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15 U.S.C. 2B - SECURITIES EXCHANGES


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Document in Context
   
Expand  Title 2 - THE CONGRESS
Sections 1 - 2281.
Expand  Title 7 - AGRICULTURE
Sections 1 - 8922.
Expand  Title 9 - ARBITRATION
Sections 1 - 307.
Expand  Title 10 - ARMED FORCES
Sections 101 - 18506.
Expand  Title 11 - BANKRUPTCY
Sections 101 - 1532.
Expand  Title 13 - CENSUS
Sections 1 - 402.
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Table Of Contents
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Table Of Contents
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Sec. 78a - Short title
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Sec. 78b - Necessity for regulation
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Sec. 78c - Definitions and application
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Sec. 78c-1 - Swap agreements
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Sec. 78c-2 - Securities-related derivatives
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Sec. 78c-3 - Clearing for security-based swaps
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Sec. 78c-4 - Security-based swap execution facilities
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Sec. 78c-5 - Segregation of assets held as collateral in security-based swap transactions
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Sec. 78d - Securities and Exchange Commission
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Sec. 78d-1 - Delegation of functions by Commission
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Sec. 78d-2 - Transfer of functions with respect to assignment of personnel to chairman
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Sec. 78d-3 - Appearance and practice before the Commission
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Sec. 78d-4 - Additional duties of Inspector General
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Sec. 78d-5 - Deadline for completing enforcement investigations and compliance examinations and inspections
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Sec. 78d-6 - Report and certification of internal supervisory controls
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Sec. 78d-7 - Triennial report on personnel management
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Sec. 78d-8 - Annual financial controls audit
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Sec. 78d-9 - Report on oversight of national securities associations
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Sec. 78e - Transactions on unregistered exchanges
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Sec. 78f - National securities exchanges
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Sec. 78g - Margin requirements
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Sec. 78h - Restrictions on borrowing and lending by members, brokers, and dealers
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Sec. 78i - Manipulation of security prices
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Sec. 78j - Manipulative and deceptive devices
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Sec. 78j-1 - Audit requirements
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Sec. 78j-2 - Position limits and position accountability for security-based swaps and large trader reporting
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Sec. 78j-3 - Compensation committees
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Sec. 78j-4 - Recovery of erroneously awarded compensation policy
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Sec. 78k - Trading by members of exchanges, brokers, and dealers
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Sec. 78k-1 - National market system for securities; securities information processors
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Sec. 78l - Registration requirements for securities
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Sec. 78l-1 - Applications for unlisted trading privileges deemed filed under section 78l of this title
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Sec. 78m - Periodical and other reports
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Sec. 78m-1 - Reporting and recordkeeping for certain security-based swaps
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Sec. 78m-2 - Reporting requirements regarding coal or other mine safety
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Sec. 78n - Proxies
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Sec. 78n-1 - Shareholder approval of executive compensation
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Sec. 78n-2 - Corporate governance
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Sec. 78o - Registration and regulation of brokers and dealers
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Sec. 78o-1 - Brokers deemed to be registered
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Sec. 78o-2 - Liabilities arising prior to amendment unaffected
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Sec. 78o-3 - Registered securities associations
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Sec. 78o-4 - Municipal securities
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Sec. 78o-4a - Commission Office of Municipal Securities
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Sec. 78o-5 - Government securities brokers and dealers
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Sec. 78o-6 - Securities analysts and research reports
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Sec. 78o-7 - Registration of nationally recognized statistical rating organizations
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Sec. 78o-8 - Universal ratings symbols
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Sec. 78o-9 - Study and rulemaking on assigned credit ratings
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Sec. 78o-10 - Registration and regulation of security-based swap dealers and major security-based swap...
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Sec. 78o-11 - Credit risk retention
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Sec. 78p - Directors, officers, and principal stockholders
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Sec. 78q - Records and reports
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Sec. 78q-1 - National system for clearance and settlement of securities transactions
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Sec. 78q-2 - Automated quotation systems for penny stocks
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Sec. 78r - Liability for misleading statements
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Sec. 78s - Registration, responsibilities, and oversight of self-regulatory organizations
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Sec. 78t - Liability of controlling persons and persons who aid and abet violations
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Sec. 78t-1 - Liability to contemporaneous traders for insider trading
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Sec. 78u - Investigations and actions
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Sec. 78u-1 - Civil penalties for insider trading
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Sec. 78u-2 - Civil remedies in administrative proceedings
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Sec. 78u-3 - Cease-and-desist proceedings
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Sec. 78u-4 - Private securities litigation
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Sec. 78u-5 - Application of safe harbor for forward-looking statements
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Sec. 78u-6 - Securities whistleblower incentives and protection
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Sec. 78u-7 - Implementation and transition provisions for whistleblower protection
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Sec. 78v - Hearings by Commission
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Sec. 78w - Rules, regulations, and orders; annual reports
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Sec. 78x - Public availability of information
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Sec. 78y - Court review of orders and rules
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Sec. 78z - Unlawful representations
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Sec. 78aa - Jurisdiction of offenses and suits
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Sec. 78aa-1 - Special provision relating to statute of limitations on private causes of action
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Sec. 78bb - Effect on existing law
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Sec. 78cc - Validity of contracts
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Sec. 78dd - Foreign securities exchanges
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Sec. 78dd-1 - Prohibited foreign trade practices by issuers
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Sec. 78dd-2 - Prohibited foreign trade practices by domestic concerns
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Sec. 78dd-3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns
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Sec. 78ee - Transaction fees
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Sec. 78ff - Penalties
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Sec. 78gg - Separability
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Sec. 78hh - Effective date
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Sec. 78hh-1 - Effective date of certain sections
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Sec. 78ii - Omitted
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Sec. 78jj - Repealed. Pub. L. 100-181, title III, §330, Dec. 4, 1987, 101 Stat. 1259
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Sec. 78kk - Authorization of appropriations
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Sec. 78ll - Requirements for the EDGAR system
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Sec. 78mm - General exemptive authority
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Sec. 78nn - Tennessee Valley Authority
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Sec. 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan...
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Sec. 78pp - Investor Advisory Committee
Expand  Title 16 - CONSERVATION
Sections 1 - 7304.
Expand  Title 17 - COPYRIGHTS
Sections 101 - 1332.
Expand  Title 20 - EDUCATION
Sections 1 - 9906.
Expand  Title 23 - HIGHWAYS
Sections 101 - 610.
Expand  Title 25 - INDIANS
Sections 1 - 4307.
Expand  Title 29 - LABOR
Sections 1 - 3058.
Expand  Title 35 - PATENTS
Sections 1 - 376.
Expand  Title 39 - POSTAL SERVICE
Sections 101 - 5605.
Expand  Title 43 - PUBLIC LANDS
Sections 1 - 2434.
Expand  Title 45 - RAILROADS
Sections 1 - 1347.
Expand  Title 46 - SHIPPING
Sections 101 - 80509.
Expand  Title 49 - TRANSPORTATION
Sections 101 - 80504.