Rules and Regulations Under the Securities Exchange Act of 1934

  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

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Rules of General Application

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Definition of “Equity Security” as Used in Sections 12(G) and 16

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Miscellaneous Exemptions

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Security-Based Swap Dealer and Participant Definitions

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Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

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Definitions

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Clearing of Security-Based Swaps

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Registration and Exemption of Exchanges

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Hypothecation of Customers' Securities

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Manipulative and Deceptive Devices and Contrivances

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Reports Under Section 10A

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Requirements Under Section 10C

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Adoption of Floor Trading Regulation (Rule 11a-1)

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Adoption of Regulation on Conduct of Specialists

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Exemption of Certain Securities from Section 11(D)(1)

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Securities Exempted from Registration

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Regulation 12B: Registration and Reporting