Rules of General Application

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Rules and Regulations Under the Securities Exchange Act of 1934
  7. Rules of General Application

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Section
240.0-1

Definitions.

Section
240.0-2

Business hours of the Commission.

Section
240.0-3

Filing of material with the Commission.

Section
240.0-4

Nondisclosure of information obtained in examinations and investigations.

Section
240.0-5

Reference to rule by obsolete designation.

Section
240.0-6

Disclosure detrimental to the national defense or foreign policy.

Section
240.0-8

Application of rules to registered broker-dealers.

Section
240.0-9

Payment of fees.

Section
240.0-10

Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.

Section
240.0-11

Filing fees for certain acquisitions, dispositions and similar transactions.

Section
240.0-12

Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.

Section
240.0-13

Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.

Section
240.3a1-1

Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.

Section
240.3a4-1

Associated persons of an issuer deemed not to be brokers.

Sections
240.3a4-2 - 240.3a4-6

§§ 240.3a4-2-240.3a4-6 [Reserved]

Section
240.3a5-1

Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.

Section
240.3a5-2

Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.

Section
240.3a5-3

Exemption from the definition of “dealer” for banks engaging in securities lending transactions.