Chapter 2B · SECURITIES EXCHANGES
Contents (95)
- Section 78aShort title
- Section 78aaJurisdiction of offenses and suits
- Section 78aaSpecial provision relating to statute of limitations on private causes of action
- Section 78bNecessity for regulation
- Section 78bbEffect on existing law
- Section 78cDefinitions and application
- Section 78cSwap agreements
- Section 78c-2Securities-related derivatives
- Section 78c-3Clearing for security-based swaps
- Section 78c-4Security-based swap execution facilities
- Section 78c-5Segregation of assets held as collateral in security-based swap transactions
- Section 78ccValidity of contracts
- Section 78dSecurities and Exchange Commission
- Section 78dDelegation of functions by Commission
- Section 78dTransfer of functions with respect to assignment of personnel to chairman
- Section 78dAppearance and practice before the Commission
- Section 78d-4Additional duties of Inspector General
- Section 78d-5Deadline for completing enforcement investigations and compliance examinations and inspections
- Section 78d-6Report and certification of internal supervisory controls
- Section 78d-7Triennial report on personnel management
- Section 78d-8Annual financial controls audit
- Section 78d-9Report on oversight of national securities associations
- Section 78ddForeign securities exchanges
- Section 78ddProhibited foreign trade practices by issuers
- Section 78ddProhibited foreign trade practices by domestic concerns
- Section 78ddProhibited foreign trade practices by persons other than issuers or domestic concerns
- Section 78eTransactions on unregistered exchanges
- Section 78eeTransaction fees
- Section 78fNational securities exchanges
- Section 78ffPenalties
- Section 78gMargin requirements
- Section 78ggSeparability
- Section 78hRestrictions on borrowing and lending by members, brokers, and dealers
- Section 78hhEffective date
- Section 78hhEffective date of certain sections
- Section 78iManipulation of security prices
- Section 78iiOmitted
- Section 78jManipulative and deceptive devices
- Section 78jAudit requirements
- Section 78j-2Position limits and position accountability for security-based swaps and large trader reporting
- Section 78j-3Compensation committees
- Section 78j-4Recovery of erroneously awarded compensation policy
- Section 78jjRepealed. Pub. L. 100181, title III, 330, Dec. 4, 1987, 101 Stat. 1259
- Section 78kTrading by members of exchanges, brokers, and dealers
- Section 78kNational market system for securities; securities information processors
- Section 78kkAuthorization of appropriations
- Section 78lRegistration requirements for securities
- Section 78lApplications for unlisted trading privileges deemed filed under section 78l of this title
- Section 78llRequirements for the EDGAR system
- Section 78mPeriodical and other reports
- Section 78m-1Reporting and recordkeeping for certain security-based swaps
- Section 78m-2Reporting requirements regarding coal or other mine safety
- Section 78mmGeneral exemptive authority
- Section 78nProxies
- Section 78n-1Shareholder approval of executive compensation
- Section 78n-2Corporate governance
- Section 78nnTennessee Valley Authority
- Section 78oRegistration and regulation of brokers and dealers
- Section 78oBrokers deemed to be registered
- Section 78o-10Registration and regulation of security-based swap dealers and major security-based swap participants
- Section 78o-11Credit risk retention
- Section 78oLiabilities arising prior to amendment unaffected
- Section 78oRegistered securities associations
- Section 78oMunicipal securities
- Section 78o-4aCommission Office of Municipal Securities
- Section 78oGovernment securities brokers and dealers
- Section 78oSecurities analysts and research reports
- Section 78oRegistration of nationally recognized statistical rating organizations
- Section 78o-8Universal ratings symbols
- Section 78o-9Study and rulemaking on assigned credit ratings
- Section 78ooFederal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- Section 78pDirectors, officers, and principal stockholders
- Section 78ppInvestor Advisory Committee
- Section 78qRecords and reports
- Section 78qNational system for clearance and settlement of securities transactions
- Section 78qAutomated quotation systems for penny stocks
- Section 78qqSmall Business Capital Formation Advisory Committee
- Section 78rLiability for misleading statements
- Section 78rrData standards for security-based swap reporting
- Section 78sRegistration, responsibilities, and oversight of self-regulatory organizations
- Section 78tLiability of controlling persons and persons who aid and abet violations
- Section 78tLiability to contemporaneous traders for insider trading
- Section 78uInvestigations and actions
- Section 78uCivil penalties for insider trading
- Section 78uCivil remedies in administrative proceedings
- Section 78uCease-and-desist proceedings
- Section 78uPrivate securities litigation
- Section 78uApplication of safe harbor for forward-looking statements
- Section 78u-6Securities whistleblower incentives and protection
- Section 78u-7Implementation and transition provisions for whistleblower protection
- Section 78vHearings by Commission
- Section 78wRules, regulations, and orders; annual reports
- Section 78xPublic availability of information
- Section 78yCourt review of orders and rules
- Section 78zUnlawful representations