation, partnership or unincorporated association. 300.103 Section 300.103 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR...

  8. 17 CFR 300.306 - Completion or closeout pursuant to SIPC direction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Completion or closeout pursuant to SIPC direction. 300.306 Section 300.306 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION...

  9. 17 CFR 300.304 - Retained rights of brokers or dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Retained rights of brokers or dealers. 300.304 Section 300.304 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or...

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

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

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

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

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

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

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

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  15. 17 CFR 42.1 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 42.1 Section 42.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ANTI-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.1 [Reserved] ...

  16. 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...

  17. 17 CFR 5.24 - Applicability of other parts of this chapter

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of other parts of this chapter 5.24 Section 5.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.24 Applicability of other parts of this chapter...

  18. 17 CFR 5.20 - Special calls for account and transaction information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Special calls for account and transaction information. 5.20 Section 5.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.20 Special calls for account and transaction...

  19. 17 CFR 5.25 - Applicability of the Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  20. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Registration of persons engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.3 Registration of persons engaged in...

  1. 17 CFR 5.23 - Notice of bulk transfers and bulk liquidations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Notice of bulk transfers and bulk liquidations. 5.23 Section 5.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.23 Notice of bulk transfers and bulk liquidations...

  2. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer, introducing broker or any of their...

  3. 17 CFR 9.27-9.29 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 9.27-9.29 Section 9.27-9.29 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With Respect to...

  4. 17 CFR 9.13 - Publication of notice.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Publication of notice. 9.13 Section 9.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... Disciplinary Action or Access Denial Action § 9.13 Publication of notice. Whenever an exchange suspends, expels...

  5. 17 CFR 41.13 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 41.13 Section 41.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Narrow-Based Security Indexes § 41.13 Futures contracts on...

  6. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  7. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  8. 17 CFR 200.16a - Inspector General.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Inspector General. 200.16a Section 200.16a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization...

  9. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  10. 17 CFR 200.17 - Chief Management Analyst.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Chief Management Analyst. 200.17 Section 200.17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization...

  11. 17 CFR 200.311 - Penalties.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Penalties. 200.311 Section 200.311 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of...

  12. 17 CFR 200.311 - Penalties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Penalties. 200.311 Section 200.311 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of...

  13. 17 CFR 256.301 - Organization.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Organization. 256.301 Section 256.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM... service company such as stock, minute books and corporate seal. Note: This account shall not include any...

  14. 17 CFR 256.301 - Organization.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Organization. 256.301 Section 256.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM... service company such as stock, minute books and corporate seal. Note: This account shall not include any...

  15. 17 CFR 200.550 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Purpose. 200.550 Section 200.550 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment § 200...

  16. 17 CFR 200.552 - NEPA planning.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false NEPA planning. 200.552 Section 200.552 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment...

  17. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  18. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  19. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  20. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  1. 17 CFR 256.303 - Miscellaneous intangible plant.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Miscellaneous intangible plant. 256.303 Section 256.303 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... plant. (a) This account shall include the cost of patent rights, licenses, privileges, and other...

  2. 17 CFR 256.216 - Unappropriated retained earnings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... retained earnings. This account shall include the balance, either debit or credit, arising from earnings... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Unappropriated retained earnings. 256.216 Section 256.216 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  3. 17 CFR 201.193 - Applications by barred individuals for consent to associate.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Applications by barred individuals for consent to associate. 201.193 Section 201.193 Commodity and Securities Exchanges SECURITIES... securities dealers, government securities brokers, government securities dealers, investment advisers...

  4. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  5. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  6. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  7. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  8. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  9. 17 CFR 240.3a44-1 - Proprietary government securities transactions incidental to the futures-related business of a...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. 240.3a44-1 Section 240.3a44-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...

  10. 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...

  11. 17 CFR 240.15c1-8 - Sales at the market.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... page] Important Information on Penny Stocks The U.S. Securities and Exchange Commission (SEC) requires... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND...

  13. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  14. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 17 CFR 2.2 - Authority to affix seal.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Authority to affix seal. 2.2 Section 2.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFFICIAL SEAL § 2.2 Authority to affix seal. (a) The following officials of the Commodity Futures Trading Commission are...

  20. 17 CFR 2.2 - Authority to affix seal.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authority to affix seal. 2.2 Section 2.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFFICIAL SEAL § 2.2 Authority to affix seal. (a) The following officials of the Commodity Futures Trading Commission are...

  1. 17 CFR Appendix B to Part 190 - Special Bankruptcy Distributions

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Special Bankruptcy Distributions B Appendix B to Part 190 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... purposes of this distributional rule, XM accounts will be deemed to be commodity interest accounts and...

  2. 17 CFR 240.16b-5 - Bona fide gifts and inheritance.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Bona fide gifts and inheritance. 240.16b-5 Section 240.16b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... gifts and inheritance. Both the acquisition and the disposition of equity securities shall be exempt...

  3. 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...

  4. 17 CFR Table III to Subpart E of... - Civil Monetary Penalty Inflation Adjustments

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Civil Monetary Penalty Inflation Adjustments III Table III to Subpart E of Part 201 Commodity and Securities Exchanges SECURITIES... pursuant to last adjustment Adjusted maximum penalty amount Securities and Exchange Commission 15 U.S.C...

  5. 17 CFR Table II to Subpart E of... - Civil Monetary Penalty Inflation Adjustments

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Civil Monetary Penalty Inflation Adjustments II Table II to Subpart E of Part 201 Commodity and Securities Exchanges SECURITIES AND... adjustment Adjusted maximum penalty amount Securities and Exchange Commission: 15 USC 77t(d) For natural...

  6. 17 CFR Table 1 to Subpart E of... - Civil Monetary Penalty Inflation Adjustments

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Civil Monetary Penalty Inflation Adjustments 1 Table 1 to Subpart E of Part 201 Commodity and Securities Exchanges SECURITIES AND... amount Adjusted maximum penalty amount SECURITIES AND EXCHANGE COMMISSION: 15 USC 77t(d) FOR NATURAL...

  7. 17 CFR 240.13d-3 - Determination of beneficial owner.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... ordinary course of his business is a pledgee of securities under a written pledge agreement shall not be... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Determination of beneficial owner. 240.13d-3 Section 240.13d-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  9. 17 CFR 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 300.201 - Accounts introduced by same or different broker or dealer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Accounts introduced by same or different broker or dealer. 300.201 Section 300.201 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION...

  14. 17 CFR 232.11 - Definition of terms used in part 232.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Definition of terms used in part 232. 232.11 Section 232.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... this chapter) have the same meanings as in the federal securities laws and the rules, regulations and...

  15. 17 CFR 232.11 - Definition of terms used in part 232.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Definition of terms used in part 232. 232.11 Section 232.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... this chapter) have the same meanings as in the federal securities laws and the rules, regulations and...

  16. 17 CFR 232.11 - Definition of terms used in part 232.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Definition of terms used in part 232. 232.11 Section 232.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... this chapter) have the same meanings as in the federal securities laws and the rules, regulations and...

  17. 17 CFR 232.11 - Definition of terms used in part 232.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Definition of terms used in part 232. 232.11 Section 232.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... this chapter) have the same meanings as in the federal securities laws and the rules, regulations and...

  18. 17 CFR 240.16a-3 - Reporting transactions and holdings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  19. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  20. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  1. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  2. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  3. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  4. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  5. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  6. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  7. 17 CFR 200.735-16 - Delegation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Delegation. 200.735-16 Section 200.735-16 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Former Members and Employees of the Commission § 200.735-16 Delegation. Any official responsibility...

  8. 17 CFR 200.735-16 - Delegation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Delegation. 200.735-16 Section 200.735-16 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Former Members and Employees of the Commission § 200.735-16 Delegation. Any official responsibility...

  9. 17 CFR 200.554 - Public availability of information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Public availability of information. 200.554 Section 200.554 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the...

  10. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  11. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  12. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  13. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  14. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  15. 17 CFR 200.50 - Authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Authority. 200.50 Section 200.50 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.50 Authority. The Canons of Ethics for...

  16. 17 CFR 8.27 - Violations of rules regarding decorum, submission of records or other similar activities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violations of rules regarding decorum, submission of records or other similar activities. 8.27 Section 8.27 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP...

  17. 17 CFR Appendix C to Part 145 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] C Appendix C to Part 145 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMISSION RECORDS AND INFORMATION Appendix C to Part 145 [Reserved] ...

  18. 17 CFR Appendix C to Part 40 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] C Appendix C to Part 40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES Appendix C to Part 40 [Reserved] ...

  19. 17 CFR 141.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  20. 17 CFR 4.12 - Exemption from provisions of part 4.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  1. 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...

  2. 17 CFR 201.58 - Judicial review.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  3. 17 CFR 204.56 - Administrative charges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Administrative charges. 204.56 Section 204.56 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION Tax Refund Offset § 204.56 Administrative charges. To the extent permitted by law, all...

  4. 17 CFR 204.56 - Administrative charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Administrative charges. 204.56 Section 204.56 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION Tax Refund Offset § 204.56 Administrative charges. To the extent permitted by law, all...

  5. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  6. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  7. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  8. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  9. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  10. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  11. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  12. 17 CFR 200.69 - Conduct toward parties and their counsel.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Conduct toward parties and their counsel. 200.69 Section 200.69 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... toward parties and their counsel. Members should be temperate, attentive, patient and impartial when...

  13. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.8 Small entity compliance guides. The following small entity compliance guides...

  14. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.8 Small entity compliance guides. The following small entity compliance guides...

  15. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  16. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

  17. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  18. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  19. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  20. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  1. 17 CFR 200.57 - Relationships with other members.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Relationships with other members. 200.57 Section 200.57 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.57 Relationships with...

  2. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P, S-AM, AND S-ID Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples...

  3. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  4. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  5. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  6. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  7. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  8. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  9. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  10. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  11. 17 CFR 229.1115 - (Item 1115) Certain derivatives instruments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1115) Certain derivatives instruments. 229.1115 Section 229.1115 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... instruments, such as interest rate and currency swap agreements, that are used to alter the payment...

  12. 17 CFR 229.1115 - (Item 1115) Certain derivatives instruments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1115) Certain derivatives instruments. 229.1115 Section 229.1115 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... instruments, such as interest rate and currency swap agreements, that are used to alter the payment...

  13. 17 CFR 256.01-13 - Submission of questions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Submission of questions. 256.01-13 Section 256.01-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... interpretation of the prescribed accounting to the Division of Corporate Regulation or its successor for...

  14. 17 CFR 232.307 - Bold face type.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Bold face type. 232.307 Section 232.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T... face type. (a) Provisions requiring presentation of information in bold face type shall be satisfied in...

  15. 17 CFR 232.307 - Bold face type.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Bold face type. 232.307 Section 232.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T... face type. (a) Provisions requiring presentation of information in bold face type shall be satisfied in...

  16. 17 CFR 232.307 - Bold face type.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Bold face type. 232.307 Section 232.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T... face type. (a) Provisions requiring presentation of information in bold face type shall be satisfied in...

  17. 17 CFR 232.307 - Bold face type.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Bold face type. 232.307 Section 232.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T... face type. (a) Provisions requiring presentation of information in bold face type shall be satisfied in...

  18. 17 CFR 232.307 - Bold face type.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Bold face type. 232.307 Section 232.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T... face type. (a) Provisions requiring presentation of information in bold face type shall be satisfied in...

  19. 17 CFR 256.01-6 - Departmental classification required.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  20. 17 CFR 201.37 - Delegations of authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  1. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  2. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  3. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  4. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  5. 17 CFR 248.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Purpose and scope. 248.1 Section 248.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal...

  6. 17 CFR 200.57 - Relationships with other members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Relationships with other members. 200.57 Section 200.57 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.57 Relationships with...

  7. 17 CFR 256.310 - Aircraft and airport equipment.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  8. 17 CFR 256.310 - Aircraft and airport equipment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  9. 17 CFR 270.27e-1 - Requirements for notice to be mailed to certain purchasers of periodic payment plan certificates...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  10. 17 CFR 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  11. 17 CFR 232.314 - Accommodation for certain securitizers of asset-backed securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Securities Rulemaking Board's Internet Web site. [76 FR 4511, Jan. 26, 2011] XBRL-Related Documents ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Accommodation for certain securitizers of asset-backed securities. 232.314 Section 232.314 Commodity and Securities Exchanges SECURITIES...

  12. 17 CFR 232.314 - Accommodation for certain securitizers of asset-backed securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Securities Rulemaking Board's Internet Web site. [76 FR 4511, Jan. 26, 2011] XBRL-Related Documents ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Accommodation for certain securitizers of asset-backed securities. 232.314 Section 232.314 Commodity and Securities Exchanges SECURITIES...

  13. 17 CFR 232.314 - Accommodation for certain securitizers of asset-backed securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Securities Rulemaking Board's Internet Web site. [76 FR 4511, Jan. 26, 2011] XBRL-Related Documents ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Accommodation for certain securitizers of asset-backed securities. 232.314 Section 232.314 Commodity and Securities Exchanges SECURITIES...

  14. 17 CFR 232.314 - Accommodation for certain securitizers of asset-backed securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Securities Rulemaking Board's Internet Web site. [76 FR 4511, Jan. 26, 2011] XBRL-Related Documents ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Accommodation for certain securitizers of asset-backed securities. 232.314 Section 232.314 Commodity and Securities Exchanges SECURITIES...

  15. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  16. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  17. 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...

  18. 17 CFR 37.2 - Exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Exemption. 37.2 Section 37.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.2 Exemption. Contracts, agreements or transactions traded on a derivatives transaction...

  19. 17 CFR 37.9 - Enforceability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Enforceability. 37.9 Section 37.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION... pursuant to the rules of, a registered derivatives transaction execution facility shall not be void...

  20. 17 CFR 39.6 - Enforceability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Enforceability. 39.6 Section 39.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.6 Enforceability. An agreement, contract or transaction submitted to a derivatives clearing...

  1. 17 CFR 270.2a-1 - Valuation of portfolio securities in special cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Valuation of portfolio securities in special cases. 270.2a-1 Section 270.2a-1 Commodity and Securities Exchanges SECURITIES AND... of portfolio securities in special cases. (a) Any investment company whose securities are qualified...

  2. 17 CFR 240.10b-17 - Untimely announcements of record dates.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... distribution and if that security is a right or a warrant, the subscription price, (e) In any other property... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Untimely announcements of record dates. 240.10b-17 Section 240.10b-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  3. 17 CFR 240.10b-5 - Employment of manipulative and deceptive devices.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... fraud or deceit upon any person, in connection with the purchase or sale of any security. (Sec. 10; 48... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Employment of manipulative and deceptive devices. 240.10b-5 Section 240.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  4. 17 CFR 230.144 - Persons deemed not to be engaged in a distribution and therefore not underwriters.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  5. 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...

  6. 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...

  7. 17 CFR 240.15d-20 - Plain English presentation of specified information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  8. 17 CFR 240.13a-20 - Plain English presentation of specified information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  9. 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...

  10. 17 CFR 200.735-7 - Negotiation for employment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Negotiation for employment. 200.735-7 Section 200.735-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-7 Negotiation for employment. (a) An...

  11. 17 CFR 200.735-7 - Negotiation for employment.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Negotiation for employment. 200.735-7 Section 200.735-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-7 Negotiation for employment. Members...

  12. 17 CFR 200.735-7 - Negotiation for employment.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Negotiation for employment. 200.735-7 Section 200.735-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-7 Negotiation for employment. Members...

  13. 17 CFR 200.735-7 - Negotiation for employment.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Negotiation for employment. 200.735-7 Section 200.735-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-7 Negotiation for employment. Members...

  14. 17 CFR 200.735-7 - Negotiation for employment.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Negotiation for employment. 200.735-7 Section 200.735-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-7 Negotiation for employment. Members...

  15. 17 CFR 300.302 - Mechanics of closeout or completion.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Mechanics of closeout or completion. 300.302 Section 300.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Completion of Open Contractual Commitments § 300.302 Mechanics of closeout or completion. (a) The closeout or...

  16. 17 CFR 300.302 - Mechanics of closeout or completion.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Mechanics of closeout or completion. 300.302 Section 300.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Completion of Open Contractual Commitments § 300.302 Mechanics of closeout or completion. (a) The closeout or...

  17. 17 CFR 300.302 - Mechanics of closeout or completion.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Mechanics of closeout or completion. 300.302 Section 300.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Completion of Open Contractual Commitments § 300.302 Mechanics of closeout or completion. (a) The closeout or...

  18. 17 CFR 300.302 - Mechanics of closeout or completion.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Mechanics of closeout or completion. 300.302 Section 300.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Completion of Open Contractual Commitments § 300.302 Mechanics of closeout or completion. (a) The closeout or...

  19. 17 CFR 200.553 - Draft, final and supplemental impact statements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Draft, final and supplemental impact statements. 200.553 Section 200.553 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Protection of the Environment § 200.553 Draft, final and supplemental impact statements. If the Commission...

  20. 17 CFR 200.553 - Draft, final and supplemental impact statements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Draft, final and supplemental impact statements. 200.553 Section 200.553 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Protection of the Environment § 200.553 Draft, final and supplemental impact statements. If the Commission...

  1. 17 CFR 200.553 - Draft, final and supplemental impact statements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Draft, final and supplemental impact statements. 200.553 Section 200.553 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Protection of the Environment § 200.553 Draft, final and supplemental impact statements. If the Commission...

  2. 17 CFR 200.553 - Draft, final and supplemental impact statements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Draft, final and supplemental impact statements. 200.553 Section 200.553 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Protection of the Environment § 200.553 Draft, final and supplemental impact statements. If the Commission...

  3. 17 CFR 248.126 - Delivery of opt out notices.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Delivery of opt out notices. 248.126 Section 248.126 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer obtained a product or service electronically and requires the...

  4. 17 CFR 248.124 - Reasonable opportunity to opt out.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Reasonable opportunity to opt out. 248.124 Section 248.124 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer has obtained a product or service. The consumer acknowledges...

  5. 17 CFR 248.124 - Reasonable opportunity to opt out.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Reasonable opportunity to opt out. 248.124 Section 248.124 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer has obtained a product or service. The consumer acknowledges...

  6. 17 CFR 232.12 - Business hours of the Commission.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Business hours of the Commission. 232.12 Section 232.12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... documents may be submitted by direct transmission, via dial-up modem or Internet, to the Commission each day...

  7. 17 CFR 248.126 - Delivery of opt out notices.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Delivery of opt out notices. 248.126 Section 248.126 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer obtained a product or service electronically and requires the...

  8. 17 CFR 232.12 - Business hours of the Commission.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Business hours of the Commission. 232.12 Section 232.12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... documents may be submitted by direct transmission, via dial-up modem or Internet, to the Commission each day...

  9. 17 CFR 248.124 - Reasonable opportunity to opt out.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Reasonable opportunity to opt out. 248.124 Section 248.124 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer has obtained a product or service. The consumer acknowledges...

  10. 17 CFR 248.126 - Delivery of opt out notices.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Delivery of opt out notices. 248.126 Section 248.126 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer obtained a product or service electronically and requires the...

  11. 17 CFR 248.124 - Reasonable opportunity to opt out.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Reasonable opportunity to opt out. 248.124 Section 248.124 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer has obtained a product or service. The consumer acknowledges...

  12. 17 CFR 248.126 - Delivery of opt out notices.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Delivery of opt out notices. 248.126 Section 248.126 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Internet Web site at which the consumer obtained a product or service electronically and requires the...

  13. 17 CFR 242.505 - Exclusion for news media.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exclusion for news media. 242.505 Section 242.505 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Analyst Certification § 242.505 Exclusion for news media. No provision of this Regulation AC shall apply...

  14. 17 CFR 242.505 - Exclusion for news media.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exclusion for news media. 242.505 Section 242.505 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Analyst Certification § 242.505 Exclusion for news media. No provision of this Regulation AC shall apply...

  15. 17 CFR 242.505 - Exclusion for news media.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exclusion for news media. 242.505 Section 242.505 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Analyst Certification § 242.505 Exclusion for news media. No provision of this Regulation AC shall apply...

  16. 17 CFR 242.505 - Exclusion for news media.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exclusion for news media. 242.505 Section 242.505 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Analyst Certification § 242.505 Exclusion for news media. No provision of this Regulation AC shall apply...

  17. 17 CFR 242.505 - Exclusion for news media.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exclusion for news media. 242.505 Section 242.505 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Analyst Certification § 242.505 Exclusion for news media. No provision of this Regulation AC shall apply...

  18. 17 CFR 256.188 - Research, development, or demonstration expenditures.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  19. 17 CFR 200.26a - Office of Information Technology.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Organization § 200.26a Office of Information Technology. The Office of Information Technology is responsible... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Office of Information Technology. 200.26a Section 200.26a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  20. 17 CFR 200.26a - Office of Information Technology.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Organization § 200.26a Office of Information Technology. The Office of Information Technology is responsible... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Office of Information Technology. 200.26a Section 200.26a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  1. 17 CFR 200.26a - Office of Information Technology.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Organization § 200.26a Office of Information Technology. The Office of Information Technology is responsible... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Office of Information Technology. 200.26a Section 200.26a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  2. 17 CFR 200.26a - Office of Information Technology.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Organization § 200.26a Office of Information Technology. The Office of Information Technology is responsible... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Office of Information Technology. 200.26a Section 200.26a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  3. 17 CFR 201.1100 - Creation of Fair Fund.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Creation of Fair Fund. 201.1100 Section 201.1100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Fair Fund and Disgorgement Plans § 201.1100 Creation of Fair Fund. In any agency process initiated...

  4. 17 CFR 201.1100 - Creation of Fair Fund.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Creation of Fair Fund. 201.1100 Section 201.1100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Fair Fund and Disgorgement Plans § 201.1100 Creation of Fair Fund. In any agency process initiated...

  5. 17 CFR 201.1100 - Creation of Fair Fund.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Creation of Fair Fund. 201.1100 Section 201.1100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Fair Fund and Disgorgement Plans § 201.1100 Creation of Fair Fund. In any agency process initiated...

  6. 17 CFR 201.1100 - Creation of Fair Fund.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Creation of Fair Fund. 201.1100 Section 201.1100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Fair Fund and Disgorgement Plans § 201.1100 Creation of Fair Fund. In any agency process initiated...

  7. 17 CFR 201.1100 - Creation of Fair Fund.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Creation of Fair Fund. 201.1100 Section 201.1100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Fair Fund and Disgorgement Plans § 201.1100 Creation of Fair Fund. In any agency process initiated...

  8. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  9. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  10. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  11. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  12. 17 CFR 201.222 - Prehearing submissions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Prehearing submissions. 201.222 Section 201.222 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF... of its case or defense; (2) The legal theories upon which it will rely; (3) Copies and a list of...

  13. 17 CFR 201.222 - Prehearing submissions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Prehearing submissions. 201.222 Section 201.222 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF... of its case or defense; (2) The legal theories upon which it will rely; (3) Copies and a list of...

  14. 17 CFR 201.222 - Prehearing submissions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Prehearing submissions. 201.222 Section 201.222 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF... of its case or defense; (2) The legal theories upon which it will rely; (3) Copies and a list of...

  15. 17 CFR 201.222 - Prehearing submissions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Prehearing submissions. 201.222 Section 201.222 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF... of its case or defense; (2) The legal theories upon which it will rely; (3) Copies and a list of...

  16. 17 CFR 201.222 - Prehearing submissions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Prehearing submissions. 201.222 Section 201.222 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF... of its case or defense; (2) The legal theories upon which it will rely; (3) Copies and a list of...

  17. 17 CFR 248.103-248.119 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false [Reserved] 248.103-248.119 Section 248.103-248.119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing §§ 248.103-248.119 [Reserved] ...

  18. 17 CFR 248.103-248.119 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false [Reserved] 248.103-248.119 Section 248.103-248.119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing §§ 248.103-248.119 [Reserved] ...

  19. 17 CFR 248.103-248.119 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false [Reserved] 248.103-248.119 Section 248.103-248.119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing §§ 248.103-248.119 [Reserved] ...

  20. 17 CFR 248.103-248.119 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false [Reserved] 248.103-248.119 Section 248.103-248.119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing §§ 248.103-248.119 [Reserved] ...

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