Chapter 2B - SECURITIES EXCHANGES

Section 78a - Short title
Section 78b - Necessity for regulation
Section 78c - 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
Section 78d - 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
Section 78e - Transactions on unregistered exchanges
Section 78f - National securities exchanges
Section 78g - Margin requirements
Section 78h - Restrictions on borrowing and lending by members, brokers, and dealers
Section 78i - Manipulation of security prices
Section 78j - 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
Section 78k - Trading by members of exchanges, brokers, and dealers
Section 78k-1 - National market system for securities; securities information processors
Section 78l - Registration requirements for securities
Section 78l-1 - Applications for unlisted trading privileges deemed filed under section 78l of this title
Section 78m - 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
Section 78n - Proxies
Section 78n-1 - Shareholder approval of executive compensation
Section 78n-2 - Corporate governance
Section 78o - 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
Section 78p - Directors, officers, and principal stockholders
Section 78q - Records and reports
Section 78q-1 - National system for clearance and settlement of securities transactions
Section 78q-2 - Automated quotation systems for penny stocks
Section 78r - Liability for misleading statements
Section 78s - Registration, responsibilities, and oversight of self-regulatory organizations
Section 78t - Liability of controlling persons and persons who aid and abet violations
Section 78t-1 - Liability to contemporaneous traders for insider trading
Section 78u - 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
Section 78v - Hearings by Commission
Section 78w - Rules, regulations, and orders; annual reports
Section 78x - Public availability of information
Section 78y - Court review of orders and rules
Section 78z - Unlawful representations
Section 78aa - Jurisdiction of offenses and suits
Section 78aa-1 - Special provision relating to statute of limitations on private causes of action
Section 78bb - Effect on existing law
Section 78cc - Validity of contracts
Section 78dd - 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
Section 78ee - Transaction fees
Section 78ff - Penalties
Section 78gg - Separability
Section 78hh - Effective date
Section 78hh-1 - Effective date of certain sections
Section 78ii - Omitted
Section 78jj - Repealed
Section 78kk - Authorization of appropriations
Section 78ll - Requirements for the EDGAR system
Section 78mm - General exemptive authority
Section 78nn - Tennessee Valley Authority
Section 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
Section 78pp - Investor Advisory Committee
Section 78qq - Small Business Capital Formation Advisory Committee
Section 78rr - Data standards for security-based swap reporting