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17 CFR - Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
Updated to: April 01, 2011
Sections
- CHAPTER I: COMMODITY FUTURES TRADING COMMISSION
- CHAPTER II: SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
- PART 200: ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
- 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
- PART 228: INTEGRATED DISCLOSURE SYSTEM FOR SMALL BUSINESS ISSUERS
- 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 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 242: REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
- PART 243: REGULATION FD
- PART 244: REGULATION G
- PART 245: REGULATION BLACKOUT TRADING RESTRICTION
- PART 248: REGULATIONS S-P AND S-AM
- PART 249: FORMS, SECURITIES EXCHANGE ACT OF 1934
- Part 249B: Further forms, securities exchange act of 1934
- PART 250: GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- PART 256: UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- PART 257: PRESERVATION AND DESTRUCTION OF RECORDS OF REGISTERED PUBLIC UTILITY HOLDING COMPANIES AND OF MUTUAL AND SUBSIDIARY SERVICE COMPANIES
- PART 259: FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- Part 260: General rules and regulations, trust indenture act of 1939
- PART 269: FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
- Part 270: Rules and regulations, investment company act of 1940
- PART 274: FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
- Part 275: Rules and regulations, investment advisers act of 1940
- PART 279: FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
- PART 285: RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- Part 301: Forms, securities investor protection corporation
- CHAPTER IV: DEPARTMENT OF THE TREASURY
CHAPTER II: SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
PART 247: REGULATION R-EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER
17 CFR 247.700 - Defined terms relating to the networking exception from the definition of “broker.”
17 CFR 247.701 - Exemption from the definition of “broker” for certain institutional referrals.
17 CFR 247.741 - Exemption for banks effecting transactions in money market funds.
17 CFR 247.781 - Exemption from the definition of “broker” for banks for a limited period of time.
PART 200: ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
17 CFR 200.1 - General statement and statutory authority.
17 CFR 200.10 - The Commission.
17 CFR 200.11 - Headquarters Office—Regional Office relationships.
17 CFR 200.12 - Functional responsibilities.
17 CFR 200.13 - Executive Director.
17 CFR 200.14 - Office of Administrative Law Judges.
17 CFR 200.15 - Office of International Affairs.
17 CFR 200.16 - Executive Assistant to the Chairman.
17 CFR 200.17 - Chief Management Analyst.
17 CFR 200.18 - Director of Division of Corporation Finance.
17 CFR 200.2 - Statutory functions.
17 CFR 200.201 - General provisions.
17 CFR 200.202 - Offices, and information and submittals.
17 CFR 200.203 - Organization, and delegations of authority.
