Code of Federal Regulations

  1. Title 17
  2. Chapter II
Title 17 Commodity and Securities Exchanges Part / Section
Chapter II Securities and Exchange Commission 200 – 399
Part 200 Organization; Conduct and Ethics; and Information and Requests 200.1 – 200.800
Subpart A Organization and Program Management 200.1 – 200.30-19
Subpart B Disposition of Commission Business 200.40 – 200.43
Subpart C Canons of Ethics 200.50 – 200.72
Subpart D Information and Requests 200.80 – 200.83
Subpart E Subpart E [Reserved]
Subpart F Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees 200.110 – 200.114
Subpart G Plan of Organization and Operation Effective During Emergency Conditions 200.200 – 200.205
Subpart H Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission 200.301 – 200.312
Subpart I Regulations Pertaining to Public Observation of Commission Meetings 200.400 – 200.410
Subpart J Classification and Declassification of National Security Information and Material 200.500 – 200.511
Subpart K Regulations Pertaining to the Protection of the Environment 200.550 – 200.554
Subpart L Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission 200.601 – 200.699
Subpart M Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission 200.735-1 – 200.735-18
Subpart N Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers 200.800
Part 201 Rules of Practice 201.31 – 201.1106
Subpart A Subpart A [Reserved]
Subpart B Regulations Pertaining to the Equal Access to Justice Act 201.31 – 201.60
Subpart C Subpart C [Reserved]
Subpart D Rules of Practice 201.100 – 201.900
Subpart E Adjustment of Civil Monetary Penalties 201.1001
Subpart F Fair Fund and Disgorgement Plans 201.1100 – 201.1106
Part 202 Informal and Other Procedures 202.1 – 202.190
§ 202.1 General.
§ 202.2 Pre-filing assistance and interpretative advice.
§ 202.3 Processing of filings.
§ 202.3a Instructions for filing fees.
§ 202.4 Facilitating administrative hearings.
§ 202.5 Enforcement activities.
§ 202.6 Adoption, revision, and rescission of rules and regulations of general application.
§ 202.7 Submittals.
§ 202.8 Small entity compliance guides.
§ 202.9 Small entity enforcement penalty reduction policy.
§ 202.10 Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media.
§ 202.12 Policy statement concerning cooperation by individuals in its investigations and related enforcement actions.
§ 202.13 Informal procedure with respect to applications under the Investment Company Act of 1940.
§ 202.14 Policy statement concerning agency referrals for potential criminal enforcement.
Subpart A Public Company Accounting Oversight Board (Regulation P) 202.140 – 202.190
Part 203 Rules Relating to Investigations 203.1 – 203.8
Subpart A In General 203.1 – 203.3
Subpart B Formal Investigative Proceedings 203.4 – 203.8
Part 204 Rules Relating to Debt Collection 204.1 – 204.77
Subpart A Administrative Offset 204.1 – 204.29
Subpart B Salary Offset 204.30 – 204.44
Subpart C Tax Refund Offset 204.50 – 204.59
Subpart D Administrative Wage Garnishment 204.60 – 204.65
Subpart E Miscellaneous: Credit Bureau Reporting, Collection Services 204.75 – 204.77
Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer 205.1 – 205.7
§ 205.1 Purpose and scope.
§ 205.2 Definitions.
§ 205.3 Issuer as client.
§ 205.4 Responsibilities of supervisory attorneys.
§ 205.5 Responsibilities of a subordinate attorney.
§ 205.6 Sanctions and discipline.
§ 205.7 No private right of action.
Part 209 Forms Prescribed Under the Commission's Rules of Practice 209.0-1 – 209.1
§ 209.0-1 Availability of forms.
§ 209.1 Form D-A: Disclosure of assets and financial information.
Part 210 Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975 210.1-01 – 210.15-01
Application of Regulation S-X (17 CFR Part 210) Application of Regulation S-X (17 CFR Part 210) 210.1-01 – 210.1-02
Qualifications and Reports of Accountants Qualifications and Reports of Accountants 210.2-01 – 210.2-07
General Instructions as to Financial Statements General Instructions as to Financial Statements 210.3-01 – 210.3-20
Consolidated and Combined Financial Statements Consolidated and Combined Financial Statements 210.3A-01 – 210.3A-04
Rules of General Application Rules of General Application 210.4-01 – 210.4-10
Commercial and Industrial Companies Commercial and Industrial Companies 210.5 – 210.5-04
Registered Investment Companies and Business Development Companies Registered Investment Companies and Business Development Companies 210.6 – 210.6-11
Employee Stock Purchase, Savings and Similar Plans Employee Stock Purchase, Savings and Similar Plans 210.6A – 210.6A-05
Insurance Companies Insurance Companies 210.7 – 210.7-05
Article 8 Financial Statements of Smaller Reporting Companies Article 8 Financial Statements of Smaller Reporting Companies 210.8-01 – 210.8-08
Bank Holding Companies Bank Holding Companies 210.9 – 210.9-07
Interim Financial Statements Interim Financial Statements 210.10-01
Pro Forma Financial Information Pro Forma Financial Information 210.11-01 – 210.11-03
Form and Content of Schedules Form and Content of Schedules
General General 210.12 – 210.12-11
For Management Investment Companies For Management Investment Companies 210.12-12 – 210.12-18
For Face-Amount Certificate Investment Companies For Face-Amount Certificate Investment Companies 210.12-21 – 210.12-27
For Certain Real Estate Companies For Certain Real Estate Companies 210.12-28 – 210.12-29
Financial and Non-Financial Disclosures for Certain Securities Registered or Being Registered Financial and Non-Financial Disclosures for Certain Securities Registered or Being Registered 210.13-01 – 210.13-02
—XXX —XXX 210.14
Acquisitions of Businesses by a Shell Company (Other Than a Business Combination Related Shell Company) Acquisitions of Businesses by a Shell Company (Other Than a Business Combination Related Shell Company) 210.15-01
Part 211 Interpretations Relating to Financial Reporting Matters
Subpart A Financial Reporting Releases
Subpart B Staff Accounting Bulletins
Subpart C Accounting and Auditing Enforcement Releases
Part 227 Regulation Crowdfunding, General Rules and Regulations 227.100 – 227.504
Subpart A General 227.100
Subpart B Requirements for Issuers 227.201 – 227.206
Subpart C Requirements for Intermediaries 227.300 – 227.305
Subpart D Funding Portal Regulation 227.400 – 227.404
Subpart E Miscellaneous Provisions 227.501 – 227.504
Part 228 Part 228 [Reserved]
Part 229 Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975—Regulation S-K 229.10 – 229.1610
Subpart 229.1 General 229.10
Subpart 229.100 Business 229.101 – 229.106
Subpart 229.200 Securities of the Registrant 229.201 – 229.202
Subpart 229.300 Financial Information 229.301 – 229.308
Subpart 229.400 Management and Certain Security Holders 229.401 – 229.408
Subpart 229.500 Registration Statement and Prospectus Provisions 229.501 – 229.512
Subpart 229.600 Exhibits 229.601
Subpart 229.700 Miscellaneous 229.701 – 229.703
Subpart 229.800 List of Industry Guides 229.801 – 229.802
Subpart 229.900 Roll-Up Transactions 229.901 – 229.915
Subpart 229.1000 Mergers and Acquisitions (Regulation M-A) 229.1000 – 229.1016
Subpart 229.1100 Asset-Backed Securities (Regulation AB) 229.1100 – 229.1125
Subpart 229.1200 Disclosure by Registrants Engaged in Oil and Gas Producing Activities 229.1201 – 229.1208
Subpart 229.1300 Disclosure by Registrants Engaged in Mining Operations 229.1300 – 229.1305
Subpart 229.1400 Disclosure by Bank and Savings and Loan Registrants 229.1401 – 229.1406
Subpart 1500 XXX
Subpart 229.1600 Special Purpose Acquisition Companies 229.1601 – 229.1610
Part 230 General Rules and Regulations, Securities Act of 1933 230.100 – 230.1001
General General
§ 230.100 Definitions of terms used in the rules and regulations.
§ 230.110 Business hours of the Commission.
§ 230.111 Payment of filing fees.
§ 230.120 Inspection of registration statements.
§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.130 Definition of “rules and regulations” as used in certain sections of the Act.
§ 230.131 Definition of security issued under governmental obligations.
§ 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.134 Communications not deemed a prospectus.
§ 230.134a Options material not deemed a prospectus.
§ 230.134b Statements of additional information.
§ 230.135 Notice of proposed registered offerings.
§ 230.135a Generic advertising.
§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.
§ 230.135c Notice of certain proposed unregistered offerings.
§ 230.135d Communications involving security-based swaps.
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.136 Definition of certain terms in relation to assessable stock.
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139a Publications by brokers or dealers distributing asset-backed securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.140 Definition of “distribution” in section 2(11) for certain transactions.
§ 230.141 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 2(11), for certain transactions.
§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
§ 230.143 Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain transactions of foreign governments for war purposes.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144A Private resales of securities to institutions.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145a Business combinations with reporting shell companies.
§ 230.146 Rules under section 18 of the Act.
§ 230.147 Intrastate offers and sales.
§ 230.147A Intrastate sales exemption.
§ 230.148 Exemption from general solicitation or general advertising.
§ 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions.
§ 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.152 Integration.
§ 230.152a Offer or sale of certain fractional interests.
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
§ 230.153a Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders.
§ 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
§ 230.154 Delivery of prospectuses to investors at the same address.
§ 230.155 § 230.155 [Reserved]
§ 230.156 Investment company and registered non-variable annuity sales literature.
§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.159 Information available to purchaser at time of contract of sale.
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 230.161 Amendments to rules and regulations governing exemptions.
§ 230.162 Submission of tenders in registered exchange offers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163A Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.165 Offers made in connection with a business combination transaction.
§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.170 Prohibition of use of certain financial statements.
§ 230.171 Disclosure detrimental to the national defense or foreign policy.
§ 230.172 Delivery of prospectuses.
§ 230.173 Notice of registration.
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.175 Liability for certain statements by issuers.
§ 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.193 Review of underlying assets in asset-backed securities transactions.
§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.
§ 230.215 Accredited investor.
Regulation A-R—Special Exemptions Regulation A-R—Special Exemptions 230.236 – 230.241
Regulation A—Conditional Small Issues Exemption Regulation A—Conditional Small Issues Exemption 230.251 – 230.346
Regulation C—Registration Regulation C—Registration
§ 230.400 Application of §§ 230.400 to 230.494, inclusive.
General Requirements General Requirements 230.401 – 230.419
Form and Content of Prospectuses Form and Content of Prospectuses 230.420 – 230.433
Written Consents Written Consents 230.436 – 230.447
Filings; Fees; Effective Date Filings; Fees; Effective Date 230.455 – 230.467
Amendments; Withdrawals Amendments; Withdrawals 230.470 – 230.479
Investment Companies; Business Development Companies Investment Companies; Business Development Companies
§ 230.480 Title of securities.
§ 230.481 Information required in prospectuses.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.483 Exhibits for certain registration statements.
§ 230.484 Undertaking required in certain registration statements.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
Registration by Foreign Governments or Political Subdivisions Thereof Registration by Foreign Governments or Political Subdivisions Thereof 230.490 – 230.498A
Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 230.500 – 230.508
Regulation E—Exemption for Securities of Small Business Investment Companies Regulation E—Exemption for Securities of Small Business Investment Companies 230.601 – 230.703(T)
Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations 230.800 – 230.802
Regulation S—Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933 Regulation S—Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
§ 230.901 General statement.
§ 230.902 Definitions.
§ 230.903 Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities.
§ 230.904 Offshore resales.
§ 230.905 Resale limitations.
Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law 230.1001
Part 231 Interpretative Releases Relating to the Securities Act of 1933 and General Rules and Regulations Thereunder
Part 232 Regulation S-T—General Rules and Regulations for Electronic Filings 232.10 – 232.903
General General 232.10 – 232.15
Electronic Filing Requirements Electronic Filing Requirements 232.100 – 232.106
Hardship Exemptions Hardship Exemptions 232.201 – 232.202
Preparation of Electronic Submissions Preparation of Electronic Submissions 232.301 – 232.314
Interactive Data Interactive Data 232.401 – 232.408
EDGAR Functions EDGAR Functions 232.501
Foreign Private Issuers and Foreign Governments Foreign Private Issuers and Foreign Governments 232.600
Part 239 Forms Prescribed Under the Securities Act of 1933 239.0-1 – 239.900
§ 239.0-1 Availability of forms.
Subpart A Forms for Registration Statements 239.4 – 239.66
Subpart B Forms Pertaining to Exemptions 239.90 – 239.900
Part 240 General Rules and Regulations, Securities Exchange Act of 1934 240.0-1 – 240.36a1-2
Subpart A Rules and Regulations Under the Securities Exchange Act of 1934 240.0-1 – 240.12a-11
General General 240.12b-1 – 240.12b-7
Formal Requirements Formal Requirements 240.12b-10 – 240.12b-15
General Requirements as to Contents General Requirements as to Contents 240.12b-20 – 240.12b-25
Exhibits Exhibits 240.12b-30 – 240.12b-33
Special Provisions Special Provisions 240.12b-35 – 240.12b-37
Certification by Exchanges and Effectiveness of Registration Certification by Exchanges and Effectiveness of Registration 240.12d1-1 – 240.12d1-6
Suspension of Trading, Withdrawal, and Striking From Listing and Registration Suspension of Trading, Withdrawal, and Striking From Listing and Registration 240.12d2-1 – 240.12d2-2
Unlisted Trading Unlisted Trading 240.12f-1 – 240.12f-6
Extensions and Temporary Exemptions; Definitions Extensions and Temporary Exemptions; Definitions 240.12g-1 – 240.12h-7
Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12 Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
Annual Reports Annual Reports 240.13a-1 – 240.13a-3
Other Reports Other Reports 240.13a-10 – 240.13a-21
Regulation 13b-2: Maintenance of Records and Preparation of Required Reports Regulation 13b-2: Maintenance of Records and Preparation of Required Reports 240.13b2-1 – 240.13b2-2
Regulation 13D-G Regulation 13D-G 240.13d-1 – 240.13q-1
Regulation 14A: Solicitation of Proxies Regulation 14A: Solicitation of Proxies 240.14a-1 – 240.14b-2
Regulation 14C: Distribution of Information Pursuant to Section 14(c) Regulation 14C: Distribution of Information Pursuant to Section 14(c) 240.14c-1 – 240.14c-101
Regulation 14D Regulation 14D 240.14d-1 – 240.14d-103
Regulation 14E Regulation 14E 240.14e-1 – 240.14e-8
§ 240.14f-1 Change in majority of directors.
Regulation 14N: Filings Required by Certain Nominating Shareholders Regulation 14N: Filings Required by Certain Nominating Shareholders 240.14n-1 – 240.14n-101
Exemption of Certain OTC Derivatives Dealers Exemption of Certain OTC Derivatives Dealers 240.15a-1
Exemption of Certain Securities From Section 15(a) Exemption of Certain Securities From Section 15(a) 240.15a-2 – 240.15a-5
Registration of Brokers and Dealers Registration of Brokers and Dealers 240.15a-6 – 240.15b11-1
Rules Relating to Over-the-Counter Markets Rules Relating to Over-the-Counter Markets 240.15c1-1 – 240.15c6-2
Regulation 15D: Reports of Registrants Under the Securities Act of 1933 Regulation 15D: Reports of Registrants Under the Securities Act of 1933
Annual Reports Annual Reports 240.15d-1 – 240.15d-6
Other Reports Other Reports 240.15d-10 – 240.15d-20
Exemption of Certain Issuers From Section 15(d) of the Act Exemption of Certain Issuers From Section 15(d) of the Act 240.15d-21 – 240.15l-1
National and Affiliated Securities Associations National and Affiliated Securities Associations 240.15aa-1 – 240.15Bc7-1
Registration of Government Securities Brokers and Government Securities Dealers Registration of Government Securities Brokers and Government Securities Dealers 240.15Ca1-1 – 240.15Cc1-1
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants 240.15Fb1-1 – 240.15Ga-2
Reports of Directors, Officers, and Principal Shareholders Reports of Directors, Officers, and Principal Shareholders 240.16a-1 – 240.16a-13
Exemption of Certain Transactions From Section 16(b) Exemption of Certain Transactions From Section 16(b) 240.16b-1 – 240.16b-8
Exemption of Certain Transactions From Section 16(c) Exemption of Certain Transactions From Section 16(c) 240.16c-1 – 240.16c-4
Arbitrage Transactions Arbitrage Transactions 240.16e-1
Preservation of Records and Reports of Certain Stabilizing Activities Preservation of Records and Reports of Certain Stabilizing Activities 240.17a-1 – 240.17f-2
Nationally Recognized Statistical Rating Organizations Nationally Recognized Statistical Rating Organizations 240.17g-1 – 240.17Ad-27
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 240.18a-1 – 240.18a-10
Suspension and Expulsion of Exchange Members Suspension and Expulsion of Exchange Members 240.19a3-1 – 240.19h-1
Securities Whistleblower Incentives and Protections Securities Whistleblower Incentives and Protections 240.21F-1 – 240.21F-18
Inspection and Publication of Information Filed Under the Act Inspection and Publication of Information Filed Under the Act 240.24b-1 – 240.36a1-2
Subpart B—Rules and Regulations Under the Securities Investor Protection Act of 1970 Subpart B—Rules and Regulations Under the Securities Investor Protection Act of 1970 [Reserved]
Part 241 Interpretative Releases Relating to the Securities Exchange Act of 1934 and General Rules and Regulations Thereunder
Part 242 Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures 242.100 – 242.1007
Regulation M Regulation M 242.100 – 242.105
Regulation SHO—Regulation of Short Sales Regulation SHO—Regulation of Short Sales 242.200 – 242.204
Regulation ATS—Alternative Trading Systems Regulation ATS—Alternative Trading Systems 242.300 – 242.304
Customer Margin Requirements for Security Futures Customer Margin Requirements for Security Futures 242.400 – 242.406
Regulation AC—Analyst Certification Regulation AC—Analyst Certification 242.500 – 242.505
Regulation NMS—Regulation of the National Market System Regulation NMS—Regulation of the National Market System 242.600 – 242.614
Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities 242.800 – 242.835
Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information 242.900 – 242.909
Regulation SCI Systems Compliance and Integrity 242.1000 – 242.1007
Part 243 Regulation FD 243.100 – 243.103
§ 243.100 General rule regarding selective disclosure.
§ 243.101 Definitions.
§ 243.102 No effect on antifraud liability.
§ 243.103 No effect on Exchange Act reporting status.
Part 244 Regulation G 244.100 – 244.102
§ 244.100 General rules regarding disclosure of non-GAAP financial measures.
§ 244.101 Definitions.
§ 244.102 No effect on antifraud liability.
Part 245 Regulation Blackout Trading Restriction 245.100 – 245.104
§ 245.100 Definitions.
§ 245.101 Prohibition of insider trading during pension fund blackout periods.
§ 245.102 Exceptions to definition of blackout period.
§ 245.103 Issuer right of recovery; right of action by equity security owner.
§ 245.104 Notice.
Part 246 Credit Risk Retention 246.1 – 246.22
Subpart A Authority, Purpose, Scope and Definitions 246.1 – 246.2
Subpart B Credit Risk Retention 246.3 – 246.10
Subpart C Transfer of Risk Retention 246.11 – 246.12
Subpart D Exceptions and Exemptions 246.13 – 246.22
Part 247 Regulation R—Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker 247.100 – 247.781
§ 247.100 Definition.
§ 247.700 Defined terms relating to the networking exception from the definition of “broker.”
§ 247.701 Exemption from the definition of “broker” for certain institutional referrals.
§ 247.721 Defined terms relating to the trust and fiduciary activities exception from the definition of “broker.”
§ 247.722 Exemption allowing banks to calculate trust and fiduciary compensation on a bank-wide basis.
§ 247.723 Exemptions for special accounts, transferred accounts, foreign branches and a de minimis number of accounts.
§ 247.740 Defined terms relating to the sweep accounts exception from the definition of “broker.”
§ 247.741 Exemption for banks effecting transactions in money market funds.
§ 247.760 Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
§ 247.771 Exemption from the definition of “broker” for banks effecting transactions in securities issued pursuant to Regulation S.
§ 247.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions.
§ 247.775 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.
§ 247.776 Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans.
§ 247.780 Exemption for banks from liability under section 29 of the Securities Exchange Act of 1934.
§ 247.781 Exemption from the definition of “broker” for banks for a limited period of time.
Part 248 Regulations S-P, S-AM, and S-ID 248.1 – 248.202
Subpart A Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information 248.1 – 248.100
Subpart B Regulation S-AM: Limitations on Affiliate Marketing 248.101 – 248.128
Subpart C Regulation S-ID: Identity Theft Red Flags 248.201 – 248.202
Part 249 Forms, Securities Exchange Act of 1934 249.0-1 – 249.2000
§ 249.0-1 Availability of forms.
Subpart A Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges 249.1 – 249.26
Subpart B Forms for Reports To Be Filed by Officers, Directors, and Security Holders 249.103 – 249.105
Subpart C Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters 249.208 – 249.250
Subpart D Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 1934 249.306 – 249.447
Subpart E Forms for Statements Made in Connection With Exempt Tender Offers 249.480
Subpart F Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets 249.501 – 249.510
Subpart G Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants 249.617 – 249.641
Subpart H Forms For Reports as to Stabilization 249.709
Subpart I Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations 249.801 – 249.822
Subpart J Subpart J [Reserved]
Subpart K Form for Registration of, and Reporting by Securities Information Processors 249.1001 – 249.1002
Subpart L Forms for Registration of Municipal Securities Dealers 249.1100 – 249.1110
Subpart M Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities 249.1200
Subpart N Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons 249.1300 – 249.1330
Subpart O Forms for Asset-Backed Securities 249.1400 – 249.1401
Subpart P Forms for Registration of Security-Based Swap Data Repositories 249.1500
Subpart Q Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 249.1600 – 249.1601
Subpart R Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities 249.1701 – 249.1702
Subpart S Subpart S [Reserved]
Subpart T Form SCI, for filing notices and reports as required by Regulation SCI. 249.1900
Subpart U Forms for Registration of Funding Portals 249.2000
Part 249a—Forms, Securities Investor Protection Act of 1970 Part 249a—Forms, Securities Investor Protection Act of 1970 [Reserved]
Part 249b Further Forms, Securities Exchange Act of 1934 249b.1 – 249b.400
§§ 249b.1-249b.99 §§ 249b.1-249b.99 [Reserved]
§ 249b.100 Form TA-1, uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.101 Form TA-W, notice of withdrawal from registration as transfer agent.
§ 249b.102 Form TA-2, form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
§ 249b.200 Form CA-1, form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and § 240.17g-1 of this chapter.
§ 249b.400 Form SD, specialized disclosure report.
Part 250 Cross-Border Antifraud Law-Enforcement Authority 250.1
§ 250.1 Cross-border antifraud law-enforcement authority.
Parts 251-254 Parts 251-254 [Reserved]
Part 255 Proprietary Trading and Certain Interests in and Relationships with Covered Funds 255.1 – 255.21
Subpart A Authority and Definitions 255.1 – 255.2
Subpart B Proprietary Trading 255.3 – 255.9
Subpart C Covered Funds Activities and Investments 255.10 – 255.19
Subpart D Compliance Program Requirement; Violations 255.20 – 255.21
Appendix A to Part 255
Reporting and Recordkeeping Requirements for Covered Trading Activities
Part 256 XXX
Parts 257-259 Parts 257-259 [Reserved]
Part 260 General Rules and Regulations, Trust Indenture Act of 1939 260.0-1 – 260.19a-1
Terms Used in the Rules and Regulations Terms Used in the Rules and Regulations 260.0-1 – 260.0-4
Office of the Commission Office of the Commission 260.0-5 – 260.0-11
Rules Under Section 303 Rules Under Section 303 260.3(4)-1 – 260.3(4)-3
Rules Under Section 304 Rules Under Section 304 260.4a-1 – 260.4d-12
Rules Under Section 305 Rules Under Section 305 260.5a-1 – 260.5b-3
Rules Under Section 307 Rules Under Section 307
Applications for Qualification of Indentures Applications for Qualification of Indentures 260.7a-1 – 260.7a-9
General Requirements as to Form and Content of Applications, Statements and Reports General Requirements as to Form and Content of Applications, Statements and Reports
General General 260.7a
Formal Requirements Formal Requirements 260.7a-16 – 260.7a-20
General Requirements as to Contents General Requirements as to Contents 260.7a-21 – 260.7a-27
Incorporation by Reference Incorporation by Reference 260.7a-28 – 260.7a-32
Exhibits Exhibits 260.7a-33 – 260.7a-34
Amendments Amendments 260.7a-35 – 260.7a-36
Inspection and Publication of Applications, Statements and Reports Inspection and Publication of Applications, Statements and Reports 260.7a-37
Rule Under Section 310 Rule Under Section 310 260.10a-1 – 260.10b-6
Rules Under Section 311 Rules Under Section 311 260.11b-4 – 260.11b-6
Rules Under Section 314 Rules Under Section 314
Periodic Reports Periodic Reports 260.14a – 260.19a-1
Part 261 Interpretative Releases Relating to the Trust Indenture Act of 1939 and General Rules and Regulations Thereunder
Part 269 Forms Prescribed Under the Trust Indenture Act of 1939 269.0-1 – 269.10
§ 269.0-1 Availability of forms.
§ 269.1 Form T-1, for statement of eligibility and qualification for corporate trustees.
§ 269.2 Form T-2, for statement of eligibility and qualification for individual trustees.
§ 269.3 Form T-3, for application for qualification of trust indentures.
§ 269.4 Form T-4, for application for exemption pursuant to section 304(c) of the Act.
§ 269.5 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§§ 239.38, 239.39, 239.40 or 239.41 of this chapter) , or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter) , or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37 of this chapter) , F-8, F-9, F-10 or F-80.
§ 269.6 § 269.6 [Reserved]
§ 269.7 Form ID, application for EDGAR access.
§ 269.8 Form SE, form for submission of paper format exhibits by electronic filers.
§ 269.9 Form T-6 for application under section 310(a)(1) of the Trust Indenture Act for determination of the eligibility of a foreign person to act as institutional trustee.
§ 269.10 Form TH—Notification of reliance on temporary hardship exemption.
Part 270 Rules and Regulations, Investment Company Act of 1940 270.0-1 – 270.60a-1
§ 270.0-1 Definition of terms used in this part.
§ 270.0-2 General requirements of papers and applications.
§ 270.0-3 Amendments to registration statements and reports.
§ 270.0-4 Incorporation by reference.
§ 270.0-5 Procedure with respect to applications and other matters.
§ 270.0-8 Payment of filing fees.
§ 270.0-9 § 270.0-9 [Reserved]
§ 270.0-10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
§ 270.0-11 Customer identification programs.
§ 270.2a-1 Valuation of portfolio securities in special cases.
§ 270.2a-2 Effect of eliminations upon valuation of portfolio securities.
§ 270.2a3-1 Investment company limited partners not deemed affiliated persons.
§ 270.2a-4 Definition of “current net asset value” for use in computing periodically the current price of redeemable security.
§ 270.2a-5 Fair value determination and readily available market quotations.
§ 270.2a-6 Certain transactions not deemed assignments.
§ 270.2a-7 Money market funds.
§ 270.2a19-2 Investment company general partners not deemed interested persons.
§ 270.2a19-3 Certain investment company directors not considered interested persons because of ownership of index fund securities.
§ 270.2a41-1 Valuation of standby commitments by registered investment companies.
§ 270.2a-46 Certain issuers as eligible portfolio companies.
§ 270.2a51-1 Definition of investments for purposes of section 2(a)(51) (definition of “qualified purchaser”); certain calculations.
§ 270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.
§ 270.2a51-3 Certain companies as qualified purchasers.
§ 270.3a-1 Certain prima facie investment companies.
§ 270.3a-2 Transient investment companies.
§ 270.3a-3 Certain investment companies owned by companies which are not investment companies.
§ 270.3a-4 Status of investment advisory programs.
§ 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.
§ 270.3a-6 Foreign banks and foreign insurance companies.
§ 270.3a-7 Issuers of asset-backed securities.
§ 270.3a-8 Certain research and development companies.
§ 270.3a-9 Crowdfunding vehicle.
§ 270.3c-1 Definition of beneficial ownership for certain 3(c)(1) funds.
§ 270.3c-2 Definition of beneficial ownership in small business investment companies.
§ 270.3c-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies.
§ 270.3c-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act.
§ 270.3c-5 Beneficial ownership by knowledgeable employees and certain other persons.
§ 270.3c-6 Certain transfers of interests in section 3(c)(1) and section 3(c)(7) funds.
§ 270.3c-7 Inflation-adjusted definition of qualifying venture capital fund.
§ 270.5b-1 Definition of “total assets.”
§ 270.5b-2 Exclusion of certain guarantees as securities of the guarantor.
§ 270.5b-3 Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities.
§ 270.6a-5 Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.
§ 270.6b-1 Exemption of employees' securities company pending determination of application.
§ 270.6c-3 Exemptions for certain registered variable life insurance separate accounts.
§ 270.6c-6 Exemption for certain registered separate accounts and other persons.
§ 270.6c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.
§ 270.6c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.
§ 270.6c-10 Exemption for certain open-end management investment companies to impose deferred sales loads.
§ 270.6c-11 Exchange-traded funds.
§ 270.6d-1 Exemption for certain closed-end investment companies.
§ 270.6e-2 Exemptions for certain variable life insurance separate accounts.
§ 270.6e-3 Exemptions for flexible premium variable life insurance separate accounts.
§ 270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
§ 270.7d-2 Definition of “public offering” as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts.
§ 270.8b-1 Scope of §§ 270.8b-1 through 270.8b-31.
§ 270.8b-2 Definitions.
§ 270.8b-3 Title of securities.
§ 270.8b-4 Interpretation of requirements.
§ 270.8b-5 Time of filing original registration statement.
§ 270.8b-6 § 270.8b-6 [Reserved]
§ 270.8b-10 Requirements as to proper form.
§ 270.8b-11 Number of copies; signatures; binding.
§ 270.8b-12 Requirements as to paper, printing and language.
§ 270.8b-13 Preparation of registration statement or report.
§ 270.8b-14 Riders; inserts.
§ 270.8b-15 Amendments.
§ 270.8b-16 Amendments to registration statement.
§ 270.8b-20 Additional information.
§ 270.8b-21 Information unknown or not available.
§ 270.8b-22 Disclaimer of control.
§§ 270.8b-23-270.8b-24 §§ 270.8b-23-270.8b-24 [Reserved]
§ 270.8b-25 Extension of time for furnishing information.
§ 270.8b-30 Additional exhibits.
§ 270.8b-31 Omission of substantially identical documents.
§ 270.8b-32 § 270.8b-32 [Reserved]
§ 270.8f-1 Deregistration of certain registered investment companies.
§ 270.10b-1 Definition of regular broker or dealer.
§ 270.10e-1 Death, disqualification, or bona fide resignation of directors.
§ 270.10f-1 Conditional exemption of certain underwriting transactions.
§ 270.10f-2 Exercise of warrants or rights received on portfolio securities.
§ 270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.
§ 270.11a-1 Definition of “exchange” for purposes of section 11 of the Act.
§ 270.11a-2 Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval.
§ 270.11a-3 Offers of exchange by open-end investment companies other than separate accounts.
§ 270.12b-1 Distribution of shares by registered open-end management investment company.
§ 270.12d1-1 Exemptions for investments in money market funds.
§ 270.12d1-2 § 270.12d1-2 [Reserved]
§ 270.12d1-3 Exemptions for investment companies relying on section 12(d)(1)(F) of the Act.
§ 270.12d1-4 Exemptions for investments in certain investment companies.
§ 270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act.
§ 270.12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses.
§ 270.13a-1 Exemption for change of status by temporarily diversified company.
§ 270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933.
§ 270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters.
§ 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
§ 270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.
§ 270.15a-2 Annual continuance of contracts.
§ 270.15a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.
§ 270.15a-4 Temporary exemption for certain investment advisers.
§ 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.
§ 270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.
§ 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.
§ 270.17a-3 Exemption of transactions with fully owned subsidiaries.
§ 270.17a-4 Exemption of transactions pursuant to certain contracts.
§ 270.17a-5 Pro rata distribution neither “sale” nor “purchase.”
§ 270.17a-6 Exemption for transactions with portfolio affiliates.
§ 270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.
§ 270.17a-8 Mergers of affiliated companies.
§ 270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.
§ 270.17a-10 Exemption for transactions with certain subadvisory affiliates.
§ 270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.
§ 270.17d-2 Form for report by small business investment company and affiliated bank.
§ 270.17d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.
§ 270.17e-1 Brokerage transactions on a securities exchange.
§ 270.17f-1 Custody of securities with members of national securities exchanges.
§ 270.17f-2 Custody of investments by registered management investment company.
§ 270.17f-3 Free cash accounts for investment companies with bank custodians.
§ 270.17f-4 Custody of investment company assets with a securities depository.
§ 270.17f-5 Custody of investment company assets outside the United States.
§ 270.17f-6 Custody of investment company assets with Futures Commission Merchants and Commodity Clearing Organizations.
§ 270.17f-7 Custody of investment company assets with a foreign securities depository.
§ 270.17g-1 Bonding of officers and employees of registered management investment companies.
§ 270.17j-1 Personal investment activities of investment company personnel.
§ 270.18c-1 Exemption of privately held indebtedness.
§ 270.18c-2 Exemptions of certain debentures issued by small business investment companies.
§ 270.18f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.
§ 270.18f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.
§ 270.18f-3 Multiple class companies.
§ 270.18f-4 Exemption from the requirements of section 18 and section 61 for certain senior securities transactions.
§ 270.19a-1 Written statement to accompany dividend payments by management companies.
§ 270.19b-1 Frequency of distribution of capital gains.
§ 270.20a-1 Solicitation of proxies, consents and authorizations.
§§ 270.20a-2-270.20a-4 §§ 270.20a-2-270.20a-4 [Reserved]
§ 270.22c-1 Pricing of redeemable securities for distribution, redemption and repurchase.
§ 270.22c-2 Redemption fees for redeemable securities.
§ 270.22d-1 Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
§ 270.22d-2 Exemption from section 22(d) for certain registered separate accounts.
§ 270.22e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.22e-2 Pricing of redemption requests in accordance with Rule 22c-1.
§ 270.22e-3 Exemption for liquidation of money market funds.
§ 270.22e-4 Liquidity risk management programs.
§ 270.23c-1 Repurchase of securities by closed-end companies.
§ 270.23c-2 Call and redemption of securities issued by registered closed-end companies.
§ 270.23c-3 Repurchase offers by closed-end companies.
§ 270.24b-1 Definitions.
§ 270.24b-2 Filing copies of sales literature.
§ 270.24b-3 Sales literature deemed filed.
§ 270.24b-4 Filing copies of covered investment fund research reports.
§ 270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.
§ 270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.
§ 270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.
§ 270.27c-1 § 270.27c-1 [Reserved]
§ 270.27d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.
§ 270.27d-2 § 270.27d-2 [Reserved]
§ 270.27e-1 § 270.27e-1 [Reserved]
§ 270.27f-1 § 270.27f-1 [Reserved]
§ 270.27g-1 § 270.27g-1 [Reserved]
§ 270.27h-1 § 270.27h-1 [Reserved]
§ 270.27i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.
§ 270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.
§ 270.30a-1 Annual report for registered investment companies.
§ 270.30a-2 Certification of Form N-CSR.
§ 270.30a-3 Controls and procedures.
§ 270.30a-4 Annual report for wholly-owned registered management investment company subsidiary of registered management investment company.
§§ 270.30b1-1-270.b1-3 §§ 270.30b1-1-270.b1-3 [Reserved]
§ 270.30b1-4 Report of proxy voting record.
§ 270.30b1-5 § 270.30b1-5 [Reserved]
§ 270.30b1-7 Monthly report for money market funds.
§ 270.30b1-8 Current report for money market funds.
§ 270.30b1-9 Monthly report.
§ 270.30b1-10 Current report for open-end and closed-end management investment companies.
§ 270.30b2-1 Filing of reports to stockholders.
§ 270.30d-1 Filing of copies of reports to shareholders.
§ 270.30e-1 Reports to stockholders of management companies.
§ 270.30e-2 Reports to shareholders of unit investment trusts.
§ 270.30e-3 Internet availability of reports to shareholders.
§ 270.30h-1 Applicability of section 16 of the Exchange Act to section 30(h).
§ 270.31a-1 Records to be maintained by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-2 Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
§ 270.31a-3 Records prepared or maintained by other than person required to maintain and preserve them.
§ 270.31a-4 Records to be maintained and preserved by registered investment companies relating to fair value determinations.
§ 270.32a-1 Exemption of certain companies from affiliation provisions of section 32(a).
§ 270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.
§ 270.32a-3 Exemption from provision of section 32(a)(1) regarding the time period during which a registered management investment company must select an independent public accountant.
§ 270.32a-4 Independent audit committees.
§ 270.34b-1 Sales literature deemed to be misleading.
§ 270.35d-1 Investment company names.
§ 270.38a-1 Compliance procedures and practices of certain investment companies.
§ 270.45a-1 Confidential treatment of names and addresses of dealers of registered investment company securities.
§ 270.55a-1 Investment activities of business development companies.
§ 270.57b-1 Exemption for downstream affiliates of business development companies.
§ 270.60a-1 Exemption for certain business development companies.
Part 271 Interpretative Releases Relating to the Investment Company Act of 1940 and General Rules and Regulations Thereunder
Part 274 Forms Prescribed Under the Investment Company Act of 1940 274.0-1 – 274.404
§ 274.0-1 Availability of forms.
Subpart A Registration Statements 274.5 – 274.54
Subpart B Forms for Reports 274.101 – 274.200
Subpart C Forms for Other Statements 274.201 – 274.223
Subpart D Forms for Exemptions 274.301
Subpart E Forms for Electronic Filing 274.401 – 274.404
Part 275 Rules and Regulations, Investment Advisers Act of 1940 275.0-2 – 275.222-2
§ 275.0-2 General procedures for serving non-residents.
§ 275.0-3 References to rules and regulations.
§ 275.0-4 General requirements of papers and applications.
§ 275.0-5 Procedure with respect to applications and other matters.
§ 275.0-6 Incorporation by reference in applications.
§ 275.0-7 Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
§ 275.202(a)(1)-1 Certain transactions not deemed assignments.
§ 275.202(a)(11)(G)-1 Family offices.
§ 275.202(a)(30)-1 Foreign private advisers.
§ 275.203-1 Application for investment adviser registration.
§ 275.203-2 Withdrawal from investment adviser registration.
§ 275.203-3 Hardship exemptions.
§ 275.203(l)-1 Venture capital fund defined.
§ 275.203(m)-1 Private fund adviser exemption.
§ 275.203A-1 Eligibility for SEC registration; Switching to or from SEC registration.
§ 275.203A-2 Exemptions from prohibition on Commission registration.
§ 275.203A-3 Definitions.
§§ 275.203A-4-275.203A-6 §§ 275.203A-4-275.203A-6 [Reserved]
§ 275.204-1 Amendments to Form ADV.
§ 275.204-2 Books and records to be maintained by investment advisers.
§ 275.204-3 Delivery of brochures and brochure supplements.
§ 275.204-4 Reporting by exempt reporting advisers.
§ 275.204-5 Delivery of Form CRS.
§ 275.204(b)-1 Reporting by investment advisers to private funds.
§ 275.204A-1 Investment adviser codes of ethics.
§ 275.205-1 Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.
§ 275.205-2 Definition of “specified period” over which the asset value of the company or fund under management is averaged.
§ 275.205-3 Exemption from the compensation prohibition of section 205(a)(1) for investment advisers.
§ 275.206(3)-1 Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services.
§ 275.206(3)-2 Agency cross transactions for advisory clients.
§ 275.206(4)-1 Investment adviser marketing.
§ 275.206(4)-2 Custody of funds or securities of clients by investment advisers.
§§ 275.206(4)-(3)-275.206(4)-4 §§ 275.206(4)-(3)-275.206(4)-4 [Reserved]
§ 275.206(4)-5 Political contributions by certain investment advisers.
§ 275.206(4)-6 Proxy voting.
§ 275.206(4)-7 Compliance procedures and practices.
§ 275.206(4)-8 Pooled investment vehicles.
§ 275.222-1 Definitions.
§ 275.222-2 Definition of “client” for purposes of the national de minimis standard.
Part 276 Interpretative Releases Relating to the Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Part 279 Forms Prescribed Under the Investment Advisers Act of 1940 279.0-1 – 279.9
§ 279.0-1 Availability of forms.
§ 279.1 Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
§ 279.2 Form ADV-W, notice of withdrawal from registration as investment adviser.
§ 279.3 Form ADV-H, application for a temporary or continuing hardship exemption.
§ 279.4 Form ADV-NR, appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser.
§§ 279.5-279.7 §§ 279.5-279.7 [Reserved]
§ 279.8 Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
§ 279.9 Form PF, reporting by investment advisers to private funds.
Part 281 Interpretative Releases Relating to Corporate Reorganizations Under Chapter X of the Bankruptcy Act
Part 285 Rules and Regulations Pursuant to Section 15(a) of the Bretton Woods Agreements Act 285.1 – 285.4
§ 285.1 Applicability of part.
§ 285.2 Periodic reports.
§ 285.3 Reports with respect to proposed distribution of primary obligations.
§ 285.4 Preparation and filing of reports.
Schedule A to Part 285 Schedule A to Part 285
Part 286 General Rules and Regulations Pursuant to Section 11(a) of the Inter-American Development Bank Act 286.1 – 286.4
§ 286.1 Applicability of this part.
§ 286.2 Periodic reports.
§ 286.3 Reports with respect to proposed distribution of primary obligations.
§ 286.4 Preparation and filing of reports.
Schedule A to Part 286
Schedule A to Part 286
Part 287 General Rules and Regulations Pursuant to Section 11(a) of the Asian Development Bank Act 287.1 – 287.101
§ 287.1 Applicability of this part.
§ 287.2 Periodic reports.
§ 287.3 Reports with respect to proposed distribution of primary obligations.
§ 287.4 Preparation and filing of reports.
§ 287.101 Schedule A—Information required in reports pursuant to § 287.3.
Part 288 General Rules and Regulations Pursuant to Section 9(a) of the African Development Bank Act 288.1 – 288.101
§ 288.1 Applicability of this part.
§ 288.2 Periodic reports.
§ 288.3 Reports with respect to proposed distribution of primary obligations.
§ 288.4 Preparation and filing of reports.
§ 288.101 Schedule A. Information required in reports pursuant to § 288.3.
Part 289 General Rules and Regulations Pursuant to Section 13(a) of the International Finance Corporation Act 289.1 – 289.101
§ 289.1 Applicability of this part.
§ 289.2 Periodic reports.
§ 289.3 Reports with respect to proposed distribution of primary obligations.
§ 289.4 Preparation and filing of reports.
§ 289.101 Schedule A. Information required in reports pursuant to § 289.3.
Part 290 General Rules and Regulations Pursuant to Section 9(a) of the European Bank for Reconstruction and Development Act 290.1 – 290.101
§ 290.1 Applicability of this part.
§ 290.2 Periodic reports.
§ 290.3 Reports with respect to proposed distribution of obligations.
§ 290.4 Preparation and filing of reports.
§ 290.101 Schedule A. Information required in reports pursuant to § 290.3.
Part 300 Rules of the Securities Investor Protection Corporation 300.100 – 300.600
Accounts of “Separate” Customers of SIPC Members Accounts of “Separate” Customers of SIPC Members 300.100 – 300.105
Accounts Introduced by Other Brokers or Dealers Accounts Introduced by Other Brokers or Dealers 300.200 – 300.201
Closeout or Completion of Open Contractual Commitments Closeout or Completion of Open Contractual Commitments 300.300 – 300.400
Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities” Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities” 300.500 – 300.503
Rules Relating to Supplemental Report on SIPC Membership Rules Relating to Supplemental Report on SIPC Membership 300.600
Part 301 Forms, Securities Investor Protection Corporation 301.0-1 – 301.300c
§ 301.0-1 Availability of forms.
Forms for Closeout or Completion of Open Contractual Commitments Forms for Closeout or Completion of Open Contractual Commitments 301.300a – 301.300c
Part 302 Orderly Liquidation of Covered Brokers or Dealers 302.100 – 302.107
§ 302.100 Definitions.
§ 302.101 Appointment of receiver and trustee for covered broker or dealer.
§ 302.102 Notice and application for protective decree for covered broker or dealer.
§ 302.103 Bridge broker or dealer.
§ 302.104 Claims of customers and other creditors of a covered broker or dealer.
§ 302.105 Priorities for unsecured claims against a covered broker or dealer.
§ 302.106 Administrative expenses of SIPC.
§ 302.107 Qualified Financial Contracts.
Parts 303-399 Parts 303-399 [Reserved]