CFR | Title-17 | Chapter II | CFR PART 274

Search

Part 200: Organization; Conduct and Ethics; and Information and Requests Editorial Note: Nomenclature changes to part 200 appear at 76 FR 60371, Sept. 29, 2011.

Part 201: Rules of Practice

Part 202: Informal and Other Procedures

Part 203: Rules Relating to Investigations

Part 204: Rules Relating to Debt Collection

Part 205: Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer

Part 209: Forms Prescribed Under the Commission's Rules of Practice

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

Part 211: Interpretations Relating to Financial Reporting Matters

Part 227: Regulation Crowdfunding, General Rules and Regulations

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

Part 230: General Rules and Regulations, Securities Act of 1933

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

Part 239: Forms Prescribed Under the Securities Act of 1933

Part 240: General Rules and Regulations, Securities Exchange Act of 1934

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, and SBSR and Customer Margin Requirements for Security Futures

Part 243: Regulation FD

Part 244: Regulation G

Part 245: Regulation Blackout Trading Restriction[Regulation BTR - Blackout Trading Restriction]

Part 246: Credit Risk Retention

Part 247: Regulation R - Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker

Part 248: Regulations S-P, S-AM, and S-ID

Part 249: Forms, Securities Exchange Act of 1934

Part 249a: Forms, Securities Investor Protection Act of 1970 [Reserved]

Part 249b: Further Forms, Securities Exchange Act of 1934

Part 250: Cross-Border Antifraud Law-Enforcement Authority

Parts 251-254: [Reserved]

Part 255: Proprietary Trading and Certain Interests in and Relationships with Covered Funds

Parts 256-259: [Reserved]

Part 260: General Rules and Regulations, Trust Indenture Act of 1939

Part 261: Interpretative Releases Relating to the Trust Indenture Act of 1939 and General Rules and Regulations Thereunder Subject Release No. Date Fed. Reg. Vol. and Page Opinion of the General Counsel relating to application of section 310(b) where trustee under one indenture is trustee under another indenture for securities of an affiliate of the obligor 16 Nov. 14, 1941 11 FR 10989. Opinion of the Chief Counsel to the Corporation Finance Division relating to when-issued trading of securities the issuance of which is subject to approval by a Federal district court under Chapter X of the Bankruptcy Act 30 Aug. 28, 1944 Do. Opinion of the Chief Counsel to the Corporation Finance Division relating to when-issued trading of securities the issuance of which has already been approved by a Federal district court under Chapter X of the Bankruptcy Act 31 Jan. 4, 1945 11 FR 10990. Interpretation with reference to the securities of the International Bank for Reconstruction and Development 37 June 25, 1947 12 FR 4450. Statement of the Commission to clarify the meaning of “beneficial ownership of securities” as relates to beneficial ownership of securities held by family members 227 Jan. 25, 1966 31 FR 1005. Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members 229 Feb. 14, 1966 31 FR 3175. Commissions statement re exemption of certain industrial revenue bonds from registration, etc. requirements in view of amendment of Securities Act of 1933 and of Securities Exchange Act of 1934 by “section 401” (Pub. L. 91-1037) 284 Nov. 6, 1970 35 FR 17990. Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use 289 Jan. 25, 1971 36 FR 2600. Offerings of debt securities pursuant to trust indentures 524 Apr. 25, 1979 44 FR 26739. No-action position respecting public offerings of debt securities registered on Form SB-2 without qualification of an indenture under the Trust Indenture Act 542 Oct. 16, 1979 44 FR 61941. Simplified form of trust indenture 605 Jan. 8, 1981 46 FR 3500. Retail repurchase agreements by banks and Savings and Loan Associations 658 Sept. 25, 1981 46 FR 48637. Application of the registration provisions of the Securities Act of 1933 to the offer and sale of securities by United States branches and agencies of foreign banks 2038 Sept. 23, 1986 51 FR 34462.

Part 269: Forms Prescribed Under the Trust Indenture Act of 1939

Part 270: Rules and Regulations, Investment Company Act of 1940

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

Part 275: Rules and Regulations, Investment Advisers Act of 1940

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

Part 281: Interpretative Releases Relating to Corporate Reorganizations Under Chapter X of the Bankruptcy Act Subject Release No. Date Fed. Reg. Vol. and Page Letter of the Commission with respect to transmission to the Commission of all petitions, answers, orders, applications, reports and other papers filed under Chapter X of the Bankruptcy Act 1 Sept. 26, 1938 11 FR 10997. Statement by the Commission summarizing Chapter X of the Bankruptcy Act 2 ......do 11 FR 10998.

Part 285: Rules and Regulations Pursuant to Section 15(a) of the Bretton Woods Agreements Act

Part 286: General Rules and Regulations Pursuant to Section 11(a) of the Inter-American Development Bank Act

Part 287: General Rules and Regulations Pursuant to Section 11(a) of the Asian Development Bank Act

Part 288: General Rules and Regulations Pursuant to Section 9(a) of the African Development Bank Act

Part 289: General Rules and Regulations Pursuant to Section 13(a) of the International Finance Corporation Act

Part 290: General Rules and Regulations Pursuant to Section 9(a) of the European Bank for Reconstruction and Development Act

Part 300: Rules of the Securities Investor Protection Corporation

Part 301: Forms, Securities Investor Protection Corporation

Part 302: Orderly Liquidation of Covered Brokers or Dealers

Parts 301-399: [Reserved]

0100: GENERAL STANDARDS

1000: MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

2000: DUTIES AND CONFLICTS

3000: SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

4000: FINANCIAL AND OPERATIONAL RULES

5000: SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES

6000: QUOTATION

7000: CLEARING

8000: INVESTIGATIONS AND SANCTIONS

9000: CODE OF PROCEDURE

10000: CODE OF ARBITRATION PROCEDURE

11000: UNIFORM PRACTICE CODE

12000: CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES

13000: CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

14000: CODE OF MEDIATION PROCEDURE