Browse as ListSearch Within- Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934 (§§ 240.0-1 — 240.12a-11)
- General (§§ 240.12b-1 — 240.12b-7)
- Formal Requirements (§§ 240.12b-10 — 240.12b-15)
- General Requirements as to Contents (§§ 240.12b-20 — 240.12b-25)
- Exhibits (§§ 240.12b-30 — 240.12b-33)
- Special Provisions (§§ 240.12b-35 — 240.12b-37)
- Certification by Exchanges and Effectiveness of Registration (§§ 240.12d1-1 — 240.12d1-6)
- Suspension of Trading, Withdrawal, and Striking From Listing and Registration (§§ 240.12d2-1 — 240.12d2-2)
- Unlisted Trading (§§ 240.12f-1 — 240.12f-6)
- Extensions and Temporary Exemptions; Definitions (§§ 240.12g-1 — 240.12h-7)
- Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12
- Annual Reports (§§ 240.13a-1 — 240.13a-3)
- Other Reports (§§ 240.13a-10 — 240.13a-20)
- Regulation 13b-2: Maintenance of Records and Preparation of Required Reports (§§ 240.13b2-1 — 240.13b2-2)
- Regulation 13D-G
- § 240.13d-1 Filing of Schedules 13D and 13G
- § 240.13d-2 Filing of amendments to Schedules 13D or 13G
- § 240.13d-3 Determination of beneficial owner
- § 240.13d-4 Disclaimer of beneficial ownership
- § 240.13d-5 Acquisition of securities
- § 240.13d-6 Exemption of certain acquisitions
- § 240.13d-7 Dissemination
- § 240.13d-101 Schedule 13D - Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a)
- § 240.13d-102 Schedule 13G - Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2
- § 240.13e-1 Purchase of securities by the issuer during a third-party tender offer
- § 240.13e-2 [Reserved]
- § 240.13e-3 Going private transactions by certain issuers or their affiliates
- § 240.13e-4 Tender offers by issuers
- § 240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder
- § 240.13e-101 [Reserved]
- § 240.13e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder
- § 240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion
- § 240.13h-l Large trader reporting
- § 240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k)
- § 240.13n-1 Registration of security-based swap data repository
- § 240.13n-2 Withdrawal from registration; revocation and cancellation
- § 240.13n-3 Registration of successor to registered security-based swap data repository
- § 240.13n-4 Duties and core principles of security-based swap data repository
- § 240.13n-5 Data collection and maintenance
- § 240.13n-6 Automated systems
- § 240.13n-7 Recordkeeping of security-based swap data repository
- § 240.13n-8 Reports to be provided to the Commission
- § 240.13n-9 Privacy requirements of security-based swap data repository
- § 240.13n-10 Disclosure requirements of security-based swap data repository
- § 240.13n-11 Chief compliance officer of security-based swap data repository; compliance reports and financial reports
- § 240.13n-12 Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons
- § 240.13p-1 Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals
- § 240.13q-1 Disclosure of payments made by resource extraction issuers
- Regulation 14A: Solicitation of Proxies
- § 240.14a-1 Definitions
- § 240.14a-2 Solicitations to which § 240.14a-3 to § 240.14a-15 apply
- § 240.14a-3 Information to be furnished to security holders
- § 240.14a-4 Requirements as to proxy
- § 240.14a-5 Presentation of information in proxy statement
- § 240.14a-6 Filing requirements
- § 240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders
- § 240.14a-8 Shareholder proposals
- § 240.14a-9 False or misleading statements
- § 240.14a-10 Prohibition of certain solicitations
- § 240.14a-12 Solicitation before furnishing a proxy statement
- § 240.14a-13 Obligation of registrants in communicating with beneficial owners
- § 240.14a-14 Modified or superseded documents
- § 240.14a-15 Differential and contingent compensation in connection with roll-up transactions
- § 240.14a-16 Internet availability of proxy materials
- § 240.14a-17 Electronic shareholder forums
- § 240.14a-18 Disclosure regarding nominating shareholders and nominees submitted for inclusion in a registrant's proxy materials pursuant to applicable state or foreign law, or a registrant's governing documents
- § 240.14a-20 Shareholder approval of executive compensation of TARP recipients
- § 240.14a-21 Shareholder approval of executive compensation, frequency of votes for approval of executive compensation and shareholder approval of golden parachute compensation
- § 240.14a-101 Schedule 14A. Information required in proxy statement
- § 240.14a-102 [Reserved]
- § 240.14a-103 Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-6(g)
- § 240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to § 240.14a-2(b)(4) and § 240.14a-6(n)
- § 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners
- § 240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners
- Regulation 14C: Distribution of Information Pursuant to Section 14(c)
- § 240.14c-1 Definitions
- § 240.14c-2 Distribution of information statement
- § 240.14c-3 Annual report to be furnished security holders
- § 240.14c-4 Presentation of information in information statement
- § 240.14c-5 Filing requirements
- § 240.14c-6 False or misleading statements
- § 240.14c-7 Providing copies of material for certain beneficial owners
- § 240.14c-101 Schedule 14C. Information required in information statement
- Regulation 14D
- § 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E
- § 240.14d-2 Commencement of a tender offer
- § 240.14d-3 Filing and transmission of tender offer statement
- § 240.14d-4 Dissemination of tender offers to security holders
- § 240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings
- § 240.14d-6 Disclosure of tender offer information to security holders
- § 240.14d-7 Additional withdrawal rights
- § 240.14d-8 Exemption from statutory pro rata requirements
- § 240.14d-9 Recommendation or solicitation by the subject company and others
- § 240.14d-10 Equal treatment of security holders
- § 240.14d-11 Subsequent offering period
- § 240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934
- § 240.14d-101 Schedule 14D-9
- § 240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934
- § 240.14d-103 Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder
- Regulation 14E
- § 240.14e-1 Unlawful tender offer practices
- § 240.14e-2 Position of subject company with respect to a tender offer
- § 240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers
- § 240.14e-4 Prohibited transactions in connection with partial tender offers
- § 240.14e-5 Prohibiting purchases outside of a tender offer
- § 240.14e-6 Repurchase offers by certain closed-end registered investment companies
- § 240.14e-7 Unlawful tender offer practices in connection with roll-ups
- § 240.14e-8 Prohibited conduct in connection with pre-commencement communications
- § 240.14f-1 Change in majority of directors
- Regulation 14N: Filings Required by Certain Nominating Shareholders (§§ 240.14n-1 — 240.14n-101)
- Exemption of Certain OTC Derivatives Dealers (§ 240.15a-1)
- Exemption of Certain Securities From Section 15(a) (§§ 240.15a-2 — 240.15a-5)
- Registration of Brokers and Dealers (§§ 240.15a-6 — 240.15b11-1)
- Rules Relating to Over-the-Counter Markets (§§ 240.15c1-1 — 240.15c6-1)
- Regulation 15D: Reports of Registrants Under the Securities Act of 1933
- Annual Reports [1] (§§ 240.15d-1 — 240.15d-6)
- Other Reports [1] (§§ 240.15d-10 — 240.15d-20)
- Exemption of Certain Issuers From Section 15(d) of the Act (§§ 240.15d-21 — 240.15l-1)
- National and Affiliated Securities Associations (§§ 240.15Aa-1 — 240.15Bc7-1)
- 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 (§§ 240.15Fb1-1 — 240.16a-13)
- Exemption of Certain Transactions From Section 16(b) (§§ 240.16b-1 — 240.16b-8)
- Exemption of Certain Transactions From Section 16(c) (§§ 240.16c-1 — 240.16c-4)
- Arbitrage Transactions (§ 240.16e-1)
- Preservation of Records and Reports of Certain Stabilizing Activities (§§ 240.17a-1 — 240.17f-2)
- Nationally Recognized Statistical Rating Organizations (§§ 240.17g-1 — 240.17Ad-24)
- 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 (§§ 240.19a3-1 — 240.19h-1)
- Securities Whistleblower Incentives and Protections (§§ 240.21F-1 — 240.21F-18)
- 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 [Reserved]