PocketLaw | USC 15 | SECURITIES EXCHANGES

SECURITIES EXCHANGES

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Short title

Necessity for regulation

Definitions and application

Section
78c–1

Swap agreements

Section
78c–2

Securities-related derivatives

Section
78c–3

Clearing for security-based swaps

Section
78c–4

Security-based swap execution facilities

Section
78c–5

Segregation of assets held as collateral in security-based swap transactions

Securities and Exchange Commission

Section
78d–1

Delegation of functions by Commission

Section
78d–2

Transfer of functions with respect to assignment of personnel to chairman

Section
78d–3

Appearance and practice before the Commission

Section
78d–4

Additional duties of Inspector General

Section
78d–5

Deadline for completing enforcement investigations and compliance examinations and inspections

Section
78d–6

Report and certification of internal supervisory controls

Section
78d–7

Triennial report on personnel management

Section
78d–8

Annual financial controls audit

Section
78d–9

Report on oversight of national securities associations

Transactions on unregistered exchanges

National securities exchanges

Margin requirements

Restrictions on borrowing and lending by members, brokers, and dealers

Manipulation of security prices

Manipulative and deceptive devices

Section
78j–1

Audit requirements

Section
78j–2

Position limits and position accountability for security-based swaps and large trader reporting

Section
78j–3

Compensation committees

Section
78j–4

Recovery of erroneously awarded compensation policy

Trading by members of exchanges, brokers, and dealers

Section
78k–1

National market system for securities; securities information processors

Registration requirements for securities

Section
78l–1

Applications for unlisted trading privileges deemed filed under section 78l of this title

Periodical and other reports

Section
78m–1

Reporting and recordkeeping for certain security-based swaps

Section
78m–2

Reporting requirements regarding coal or other mine safety

Proxies

Section
78n–1

Shareholder approval of executive compensation

Section
78n–2

Corporate governance

Registration and regulation of brokers and dealers

Section
78o–1

Brokers deemed to be registered

Section
78o–2

Liabilities arising prior to amendment unaffected

Section
78o–3

Registered securities associations

Section
78o–4

Municipal securities

Section
78o–4a

Commission Office of Municipal Securities

Section
78o–5

Government securities brokers and dealers

Section
78o–6

Securities analysts and research reports

Section
78o–7

Registration of nationally recognized statistical rating organizations

Section
78o–8

Universal ratings symbols

Section
78o–9

Study and rulemaking on assigned credit ratings

Section
78o–10

Registration and regulation of security-based swap dealers and major security-based swap participants

Section
78o–11

Credit risk retention

Directors, officers, and principal stockholders

Records and reports

Section
78q–1

National system for clearance and settlement of securities transactions

Section
78q–2

Automated quotation systems for penny stocks

Liability for misleading statements

Registration, responsibilities, and oversight of self-regulatory organizations

Liability of controlling persons and persons who aid and abet violations

Section
78t–1

Liability to contemporaneous traders for insider trading

Investigations and actions

Section
78u–1

Civil penalties for insider trading

Section
78u–2

Civil remedies in administrative proceedings

Section
78u–3

Cease-and-desist proceedings

Section
78u–4

Private securities litigation

Section
78u–5

Application of safe harbor for forward-looking statements

Section
78u–6

Securities whistleblower incentives and protection

Section
78u–7

Implementation and transition provisions for whistleblower protection

Hearings by Commission

Rules, regulations, and orders; annual reports

Public availability of information

Court review of orders and rules

Unlawful representations

Jurisdiction of offenses and suits

Section
78aa–1

Special provision relating to statute of limitations on private causes of action

Effect on existing law

Validity of contracts

Foreign securities exchanges

Section
78dd–1

Prohibited foreign trade practices by issuers

Section
78dd–2

Prohibited foreign trade practices by domestic concerns

Section
78dd–3

Prohibited foreign trade practices by persons other than issuers or domestic concerns

Transaction fees

Penalties

Separability

Effective date

Section
78hh–1

Effective date of certain sections

Omitted

Repealed. Pub. L. 100–181, title III, §330, Dec. 4, 1987, 101 Stat. 1259

Authorization of appropriations

Requirements for the EDGAR system

General exemptive authority

Tennessee Valley Authority

Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks

Investor Advisory Committee

Small Business Capital Formation Advisory Committee