a. Definitions

b. Power to define technical, trade, accounting, and other...

c. Application to governmental departments or agencies

d. Issuers of municipal securities

e. Charitable organizations

f. Consideration of promotion of efficiency...

g. Church plans

a. Non-security-based swap agreements

b. Security-based swap agreements

a. Establishment; composition; limitations on commissioners;...

b. Appointment and compensation of staff and leasing authority

c. Acceptance of travel support for Commission activities from...

d. Acceptance of relocation expenses from former employers...

e. Fee payments

f. Reimbursement of expenses for assisting foreign...

a. Authorization; functions delegable; eligible persons;...

b. Right of review; procedure

c. Finality of delegated action

a. Authority To Censure

b. Definition

a. Registration; application

b. Determination by Commission requisite to registration of...

c. Denial of membership in national exchanges; denial of...

d. Discipline of national securities exchange members and...

e. Commissions, allowances, discounts, and other fees...

f. Compliance of non-members with exchange rules

g. Notice registration of security futures product exchanges

h. Trading in security futures products

i. Obligation to address duplicative regulation of dual registrants

j. Procedures and rules for security future products

k. Obligation to address security futures products traded on...

a. Rules and regulations for extension of credit; standard for...

b. Lower and higher margin requirements

c. Unlawful credit extension to customers

d. Unlawful credit extension in violation of rules and regulations;...

e. Effective date of this section and rules and regulations

f. Unlawful receipt of credit; exemptions

g. Effect of bona fide agreement for delayed...

a. Transactions relating to purchase or sale of security

b. Transactions relating to puts, calls, straddles, or options

c. Endorsement or guarantee of puts, calls, straddles, or options

d. Registered warrant, right, or convertible security not...

e. Persons liable; suits at law or in equity

f. Subsection (a) not applicable to exempted securities

g. Foreign currencies

h. Limitations on practices that affect market volatility

i. Limitation

a. In general

b. Required response to audit discoveries

c. Auditor liability limitation

d. Civil penalties in cease-and-desist proceedings

e. Preservation of existing authority

f. Definitions

g. Prohibited Activities

h. Preapproval Required for Non-Audit Services

i. Preapproval Requirements

j. Audit Partner Rotation

k. Reports to Audit Committees

l. Conflicts of Interest

m. Standards Relating to Audit Committees

a. Trading for own account or account of associated person;...
b. Registration of members as odd-lot dealers and specialists
c. Exemptions from provisions of section and rules and regulations
d. Prohibition on extension of credit by broker-dealer

a. Congressional findings; facilitating establishment of national...
b. Securities information processors; registration; withdrawal of...
c. Rules and regulations covering use of mails or other means or...
d. National Market Advisory Board
e. National markets system for security futures products

a. General requirement of registration
b. Procedure for registration; information
c. Additional or alternative information
d. Effective date of registration; withdrawal of registration
e. Exemption from provisions of section for period ending...
f. Unlisted trading privileges for security originally listed on...
g. Registration of securities by issuer; exemptions
h. Exemption by rules and regulations from certain provisions...
i. Securities issued by banks
j. Denial, suspension, or revocation of registration; notice and...
k. Trading suspensions; emergency authority
l. Issuance of any security in contravention of rules and...

a. Reports by issuer of security; contents
b. Form of report; books, records, and internal accounting; directives
c. Alternative reports
d. Reports by persons acquiring more than five per centum of...
e. Purchase of securities by issuer
f. Reports by institutional investment managers
g. Statement of equity security ownership
h. Large trader reporting
i. Accuracy of Financial Reports
j. Off-Balance Sheet Transactions
k. Prohibition on Personal Loans to Executives
l. Real Time Issuer Disclosures

a. Solicitation of proxies in violation of rules and regulations
b. Giving or refraining from giving proxy in respect of any...
c. Information to holders of record prior to annual or other meeting
d. Tender offer by owner of more than five per centum of class...
e. Untrue statement of material fact or omission of fact...
f. Election or designation of majority of directors of issuer by...
g. Filing fees
h. Proxy solicitations and tender offers in connection with limited...

a. Registration of all persons utilizing exchange facilities to...
b. Manner of registration of brokers and dealers
c. Use of manipulative or deceptive devices; contravention of...
d. Filing of supplementary and periodic informations
e. Compliance with this title by members not required to be...
f. Prevention of misuse of material, nonpublic information
g. Requirements for transactions in penny stocks
h. Limitations on State law
i. Rulemaking to extend requirements to new hybrid products
j. Limitation

a. Registration; application
b. Determinations by Commission requisite to registration of...
c. National association rules; provision for registration of...
d. Registration as affiliated association; prerequisites;...
e. Dealings with nonmember professionals
f. Transactions in municipal securities
g. Denial of membership
h. Discipline of registered securities association members and...
i. Broker-dealer disciplinary history
j. Registration for sales of private securities offerings
k. Limited purpose national securities association
l. Obligation to address duplicative regulation of dual registrants
m. Procedures and rules for security future products

a. Registration of municipal securities dealers
b. Municipal Securities Rulemaking Board; rules and regulations
c. Discipline of municipal securities dealers; censure; suspension...
d. Issuance of municipal securities

a. Registration requirements; notice to regulatory agencies;...
b. Rules with respect to transactions in government securities
c. Sanctions for violations
d. Records of brokers and dealers subject to examination
e. Membership in national securities exchange; exemptions
f. Large position reporting
g. Effect on other laws; authority of Commission

a. Analyst protections
b. Disclosure
c. Definitions

a. Disclosures required
b. Profits from purchase and sale of security within six months
c. Conditions for sale of security by beneficial owner...
d. Securities held in investment account, transactions in...
e. Application of section to foreign or domestic arbitrage...
f. Treatment of transactions in security futures products
g. Limitation

a. Rules and regulations
b. Records subject to examination
c. Copies of reports filed with other regulatory agencies
d. Self-regulatory organizations
e. Balance sheet and income statement; other financial...
f. Missing, lost, counterfeit, and stolen securities
g. Persons extending credit
h. Risk assessment for holding company systems
i. Investment bank holding companies
j. Authority to limit disclosure of information
k. Coordination of examining authorities

a. Congressional findings; facilitating establishment of system
b. Registration of clearing agencies; application; determinations...
c. Registration of transfer agents
d. Activities of clearing agencies and transfer agents;...
e. Physical movement of securities certificates
f. Rules concerning transfer of securities and rights and...

a. Findings
b. Mandate to facilitate establishment of automated quotation...
c. Exemptive authority
d. Commission reporting requirements

a. Persons liable; persons entitled to recover; defense of good...
b. Contribution
c. Period of limitations

a. Registration procedures; notice of filing; other regulatory agencies
b. Proposed rule changes; notice; proceedings
c. Amendment by Commission of rules of self-regulatory organizations
d. Notice of disciplinary action taken by self-regulatory organization...
e. Disposition of review; cancellation, reduction, or remission of sanction
f. Dismissal of review proceeding
g. Compliance with rules and regulations
h. Suspension or revocation of self-regulatory organization's...
i. Appointment of trustee

a. Joint and several liability; good faith defense
b. Unlawful activity through or by means of any other person
c. Hindering, delaying, or obstructing the making or filing of any...
d. Liability for trading in securities while in possession of material...
e. Prosecution of persons who aid and abet violations
f. Limitation

a. Private rights of action based on contemporaneous trading
b. Limitations on liability
c. Joint and several liability for communicating
d. Authority not to restrict other express or implied rights of action
e. Provisions not to affect public prosecutions

a. Authority and discretion of Commission to investigate violations
b. Attendance of witnesses; production of records
c. Judicial enforcement of investigative power of Commission;...
d. Injunction proceedings; authority of court to prohibit persons...
e. Mandamus
f. Rules of self-regulatory organizations
g. Consolidation of actions; consent of Commission
h. Access to records
i. Information to CFTC

a. Authority to impose civil penalties
b. Limitations on liability
c. Authority of Commission
d. Procedures for collection
e. Authority to award bounties to informants
f. Definition
g. Limitation

a. Commission authority to assess money penalties
b. Maximum amount of penalty
c. Determination of public interest
d. Evidence concerning ability to pay
e. Authority to enter order requiring accounting and disgorgement

a. Authority of Commission
b. Hearing
c. Temporary order
d. Review of temporary orders
e. Authority to enter order requiring accounting and disgorgement
f. Authority of the Commission to prohibit persons from serving...

a. Private class actions
b. Requirements for securities fraud actions
c. Sanctions for abusive litigation
d. Defendant's right to written interrogatories
e. Limitation on damages
f. Proportionate liability

a. Applicability
b. Exclusions
c. Safe harbor
d. Duty to update
e. Dispositive motion
f. Stay pending decision on motion
g. Exemption authority
h. Effect on other authority of Commission
i. Definitions

a. Power to make rules and regulations; considerations; public...
b. Reports to Congress
c. Procedure for adjudication
d. Cease-and-desist procedures

a. "Records" defined
b. Disclosure or personal use
c. Confidential disclosures
d. Records obtained from foreign securities authorities
e. Savings provision

a. Final Commission orders; persons aggrieved; petition; record;...
b. Commission rules; persons adversely affected; petition;...
c. Objections not urged before Commission; stay of orders and...
d. Other appropriate regulatory agencies

a. Effect on pending causes of action
b. Effect on dismissed causes of action

a. Addition of rights and remedies; recovery of actual damages;...
b. Modification of disciplinary procedures
c. Continuing validity of disciplinary sanctions
d. Physical location of facilities of registered clearing agencies or...
e. Exchange, broker, and dealer commissions; brokerage and...
f. Limitations on remedies

a. Waiver provisions
b. Contract provisions in violation of title
c. Validity of loans, extensions of credit, and creation of liens;...

a. Prohibition
b. Exception for routine governmental action
c. Affirmative defenses
d. Guidelines by Attorney General
e. Opinions of Attorney General
f. Definitions
g. Alternative jurisdiction

a. Recovery of cost of services
b. Exchange-traded securities
c. Off-exchange trades of exchange registered and...
d. Assessments on security futures transactions
e. Dates for payments
f. Exemptions
g. Publication
h. Pro rata application
i. Deposit of Fees
j. Recapture of projection windfalls for further rate reductions
k. Lapse of appropriation
l. Definitions

a. Willful violations; false and misleading statements
b. Failure to file information, documents, or reports
c. Violations by issuers, officers, directors, stockholders, employees,...

a. Authority
b. Limitation