© Copyright 2013, vLex. All Rights Reserved.
- Language
Contents in vLex United States
Explore vLex
For Professionals
For Partners
Company
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)
: Schedule A to Part 285
17 CFR 300.102 - Accounts held by executors, administrators, guardians, etc.
17 CFR 300.103 - Accounts held by a corporation, partnership or unincorporated association.
17 CFR 300.104 - Trust accounts.
17 CFR 300.105 - Joint accounts.
17 CFR 300.201 - Accounts introduced by same or different broker or dealer.
17 CFR 300.301 - Contracts to be closed out or completed.
17 CFR 300.302 - Mechanics of closeout or completion.
17 CFR 300.303 - Report to trustee.
17 CFR 300.304 - Retained rights of brokers or dealers.
17 CFR 300.305 - Excluded contracts.
17 CFR 300.306 - Completion or closeout pursuant to SIPC direction.
17 CFR 300.307 - Completion with cash or securities of customer.
17 CFR 300.400 - Satisfaction of customer claims for standardized options.
17 CFR 300.501 - Claim for cash.
17 CFR 300.502 - Claim for securities.
17 CFR 300.503 - Voidable securities transactions.
Part 301: Forms, securities investor protection corporation
17 CFR 301.0-1 - Availability of forms.
17 CFR 301.300b - Form 300B, for report of all fails to deliver.
17 CFR 301.300c - Form 300C, for report of all fails to receive.
