Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. Code of Federal Regula...
/
Title 17—Commodity and Secu...
/
CHAPTER II—SECURITIES AND E...
/
PART 242—REGULATIONS M, SHO, ATS, AC, NMS, AND ...
PART 242—REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
§ 242.100 - Preliminary note; definitions.
§ 242.101 - Activities by distribution participants.
§ 242.102 - Activities by issuers and selling security holders during a distribution.
§ 242.103 - Nasdaq passive market making.
§ 242.104 - Stabilizing and other activities in connection with an offering.
§ 242.105 - Short selling in connection with a public offering.
§ 242.200 - Definition of “short sale” and marking requirements.
§ 242.201 - Circuit breaker.
§ 242.203 - Borrowing and delivery requirements.
§ 242.204 - Close-out requirement.
§ 242.300 - Definitions.
§ 242.301 - Requirements for alternative trading systems.
§ 242.302 - Recordkeeping requirements for alternative trading systems.
§ 242.303 - Record preservation requirements for alternative trading systems.
§ 242.304 - NMS Stock ATSs.
§ 242.400 - Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
§ 242.401 - Definitions.
§ 242.402 - General provisions.
§ 242.403 - Required margin.
§ 242.404 - Type, form and use of margin.
§ 242.405 - Withdrawal of margin.
§ 242.406 - Undermargined accounts.
§ 242.500 - Definitions.
§ 242.501 - Certifications in connection with research reports.
§ 242.502 - Certifications in connection with public appearances.
§ 242.503 - Certain foreign research reports.
§ 242.504 - Notification to associated persons.
§ 242.505 - Exclusion for news media.
§ 242.600 - NMS security designation and definitions.
§ 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
§ 242.602 - Dissemination of quotations in NMS securities.
§ 242.603 - Distribution, consolidation, and display of information with respect to quotations for and transactions in NMS stocks.
§ 242.604 - Display of customer limit orders.
§ 242.605 - Disclosure of order execution information.
§ 242.606 - Disclosure of order routing information.
§ 242.607 - Customer account statements.
§ 242.608 - Filing and amendment of national market system plans.
§ 242.609 - Registration of securities information processors: form of application and amendments.
§ 242.610 - Access to quotations.
§ 242. 610T - Equity transaction fee pilot.
§ 242.611 - Order protection rule.
§ 242.612 - Minimum pricing increment.
§ 242.613 - Consolidated audit trail.
§ 242.900 - Definitions.
§ 242.901 - Reporting obligations.
§ 242.902 - Public dissemination of transaction reports.
§ 242.903 - Coded information.
§ 242.904 - Operating hours of registered security-based swap data repositories.
§ 242.905 - Correction of errors in security-based swap information.
§ 242.906 - Other duties of participants.
§ 242.907 - Policies and procedures of registered security-based swap data repositories.
§ 242.908 - Cross-border matters.
§ 242.909 - Registration of security-based swap data repository as a securities information processor.
§ 242.1000 - Definitions.
§ 242.1001 - Obligations related to policies and procedures of SCI entities.
§ 242.1002 - Obligations related to SCI events.
§ 242.1003 - Obligations related to systems changes; SCI review.
§ 242.1004 - SCI entity business continuity and disaster recovery plans testing requirements for members or participants.
§ 242.1005 - Recordkeeping requirements related to compliance with Regulation SCI.
§ 242.1006 - Electronic filing and submission.
§ 242.1007 - Requirements for service bureaus.