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17 CFR 240.15g-5 - Disclosure of compensation of associated persons in connection with penny stock transactions.


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Document in Context
   
Collapse    Title 1 - General Provisions
Parts 1 - 500. January 1, 2014.
Expand    Title 2 - Grants and Agreements
Parts 1 - 5800. January 1, 2014.
Expand    Title 3 - The President
Parts 100 - 102. January 1, 2014.
Expand    Title 4 - Accounts
Parts 2 - 202. January 1, 2014.
Expand    Title 5 - Administrative Personnel
Parts 1 - 9899. January 1, 2014.
Expand    Title 6 - Domestic Security
Parts 5 - 1003. January 1, 2014.
Expand    Title 7 - Agriculture
Parts 1 - 4290. January 1, 2014.
Expand    Title 8 - Aliens and Nationality
Parts 1 - 1337. January 1, 2014.
Expand    Title 9 - Animals and Animal Products
Parts 1 - 592. January 1, 2014.
Expand    Title 10 - Energy
Parts 1 - 1800. January 1, 2014.
Expand    Title 11 - Federal Elections
Parts 1 - 9430. January 1, 2014.
Expand    Title 12 - Banks and Banking
Parts 1 - 1815. January 1, 2014.
Expand    Title 14 - Aeronautics and Space
Parts 1 - 1310. January 1, 2014.
Expand    Title 15 - Commerce and Foreign Trade
Parts 0 - 2301. January 1, 2014.
Expand    Title 16 - Commercial Practices
Parts 0 - 1750. January 1, 2014.
Collapse    Title 17 - Commodity and Securities Exchanges
Parts 1 - 450. April 1, 2014.
Toc - Table Of Contents
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Chapter I - COMMODITY FUTURES TRADING COMMISSION (Parts 1 - 199)
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Chapter II - SECURITIES AND EXCHANGE COMMISSION (CONTINUED) (Parts 200 - 399)
Toc - Table Of Contents
Part 228 - Reserved
Toc - Table Of Contents (Parts 240 - 240)
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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 240.3a4-2-240.3a4-6 - [Reserved]
Section 240.3a5-1 - Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
Section 240.3a5-2 - Exemption from the definition of “dealer” for banks effecting transactions in securities issued...
Section 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending 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 240.3a55-4 - Exclusion from definition of narrow-based security index for indexes composed of debt securities.
Section 240.3a67-1 - Definition of “major security-based swap participant.”
Section 240.3a67-2 - Categories of security-based swaps.
Section 240.3a67-3 - Definition of “substantial position.”
Section 240.3a67-4 - Definition of “hedging or mitigating commercial risk.”
Section 240.3a67-5 - Definition of “substantial counterparty exposure.”
Section 240.3a67-6 - Definition of “financial entity.”
Section 240.3a67-7 - Definition of “highly leveraged.”
Section 240.3a67-8 - Timing requirements, reevaluation period, and termination of status.
Section 240.3a67-9 - Calculation of major participant status by certain persons.
Section 240.3a68-1a - Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A...
Section 240.3a68-1b - Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
Section 240.3a68-2 - Requests for interpretation of swaps, security-based swaps, and mixed swaps.
Section 240.3a68-3 - Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
Section 240.3a68-4 - Regulation of mixed swaps.
Section 240.3a68-5 - Regulation of certain futures contracts on foreign sovereign debt.
Section 240.3a69-1 - Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a...
Section 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act-additional products.
Section 240.3a69-3 - Books and records requirements for security-based swap agreements.
Section 240.3a71-1 - Definition of “security-based swap dealer.”
Section 240.3a71-2 - De minimis exception.
Section 240.3a71-2a - Report regarding the “security-based swap dealer” and “major security-based swap participant...
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-9-240.3b-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 - [Reserved]
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 240.3ca-1 - Stay of clearing requirement and review by the Commission.
Section 240.3ca-2 - Submission of security-based swaps for clearing.
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 240.6h-2 - Security future based on note, bond, debenture, or evidence of indebtedness.
Section 240.7c2-1 - [Reserved]
Section 240.8c-1 - Hypothecation of customers' securities.
Section 240.9b-1 - Options disclosure document.
Section 240.10a-1-240.10a-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 - Deception in connection with a seller's ability or intent to deliver securities on the date...
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 240.10c-1 - Listing standards relating to compensation 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 240.12a-10 - Exemption of security-based swaps from section 12(a) of the Act.
Section 240.12a-11 - Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240...
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, 20-F, 11-K...
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 240.12h-6 - Certification by a foreign private issuer regarding the termination of registration of a class of...
Section 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.
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 (§ 249.308a 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 240.13a-20 - Plain English presentation of specified information.
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 240.13h-L - Large trader reporting.
Section 240.13k-1 - Foreign bank exemption from the insider lending prohibition under section 13(k).
Section 240.13p-1 - Requirement of report regarding disclosure of registrant's supply chain information regarding...
Section 240.13q-1 - Disclosure of payments made by resource extraction issuers.
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.