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17 CFR 240.3a51-1 - Definition of “penny stock”.

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Collapse    Title 1 - General Provisions
Parts 1 - 500. January 1, 2006.
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Parts 1 - 299. January 1, 2006.
Expand    Title 3 - The President
Parts 100 - 102. January 1, 2006.
Expand    Title 4 - Accounts
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Expand    Title 5 - Administrative Personnel
Parts 1 - 9901. January 1, 2006.
Expand    Title 6 - Homeland Security
Parts 5 - 29. January 1, 2006.
Expand    Title 7 - Agriculture
Parts 1 - 4290. January 1, 2006.
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Parts 1 - 1337. January 1, 2006.
Expand    Title 9 - Animals and Animal Products
Parts 1 - 592. January 1, 2006.
Expand    Title 10 - Energy
Parts 1 - 1800. January 1, 2006.
Expand    Title 11 - Federal Elections
Parts 1 - 9039. January 1, 2006.
Expand    Title 12 - Banks and Banking
Parts 1 - 1815. January 1, 2006.
Expand    Title 13 - Business Credit and Assistance
Parts 101 - 500. January 1, 2006.
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Parts 1 - 1310. January 1, 2006.
Expand    Title 15 - Commerce and Foreign Trade
Parts 0 - 2301. January 1, 2006.
Expand    Title 16 - Commercial Practices
Parts 0 - 1750. January 1, 2006.
Collapse    Title 17 - Commodity and Securities Exchanges
Parts 1 - 450. April 1, 2006.
Toc - Table Of Contents
Toc - Table Of Contents
Toc - Table Of Contents (Parts 240 - 240)
Subjgrp - Rules of General Application (Part 240)
Section 240.0-1 - Definitions.
Section 240.0-2 - Business hours of the Commission.
Section 240.0-3 - Filing of material with the Commission.
Section 240.0-4 - Nondisclosure of information obtained in examinations and investigations.
Section 240.0-5 - Reference to rule by obsolete designation.
Section 240.0-6 - Disclosure detrimental to the national defense or foreign policy.
Section 240.0-8 - Application of rules to registered broker-dealers.
Section 240.0-9 - Payment of fees.
Section 240.0-10 - Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
Section 240.0-11 - Filing fees for certain acquisitions, dispositions and similar transactions.
Section 240.0-12 - Commission procedures for filing applications for orders for exemptive relief under Section 36 of...
Section 240.3a1-1 - Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
Section 240.3a4-1 - Associated persons of an issuer deemed not to be brokers.
Section 240.3a4-2 - Exemption from the definition of “broker” for bank calculating compensation for effecting...
Section 240.3a4-3 - Exemption from the definition of “broker” for bank effecting transactions as an indenture trustee...
Section 240.3a4-4 - Exemption from the definition of “broker” for small bank effecting transactions in investment...
Section 240.3a4-5 - Exemption from the definition of “broker” for banks effecting transactions in securities in a...
Section 240.3a4-6 - Exemption from the definition of “broker” for banks that execute transactions in investment...
Section 240.3a5-1 - Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
Section 240.3a11-1 - Definition of the term “equity security.”
Section 240.3a12-1 - Exemption of certain mortgages and interests in mortgages.
Section 240.3a12-2 - [Reserved]
Section 240.3a12-3 - Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.
Section 240.3a12-4 - Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
Section 240.3a12-5 - Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
Section 240.3a12-6 - Definition of “common trust fund” as used in section 3(a)(12) of the Act.
Section 240.3a12-7 - Exemption for certain derivative securities traded otherwise than on a national securities exchange.
Section 240.3a12-8 - Exemption for designated foreign government securities for purposes of futures trading.
Section 240.3a12-9 - Exemption of certain direct participation program securities from the arranging provisions of...
Section 240.3a12-10 - Exemption of certain securities issued by the Resolution Funding Corporation.
Section 240.3a12-11 - Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national...
Section 240.3a12-12 - Exemption from certain provisions of section 16 of the Act for asset-backed securities.
Section 240.3a40-1 - Designation of financial responsibility rules.
Section 240.3a43-1 - Customer-related government securities activities incidental to the futures-related business of a...
Section 240.3a44-1 - Proprietary government securities transactions incidental to the futures-related business of a...
Section 240.3a51-1 - Definition of “penny stock”.
Section 240.3a55-1 - Method for determining market capitalization and dollar value of average daily trading volume...
Section 240.3a55-2 - Indexes underlying futures contracts trading for fewer than 30 days.
Section 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...
Section 240.3b-1 - Definition of “listed”.
Section 240.3b-2 - Definition of “officer”.
Section 240.3b-3 - [Reserved]
Section 240.3b-4 - Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
Section 240.3b-5 - Non-exempt securities issued under governmental obligations.
Section 240.3b-6 - Liability for certain statements by issuers.
Section 240.3b-7 - Definition of “executive officer”.
Section 240.3b-8 - Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block...
Section 240.3b-9 - Definition of “bank” for purposes of section 3(a) (4) and (5) of the Act.
Section 240.3b-10 - [Reserved]
Section 240.3b-11 - Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9...
Section 240.3b-12 - Definition of OTC derivatives dealer.
Section 240.3b-13 - Definition of eligible OTC derivative instrument.
Section 240.3b-14 - Definition of cash management securities activities.
Section 240.3b-15 - Definition of ancillary portfolio management securities activities.
Section 240.3b-16 - Definitions of terms used in Section 3(a)(1) of the Act.
Section 240.3b-17 - Definitions of terms used in Section 3(a)(4) of the Act.
Section 240.3b-18 - Definitions of terms used in Section 3(a)(5) of the Act.
Section 240.3b-19 - Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.
Section 240.6a-1 - Application for registration as a national securities exchange or exemption from registration...
Section 240.6a-2 - Amendments to application.
Section 240.6a-3 - Supplemental material to be filed by exchanges.
Section 240.6a-4 - Notice of registration under Section 6(g) of the Act, amendment to such notice, and supplemental...
Section 240.6h-1 - Settlement and regulatory halt requirements for security futures products.
Section 240.7c2-1 - [Reserved]
Section 240.8c-1 - Hypothecation of customers' securities.
Section 240.9b-1 - Options disclosure document.
Section 240.10a-1 - Short sales.
Section 240.10a-2 - [Reserved]
Section 240.10b-1 - Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain...
Section 240.10b-2 - [Reserved]
Section 240.10b-3 - Employment of manipulative and deceptive devices by brokers or dealers.
Section 240.10b-4 - [Reserved]
Section 240.10b-5 - Employment of manipulative and deceptive devices.
Section 240.10b-6-240.10b-8 - [Reserved]
Section 240.10b-9 - Prohibited representations in connection with certain offerings.
Section 240.10b-10 - Confirmation of transactions.
Section 240.10b-13 - [Reserved]
Section 240.10b-16 - Disclosure of credit terms in margin transactions.
Section 240.10b-17 - Untimely announcements of record dates.
Section 240.10b-18 - Purchases of certain equity securities by the issuer and others.
Section 240.10b-21 - [Reserved]
Section 240.10b5-1 - Trading “on the basis of” material nonpublic information in insider trading cases.
Section 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Section 240.10a-1 - Notice to the Commission Pursuant to Section 10A of the Act.
Section 240.10a-2 - Auditor independence.
Section 240.10a-3 - Listing standards relating to audit committees.
Section 240.11a-1 - Regulation of floor trading.
Section 240.11a1-2 - Transactions for certain accounts of associated persons of members.
Section 240.11a1-5 - Transactions by registered competitive market makers and registered equity market makers.
Section 240.11a1-6 - Transactions for certain accounts of OTC derivatives dealers.
Section 240.11a1-1(t) - Transactions yielding priority, parity, and precedence.
Section 240.11a1-3(t) - Bona fide hedge transactions in certain securities.
Section 240.11a1-4(t) - Bond transactions on national securities exchanges.
Section 240.11a2-2(t) - Transactions effected by exchange members through other members.
Section 240.11b-1 - Regulation of specialists.
Section 240.11d1-1 - Exemption of certain securities from section 11(d)(1).
Section 240.11d1-2 - Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers...
Section 240.11d2-1 - Exemption from Section 11(d)(2) for certain broker-dealers effecting transactions for customers...
Section 240.12a-4 - Exemption of certain warrants from section 12(a).
Section 240.12a-5 - Temporary exemption of substituted or additional securities.
Section 240.12a-6 - Exemption of securities underlying certain options from section 12(a).
Section 240.12a-7 - Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
Section 240.12a-8 - Exemption of depositary shares.
Section 240.12a-9 - Exemption of standardized options from section 12(a) of the Act.
Section 240.12b-1 - Scope of regulation.
Section 240.12b-2 - Definitions.
Section 240.12b-3 - Title of securities.
Section 240.12b-4 - Supplemental information.
Section 240.12b-5 - Determination of affiliates of banks.
Section 240.12b-6 - When securities are deemed to be registered.
Section 240.12b-7 - [Reserved]
Section 240.12b-10 - Requirements as to proper form.
Section 240.12b-11 - Number of copies; signatures; binding.
Section 240.12b-12 - Requirements as to paper, printing and language.
Section 240.12b-13 - Preparation of statement or report.
Section 240.12b-14 - Riders; inserts.
Section 240.12b-15 - Amendments.
Section 240.12b-20 - Additional information.
Section 240.12b-21 - Information unknown or not available.
Section 240.12b-22 - Disclaimer of control.
Section 240.12b-23 - Incorporation by reference.
Section 240.12b-24 - [Reserved]
Section 240.12b-25 - Notification of inability to timely file all or any required portion of a Form 10-K, 10-KSB, 20-F...
Section 240.12b-30 - Additional exhibits.
Section 240.12b-31 - Omission of substantially identical documents.
Section 240.12b-32 - Incorporation of exhibits by reference.
Section 240.12b-33 - Annual reports to other Federal agencies.
Section 240.12b-35 - [Reserved]
Section 240.12b-36 - Use of financial statements filed under other acts.
Section 240.12b-37 - Satisfaction of filing requirements.
Section 240.12d1-1 - Registration effective as to class or series.
Section 240.12d1-2 - Effectiveness of registration.
Section 240.12d1-3 - Requirements as to certification.
Section 240.12d1-4 - Date of receipt of certification by Commission.
Section 240.12d1-5 - Operation of certification on subsequent amendments.
Section 240.12d1-6 - Withdrawal of certification.
Section 240.12d2-1 - Suspension of trading.
Section 240.12d2-2 - Removal from listing and registration.
Section 240.12f-1 - Applications for permission to reinstate unlisted trading privileges.
Section 240.12f-2 - Extending unlisted trading privileges to a security that is the subject of an initial public...
Section 240.12f-3 - Termination or suspension of unlisted trading privileges.
Section 240.12f-4 - Exemption of securities admitted to unlisted trading privileges from sections 13, 14 and 16.
Section 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.
Section 240.12f-6 - [Reserved]
Section 240.12g-1 - Exemption from section 12(g).
Section 240.12g-2 - Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption...
Section 240.12g-3 - Registration of securities of successor issuers under section 12(b) or 12(g).
Section 240.12g-4 - Certifications of termination of registration under section 12(g).
Section 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.
Section 240.12g5-1 - Definition of securities “held of record”.
Section 240.12g5-2 - Definition of “total assets”.
Section 240.12h-1 - Exemptions from registration under section 12(g) of the Act.
Section 240.12h-2 - [Reserved]
Section 240.12h-3 - Suspension of duty to file reports under section 15(d).
Section 240.12h-4 - Exemption from duty to file reports under section 15(d).
Section 240.12h-5 - Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors.
Section 240.13a-1 - Requirements of annual reports.
Section 240.13a-2 - [Reserved]
Section 240.13a-3 - Reporting by Form 40-F registrant.
Section 240.13a-10 - Transition reports.
Section 240.13a-11 - Current reports on Form 8-K (§ 249.308 of this chapter).
Section 240.13a-13 - Quarterly reports on Form 10-Q and Form 10-QSB (§ 249.308a and § 249.308b of this chapter).
Section 240.13a-14 - Certification of disclosure in annual and quarterly reports.
Section 240.13a-15 - Controls and procedures.
Section 240.13a-16 - Reports of foreign private issuers on Form 6-K (17 CFR 249.306).
Section 240.13a-17 - Reports of asset-backed issuers on Form 10-D (§ 249.312 of this chapter).
Section 240.13a-18 - Compliance with servicing criteria for asset-backed securities.
Section 240.13a-19 - Reports by shell companies on Form 20-F.
Section 240.13b2-1 - Falsification of accounting records.
Section 240.13b2-2 - Representations and conduct in connection with the preparation of required reports and documents.
Section 240.13d-1 - Filing of Schedules 13D and 13G.
Section 240.13d-2 - Filing of amendments to Schedules 13D or 13G.
Section 240.13d-3 - Determination of beneficial owner.
Section 240.13d-4 - Disclaimer of beneficial ownership.
Section 240.13d-5 - Acquisition of securities.
Section 240.13d-6 - Exemption of certain acquisitions.
Section 240.13d-7 - Dissemination.
Section 240.13d-101 - Schedule 13D-Information to be included in statements filed pursuant to § 240.13d-1(a) and...
Section 240.13d-102 - Schedule 13G-Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and...
Section 240.13e-1 - Purchase of securities by the issuer during a third-party tender offer.
Section 240.13e-2 - [Reserved]
Section 240.13e-3 - Going private transactions by certain issuers or their affiliates.
Section 240.13e-4 - Tender offers by issuers.
Section 240.13e-100 - Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934...
Section 240.13e-101 - [Reserved]
Section 240.13e-102 - Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange...
Section 240.13f-1 - Reporting by institutional investment managers of information with respect to accounts over which...
Section 240.13k-1 - Foreign bank exemption from the insider lending prohibition under section 13(k).
Section 240.14a-1 - Definitions.
Section 240.14a-2 - Solicitations to which § 240.14a-3 to § 240.14a-15 apply.
Section 240.14a-3 - Information to be furnished to security holders.
Section 240.14a-4 - Requirements as to proxy.
Section 240.14a-5 - Presentation of information in proxy statement.
Section 240.14a-6 - Filing requirements.
Section 240.14a-7 - Obligations of registrants to provide a list of, or mail soliciting material to, security holders.
Section 240.14a-8 - Shareholder proposals.
Section 240.14a-9 - False or misleading statements.
Section 240.14a-10 - Prohibition of certain solicitations.
Section 240.14a-11 - [Reserved]
Section 240.14a-12 - Solicitation before furnishing a proxy statement.
Section 240.14a-13 - Obligation of registrants in communicating with beneficial owners.
Section 240.14a-14 - Modified or superseded documents.
Section 240.14a-15 - Differential and contingent compensation in connection with roll-up transactions.
Section 240.14a-101 - Schedule 14A. Information required in proxy statement.
Section 240.14a-102 - [Reserved]
Section 240.14a-103 - Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf...
Section 240.14a-104 - Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and...
Section 240.14b-1 - Obligation of registered brokers and dealers in connection with the prompt forwarding of certain...
Section 240.14b-2 - Obligation of banks, associations and other entities that exercise fiduciary powers in connection...
Section 240.14c-1 - Definitions.
Section 240.14c-2 - Distribution of information statement.
Section 240.14c-3 - Annual report to be furnished security holders.
Section 240.14c-4 - Presentation of information in information statement.
Section 240.14c-5 - Filing requirements.
Section 240.14c-6 - False or misleading statements.
Section 240.14c-7 - Providing copies of material for certain beneficial owners.
Section 240.14c-101 - Schedule 14C. Information required in information statement.
Section 240.14d-1 - Scope of and definitions applicable to Regulations 14D and 14E.
Section 240.14d-2 - Commencement of a tender offer.
Section 240.14d-3 - Filing and transmission of tender offer statement.
Section 240.14d-4 - Dissemination of tender offers to security holders.
Section 240.14d-5 - Dissemination of certain tender offers by the use of stockholder lists and security position...
Section 240.14d-6 - Disclosure of tender offer information to security holders.
Section 240.14d-7 - Additional withdrawal rights.
Section 240.14d-8 - Exemption from statutory pro rata requirements.
Section 240.14d-9 - Recommendation or solicitation by the subject company and others.
Section 240.14d-10 - Equal treatment of security holders.