SEC Rules Index

Statutes

Securities Act of 1933

Index

Securities Exchange Act of 1934

Index

Other SEC Statutes

Sarbanes-Oxley Act of 2002

Securities Act Rules

Rules	17 CFR 230
100-215	General Rules
236-238	Regulation A-R Special Exemptions Rule 236 Exemption of Shares Offered Rule 238 Exemption for Standardized Options
251-346	Regulation A Conditional Small Issues Exemption
400-498	Regulation C Registration Rules
501-508	Regulation D Safe Harbor for Private Offerings
601-656	Regulation E Exemption for SBICs
701	Rule 701 Exemption for Equity Compensation
800-802	Cross-Border Offerings Exemption for Rights Offerings, Exchange Offers and Business Combinations
901-905	Regulation S Offers and Sales Made Outside the US
1001	Regulation CE Coordinated Exemptions for Certain Issues of Securities Exempt under State Law

Exchange Act Rules

Rules	17 CFR 240
0-1	General Definitions Rule 0-1 Includes definitions for Commission Act Section Rules and regulations Electronic filer Electronic filing
0-2 - 0-12	General Rules 0-2 SEC business hours 0-3 Filings with SEC 0-4 Examinations kept confidential 0-5 Obsolete rule citations 0-6 National defense - Foreign policy 0-8 Registered Broker-Dealers 0-9 Payment of fees 0-10 Regulatory Flexibility Act 0-11 Fees for acquisitions 0-1 2 Exemptions per Exchange Act §36
3a1 - 3a5	Exemptions 3a1-1 From definition of exchange 3a4-1 Associated persons not brokers 3a4-2 Associated persons not brokers 3a4-3 Associated persons not brokers 3a4-4 Associated persons not brokers 3a4-5 Associated persons not brokers 3a4-6 Associated persons not brokers 3a5-1 Associated persons not brokers
3a11	3a11-1 Definition of the Term "Equity Security"
3a12 - 3a55	Miscellaneous Exemptions 3a12-1 3a12-3 3a12-4 3a12-5 3a12-6 3a12-7 3a12-8 3a12-9 3a12-10 3a12-11 3a12-12 3a40-1 3a43-1 3a44-1 3a51-1 3a55-1 3a55-2 3a55-3
3b	Definitions 3b-1 3b-2 3b-4 3b-5 3b-6 3b-7 3b-8 3b-9 3b-11 3b-12 OTC derivatives dealers 3b-13 3b-14 3b-15 3b-16 3b-17 3b-18 3b-19
6a	National Securities Exchanges SRO Regulation
6h	Security Futures Products 6h-1
8c	Hypothecation of Customers' Securities 8c-1 Broker-Dealer Rules
9b	Options Disclosure Document Standardized Options
10a	Short Sales Short sales
10b	Manipulative Devices 10b-1 10b-3 10b-5 10b5-1 10b5-2 10b-9 10b-10 10b-16 Margin credit disclosures 10b-17 Record date announcements 10b-18 Issuer equity repurchases
10A	Auditors 10A-1 10A-2 10A-3
11a	Floor Trading Regulations Floor Trading Regulations
11b	Specialists Specialists
11d	Section 11(d)(1) Exemptions 11d1-1 11d1-2 11d2-1
11A	National Market Securities National Market Securities
12a	Exempt Securities 12a-4 12a-5 12a-6 12a-7 12a-8 12a-9 Standardized options
12b	Regulation 12B - Registration 12b-1 12b-2 12b-3 12b-4 12b-5 12b-6 12b-10 12b-11 12b-12 12b-13 12b-14 12b-15 12b-20 12b-21 12b-22 12b-23 Incorporation by reference 12b-25 Late filings 12b-30 12b-31 12b-32 12b-33 12b-36 12b-37
12d1	Certification by Exchanges 12d1-1 12d1-2 12d1-3 12d1-4 12d1-5 12d1-6
12d2	Suspension of Trading
12f	Unlisted Trading Unlisted Trading Priviliges
12g - 12h	Extensions and Exemptions 12g-1 12g-2 12g-4 12g5-1 12g5-2 12h-1 12h-3 12h-4 12h-5
13a	Regulation 13a - Periodic Reporting 13a-1 Annual reports required 13a-11 Current reports: Form 8-K 13a-13 Quarterly reports: Form 10-Q - QSB 13a-14 Disclosure certification 13a-15 Disclosure controls 13a-17 ABS: Form 10-D 13a-18 ABS: Servicing compliance 13a-19 Shell companies: Form 20-F
13b	Books and Records SEC_CODE_REF_0090001192884 13b2-1 13b2-2
13d - 13k	Regulation 13D Beneficial Ownership Reporting 13d-101 13d-102 13e-1 13e-3 13e-4 13e-100 13e-102 13f-1 13k-1
14a - 14b	Proxy Solicitation Rule 14ca-1 to 14a-104 Rule 14b-1 to 14b-2
14c	Information Statements Regulation 14C Rule 14c-1 to 14c-101
14d - 14f	Tender Offers Regulation 14D Rule 14d-1 to 14d-11 Regulation 14E Rule 14e-1 to 14f-1
15a-b	Broker - Dealer Registration Broker-Dealer Registration 15a-1 OTC derivatives dealers 15b9-2 OTC derivatives dealers
15c	Over-the-Counter Markets Rule 15c3-1(a)(5) OTC derivatives dealers Rule 15c3-2 Customer funds Rule 15c3-3 Customer securities Rule 15c3-4 OTC derivatives dealers
15d	Regulation 15D - Periodic Reporting 15d-1 Annual reports required 15d-2 Special financial report 15d-5 Successor issuers 15d-6 Suspension of duty to file reports 15d-11 Current reports: Form 8-K 15d-13 Quarterly reports: Form 10-Q - QSB 15d-14 Disclosure certification 15d-15 Disclosure controls 15d-17 ABS: Form 10-D 15d-18 ABS: Servicing compliance 15d-19 Shell companies: Form 20-F 15d-21 Employee stock purchase plans 15d-22 ABS reports 15d-23 Underlying ABS securities
15g	Penny Stocks Penny Stocks
15Aa - 15Aj	Securities Associations Securities Associations
15Ba - 15Bc	Municipal Securities Trading Municipal Securities Trading
15Ca - 15Cc	Government Securities Trading Government Securities Trading
16a - 16e	Insider Trading Insider trading reporting 16a-1 Definitions 16a-2 Persons - transactions covered 16a-3 Reporting transactions - holdings 16a-4 Derivatives 16a-5 Odd-lot dealers 16a-6 Small acquisitions 16a-7 Transactions part of a distribution 16a-8 Trusts 16a-9 Stock splits - stock dividends - rights 16a-10 Exemptions from §16(b) 16a-11 Dividend reinvestment plans 16a-12 Domestic relations orders 16a-13 Change in beneficial ownership 16b-1 Approved by a regulator 16b-3 Officers - directors 16b-5 Gifts - inheritance 16b-6 Derivatives 16b-7 Mergers - reclassifications 16b-8 Voting trusts 16c-1 Brokers 16c-2 Transactions part of a distribution 16c-3 Securities to Be Acquired 16c-4 Derivatives 16e-1 Arbitrage transactions
17a	SROs: Record Keeping and Reporting SROs: Record Keeping and Reporting Rule 17a-3(a)(10) OTC derivatives dealers Rule 17a-12 OTC derivatives dealers
17d - 17h	Trading Recordkeeping and Reporting 17d-1 Compliance examination 17d-2 SRO allocation plans 17f-1 Missing, stolen securities 17f-2 Fingerprinting 17h-1T Risk assessment recordkeeping 17h-2T Risk assessment reporting
17i	Investment Bank Holding Companies Investment Bank Holding Company Regulation
17Ab - 17Ad	Transfer Agents - Clearing Transfer Agents
19b	SRO Rule Changes SRO Regulation
19c	SRO Trading 19c-1 Off-board agency transactions 19c-3 Off-board trading 19c-4 Listing - authorization determinations 19c-5 Multiple listing of options
19d - 19h	SRO Disciplinary Rules SRO Regulation
24b - 24c	Public Availability of Information 24b-1 Documents of exchanges 24b-2 Confidential treatment 24b-3 Documents filed with exchanges 24c-1 Access to nonpublic information
31	Section 31 Transaction Fees 31
36	OTC Derivatives Dealers 36a1-1 Exemption from Section 7 36a1-2 Exemption from SIPA

SEC Regulations

A	Small Issues Exemption
AB	Asset-Backed Securities
AC	Analyst Certification
ATS	Alternative Trading Systems
BTR	Blackout Trading Restriction
C	Registration Rules
D	Private Offering Safe Harbor
E	SBIC Exemptions
FD	Fair Disclosure
G	Non-GAAP Disclosures
M	Market Trading Rules
M-A	Mergers and Acquisitions
NMS	National Market System
S	Offers and Sales Made Outside the US
SHO	Short Sales
S-B	Small Business Issuers - Instructions
S-K	Standard Instructions for Forms
S-P	Consumer Privacy
S-T	Electronic Filings
S-X	Accounting Rules - Financial Statements
Part 205	Attorney Conduct Standards

// This display the document title in the html page document.write(document.title);