REGULATION 15D: REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933
- EXEMPTION OF CERTAIN ISSUERS FROM SECTION 15(D) OF THE ACT (§§ 240.15d-21 — 240.15l-1)
- 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)
- ANNUAL REPORTS (§§ 240.15d-1 — 240.15d-6)
- ARBITRAGE TRANSACTIONS (§ 240.16e-1)
- CAPITAL, MARGIN AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS (§§ 240.18a-1 — 240.18a-10)
- INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER THE ACT (§§ 240.24b-1 — 240.36a1-2)
- NATIONAL AND AFFILIATED SECURITIES ASSOCIATIONS (§§ 240.15Aa-1 — 240.15Bc7-1)
- NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS (§§ 240.17Ad-1 — 240.17h-2T)
- OTHER REPORTS (§§ 240.15d-10 — 240.15d-20)
- PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING ACTIVITIES (§§ 240.17a-1 — 240.17f-2)
- REGISTRATION AND REGULATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS (§§ 240.15Fh-1 — 240.16a-13)
- REGISTRATION OF GOVERNMENT SECURITIES BROKERS AND GOVERNMENT SECURITIES DEALERS (§§ 240.15Ca1-1 — 240.15Ca2-5)
- SECURITIES WHISTLEBLOWER INCENTIVES AND PROTECTIONS (§§ 240.21F-1 — 240.21F-18)
- SUSPENSION AND EXPULSION OF EXCHANGE MEMBERS (§§ 240.19a3-1 — 240.19h-1)