17 CFR Part 242
PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
- PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
- Chapter II—Securities and Exchange Commission
- Regulation M
- § 242.100 Preliminary note; definitions.
- § 242.101 Activities by distribution participants.
- § 242.102 Activities by issuers and selling security holders during a distribution.
- § 242.103 Nasdaq passive market making.
- § 242.104 Stabilizing and other activities in connection with an offering.
- § 242.105 Short selling in connection with a public offering.
- Regulation SHO—Regulation of Short Sales
- § 242.200 Definition of “short sale” and marking requirements.
- § 242.201 Circuit breaker.
- § 242.203 Borrowing and delivery requirements.
- § 242.204 Close-out requirement.
- Regulation ATS—Alternative Trading Systems
- § 242.300 Definitions.
- § 242.301 Requirements for alternative trading systems.
- § 242.302 Recordkeeping requirements for alternative trading systems.
- § 242.303 Record preservation requirements for alternative trading systems.
- § 242.304 NMS Stock ATSs.
- Customer Margin Requirements for Security Futures
- § 242.400 Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
- § 242.401 Definitions.
- § 242.402 General provisions.
- § 242.403 Required margin.
- § 242.404 Type, form and use of margin.
- § 242.405 Withdrawal of margin.
- § 242.406 Undermargined accounts.
- Regulation AC—Analyst Certification
- § 242.500 Definitions.
- § 242.501 Certifications in connection with research reports.
- § 242.502 Certifications in connection with public appearances.
- § 242.503 Certain foreign research reports.
- § 242.504 Notification to associated persons.
- § 242.505 Exclusion for news media.
- Regulation NMS—Regulation of the National Market System
- § 242.600 NMS security designation and definitions.
- § 242.601 Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
- § 242.602 Dissemination of quotations in NMS securities.
- § 242.603 Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.
- § 242.604 Display of customer limit orders.
- § 242.605 Disclosure of order execution information.
- § 242.606 Disclosure of order routing information.
- § 242.607 Customer account statements.
- § 242.608 Filing and amendment of national market system plans.
- § 242.609 Registration of securities information processors: form of application and amendments.
- § 242.610 Access to quotations.
- § 242.611 Order protection rule.
- § 242.612 Minimum pricing increment.
- § 242.613 Consolidated audit trail.
- § 242.614 Registration and responsibilities of competing consolidators.
- Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities
- § 242.800 Scope.
- § 242.801 Applicable provisions.
- § 242.802 Definitions.
- § 242.803 Requirements and procedures for registration.
- § 242.804 Listing products for trading by certification.
- § 242.805 Voluntary submission of new products for Commission review and approval.
- § 242.806 Voluntary submission of rules for Commission review and approval.
- § 242.807 Self-certification of rules.
- § 242.808 Availability of public information.
- § 242.809 Staying of certification and tolling of review period pending jurisdictional determination.
- § 242.810 Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
- § 242.811 Information relating to security-based swap execution facility compliance.
- § 242.812 Enforceability.
- § 242.813 Prohibited use of data collected for regulatory purposes.
- § 242.814 Entity operating both a national securities exchange and security-based swap execution facility.
- § 242.815 Methods of execution for Required and Permitted Transactions.
- § 242.816 Trade execution requirement and exemptions therefrom.
- § 242.817 Trade execution compliance schedule.
- § 242.818 Core Principle 1—Compliance with core principles.
- § 242.819 Core Principle 2—Compliance with rules.
- § 242.820 Core Principle 3—Security-based swaps not readily susceptible to manipulation.
- § 242.821 Core Principle 4—Monitoring of trading and trade processing.
- § 242.822 Core Principle 5—Ability to obtain information.
- § 242.823 Core Principle 6—Financial integrity of transactions.
- § 242.824 Core Principle 7—Emergency authority.
- § 242.825 Core Principle 8—Timely publication of trading information.
- § 242.826 Core Principle 9—Recordkeeping and reporting.
- § 242.827 Core Principle 10—Antitrust considerations.
- § 242.828 Core Principle 11—Conflicts of interest.
- § 242.829 Core Principle 12—Financial resources.
- § 242.830 Core Principle 13—System safeguards.
- § 242.831 Core Principle 14—Designation of chief compliance officer.
- § 242.832 Application of the trade execution requirement to cross-border security-based swap transactions.
- § 242.833 Cross-border exemptions.
- § 242.834 Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
- § 242.835 Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.
- Regulation SBSR—Regulatory Reporting and Public Dissemination of Security-Based Swap Information
- § 242.900 Definitions.
- § 242.901 Reporting obligations.
- § 242.902 Public dissemination of transaction reports.
- § 242.903 Coded information.
- § 242.904 Operating hours of registered security-based swap data repositories.
- § 242.905 Correction of errors in security-based swap information.
- § 242.906 Other duties of participants.
- § 242.907 Policies and procedures of registered security-based swap data repositories.
- § 242.908 Cross-border matters.
- § 242.909 Registration of security-based swap data repository as a securities information processor.
- Regulation SCI—Systems Compliance and Integrity
- § 242.1000 Definitions.
- § 242.1001 Obligations related to policies and procedures of SCI entities.
- § 242.1002 Obligations related to SCI events.
- § 242.1003 Obligations related to systems changes; SCI review.
- § 242.1004 SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
- § 242.1005 Recordkeeping requirements related to compliance with Regulation SCI.
- § 242.1006 Electronic filing and submission.
- § 242.1007 Requirements for service bureaus.
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