Securities Exchanges: Statute - SEC Rules

Exchange Act § 6 Text of Statute

Rule 6a-1  Registration 6a-1 14 FR 7759  12.29.49 63 FR 70844, 70918 12.22.98

Rule 6a-2  Amendments to application 6a-2 48 FR 24666 6.02.83 59 FR 66700 12.28.94 63 FR 70844, 70918 12.22.98 66 FR 43721, 43741 8.20.01

Rule 6a-3  Supplemental material to be filed 6a-3 14 FR 7759 12.29.49 19 FR 4723 7.31.54 63 FR 70844, 70919 12.22.98 66 FR 43721, 43741 8.20.01

Rule 6a-4  Trading security futures products Notice of Registration under Section 6(g) of the Act, Amendment to Such Notice, and Supplemental Materials to Be Filed by Exchanges Registered 6a-4 66 FR 43721, 43741 8.20.04

Securities Associations: Statute - SEC Rules

Exchange Act § 15A Text of Statute

Rule 15Aa-1  Registration 15Aa-1 13 FR 8209 12.22.48 30 FR 11851 9.16.65

Rule 15Aj-1  Amendments to registration 15Aj-1 13 FR 8209 12.22.48 18 FR 6259 10.01.53 30 FR 11851 9.16.65 59 FR 66700 12.28.94

Self-Regulatory Organizations SROs

Exchange Act § 19 Text of Statute

SRO Rule Changes: Statute - SEC Rules

SEC_CODE_REF_0090001192884

Exchange Act § 19(b) Text of Statute

Rule 19b-4  SRO proposed rule changes 19b-4 45 FR 73914 11.07.80 59 FR 66701 12.28.94 63 FR 70952, 70967 12.22.98 66 FR 43721, 43743 8.20.01 69 FR 69287, 60300 10.08.04

Rule 19b-5  Temporary exemption 19b-5 63 FR 70844, 70920 12.22.98

Rule 19b-7  §19(b)(7) proposed rule changes 19b-7 66 FR 43721, 43743 8.20.01

SRO Disciplinary Rules

Rule 19d-1  Notices of disciplinary actions 19d-1 42 FR 36415 7.14.77 49 FR 23831 6.08.84 70 FR 42456, 42469 7.22.05

Rule 19d-2  Stays of disciplinary sanctions 19d-2 42 FR 36416 7.14.77 60 FR 32825 6.23.95

Rule 19d-3  Applications for review 19d-3 42 FR 36417 7.14.77 60 FR 32825 6.23.95

Rule 19d-4  PCAOB notice 19d-4 69 FR 13166 3.19.04

Rule 19g2-1  SRO enforcement 19g2-1 41 FR 51808 11.24.76

Rule 19h-1  Relief from statutory disqualification 19h-1 46 FR 58661 12.03.81 48 FR 53691 11.29.83

Commentary

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