PocketLaw | CFR 17 | General Rules and Regulations, Securities

General Rules and Regulations, Securities Exchange Act of 1934

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Rules and Regulations Under the Securities Exchange Act of 1934

General

Formal Requirements

General Requirements as to Contents

Exhibits

Special Provisions

Certification by Exchanges and Effectiveness of Registration

Suspension of Trading, Withdrawal, and Striking from Listing and Registration

Unlisted Trading

Extensions and Temporary Exemptions; Definitions

Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12

Annual Reports

Other Reports

Regulation 13b-2: Maintenance of Records and Preparation of Required Reports

Regulation 13D-G

Regulation 14A: Solicitation of Proxies

Regulation 14C: Distribution of Information Pursuant to Section 14(C)

Regulation 14D

Regulation 14E

Regulation 14N: Filings Required by Certain Nominating Shareholders

Exemption of Certain OTC Derivatives Dealers

Exemption of Certain Securities from Section 15(a)

Registration of Brokers and Dealers

Rules Relating to Over-the-Counter Markets

Regulation 15D: Reports of Registrants Under the Securities Act of 1933

Annual Reports

Other Reports

Exemption of Certain Issuers from Section 15(D) of the Act

National and Affiliated Securities Associations

Registration of Government Securities Brokers and Government Securities Dealers

Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants

Exemption of Certain Transactions from Section 16(B)

Exemption of Certain Transactions from Section 16(C)

Arbitrage Transactions

Preservation of Records and Reports of Certain Stabilizing Activities

Nationally Recognized Statistical Rating Organizations

Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants

Suspension and Expulsion of Exchange Members

Securities Whistleblower Incentives and Protections

Inspection and Publication of Information Filed Under the Act

Subpart B - Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]

Section
240.13d-1

Filing of Schedules 13D and 13G.

Section
240.13d-2

Filing of amendments to Schedules 13D or 13G.

Section
240.13d-3

Determination of beneficial owner.

Section
240.13d-4

Disclaimer of beneficial ownership.

Section
240.13d-5

Acquisition of securities.

Section
240.13d-6

Exemption of certain acquisitions.

Section
240.13d-7

Dissemination.

Section
240.13d-101

Schedule 13D - Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).

Section
240.13d-102

Schedule 13G - Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.

Section
240.13e-1

Purchase of securities by the issuer during a third-party tender offer.

Section
240.13e-2

§ 240.13e-2 [Reserved]

Section
240.13e-3

Going private transactions by certain issuers or their affiliates.

Section
240.13e-4

Tender offers by issuers.

Section
240.13e-100

Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.

Section
240.13e-101

§ 240.13e-101 [Reserved]

Section
240.13e-102

Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.

Section
240.13f-1

Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.

Section
240.13h-1

Large trader reporting.

Section
240.13k-1

Foreign bank exemption from the insider lending prohibition under section 13(k).

Section
240.13n-1

Registration of security-based swap data repository.

Section
240.13n-2

Withdrawal from registration; revocation and cancellation.

Section
240.13n-3

Registration of successor to registered security-based swap data repository.

Section
240.13n-4

Duties and core principles of security-based swap data repository.

Section
240.13n-5

Data collection and maintenance.

Section
240.13n-6

Automated systems.

Section
240.13n-7

Recordkeeping of security-based swap data repository.

Section
240.13n-8

Reports to be provided to the Commission.

Section
240.13n-9

Privacy requirements of security-based swap data repository.

Section
240.13n-10

Disclosure requirements of security-based swap data repository.

Section
240.13n-11

Chief compliance officer of security-based swap data repository; compliance reports and financial reports.

Section
240.13n-12

Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.

Section
240.13p-1

Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.

Section
240.13q-1

Disclosure of payments made by resource extraction issuers.

Section
240.14a-1

Definitions.

Section
240.14a-2

Solicitations to which § 240.14a-3 to § 240.14a-15 apply.

Section
240.14a-3

Information to be furnished to security holders.

Section
240.14a-4

Requirements as to proxy.

Section
240.14a-5

Presentation of information in proxy statement.

Section
240.14a-6

Filing requirements.

Section
240.14a-7

Obligations of registrants to provide a list of, or mail soliciting material to, security holders.

Section
240.14a-8

Shareholder proposals.

Section
240.14a-9

False or misleading statements.

Section
240.14a-10

Prohibition of certain solicitations.

Section
240.14a-12

Solicitation before furnishing a proxy statement.

Section
240.14a-13

Obligation of registrants in communicating with beneficial owners.

Section
240.14a-14

Modified or superseded documents.

Section
240.14a-15

Differential and contingent compensation in connection with roll-up transactions.

Section
240.14a-16

Internet availability of proxy materials.

Section
240.14a-17

Electronic shareholder forums.

Section
240.14a-18

Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents.

Section
240.14a-19

Solicitation of proxies in support of director nominees other than the registrant's nominees.

Section
240.14a-20

Shareholder approval of executive compensation of TARP recipients.

Section
240.14a-21

Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation.

Section
240.14a-101

Schedule 14A. Information required in proxy statement.

Section
240.14a-102

§ 240.14a-102 [Reserved]

Section
240.14a-103

Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g).

Section
240.14a-104

Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a-6(n).

Section
240.14b-1

Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners.

Section
240.14b-2

Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners.

Section
240.14c-1

Definitions.

Section
240.14c-2

Distribution of information statement.

Section
240.14c-3

Annual report to be furnished security holders.

Section
240.14c-4

Presentation of information in information statement.

Section
240.14c-5

Filing requirements.

Section
240.14c-6

False or misleading statements.

Section
240.14c-7

Providing copies of material for certain beneficial owners.

Section
240.14c-101

Schedule 14C. Information required in information statement.

Section
240.14d-1

Scope of and definitions applicable to Regulations 14D and 14E.

Section
240.14d-2

Commencement of a tender offer.

Section
240.14d-3

Filing and transmission of tender offer statement.

Section
240.14d-4

Dissemination of tender offers to security holders.

Section
240.14d-5

Dissemination of certain tender offers by the use of stockholder lists and security position listings.

Section
240.14d-6

Disclosure of tender offer information to security holders.

Section
240.14d-7

Additional withdrawal rights.

Section
240.14d-8

Exemption from statutory pro rata requirements.

Section
240.14d-9

Recommendation or solicitation by the subject company and others.

Section
240.14d-10

Equal treatment of security holders.

Section
240.14d-11

Subsequent offering period.

Section
240.14d-100

Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934.

Section
240.14d-101

Schedule 14D-9.

Section
240.14d-102

Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934.

Section
240.14d-103

Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.

Section
240.14e-1

Unlawful tender offer practices.

Section
240.14e-2

Position of subject company with respect to a tender offer.

Section
240.14e-3

Transactions in securities on the basis of material, nonpublic information in the context of tender offers.

Section
240.14e-4

Prohibited transactions in connection with partial tender offers.

Section
240.14e-5

Prohibiting purchases outside of a tender offer.

Section
240.14e-6

Repurchase offers by certain closed-end registered investment companies.

Section
240.14e-7

Unlawful tender offer practices in connection with roll-ups.

Section
240.14e-8

Prohibited conduct in connection with pre-commencement communications.

Section
240.14f-1

Change in majority of directors.