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U.S. Code
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TITLE 15 - COMMERCE AND TRADE
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CHAPTER 2B—SECURITIES EXCHANGES (§§ 78a – 78qq)
CHAPTER 2B—SECURITIES EXCHANGES (§§ 78a – 78qq)
§ 78a. Short title
§ 78b. Necessity for regulation
§ 78c. Definitions and application
§ 78c–1. Swap agreements
§ 78c–2. Securities-related derivatives
§ 78c–3. Clearing for security-based swaps
§ 78c–4. Security-based swap execution facilities
§ 78c–5. Segregation of assets held as collateral in security-based swap transactions
§ 78d. Securities and Exchange Commission
§ 78d–1. Delegation of functions by Commission
§ 78d–2. Transfer of functions with respect to assignment of personnel to chairman
§ 78d–3. Appearance and practice before the Commission
§ 78d–4. Additional duties of Inspector General
§ 78d–5. Deadline for completing enforcement investigations and compliance examinations and inspections
§ 78d–6. Report and certification of internal supervisory controls
§ 78d–7. Triennial report on personnel management
§ 78d–8. Annual financial controls audit
§ 78d–9. Report on oversight of national securities associations
§ 78e. Transactions on unregistered exchanges
§ 78f. National securities exchanges
§ 78g. Margin requirements
§ 78h. Restrictions on borrowing and lending by members, brokers, and dealers
§ 78i. Manipulation of security prices
§ 78j. Manipulative and deceptive devices
§ 78j–1. Audit requirements
§ 78j–2. Position limits and position accountability for security-based swaps and large trader reporting
§ 78j–3. Compensation committees
§ 78j–4. Recovery of erroneously awarded compensation policy
§ 78k. Trading by members of exchanges, brokers, and dealers
§ 78k–1. National market system for securities; securities information processors
§ 78l. Registration requirements for securities
§ 78l–1. Applications for unlisted trading privileges deemed filed under section 78l of this title
§ 78m. Periodical and other reports
§ 78m–1. Reporting and recordkeeping for certain security-based swaps
§ 78m–2. Reporting requirements regarding coal or other mine safety
§ 78n. Proxies
§ 78n–1. Shareholder approval of executive compensation
§ 78n–2. Corporate governance
§ 78o. Registration and regulation of brokers and dealers
§ 78o–1. Brokers deemed to be registered
§ 78o–2. Liabilities arising prior to amendment unaffected
§ 78o–3. Registered securities associations
§ 78o–4. Municipal securities
§ 78o–4a. Commission Office of Municipal Securities
§ 78o–5. Government securities brokers and dealers
§ 78o–6. Securities analysts and research reports
§ 78o–7. Registration of nationally recognized statistical rating organizations
§ 78o–8. Universal ratings symbols
§ 78o–9. Study and rulemaking on assigned credit ratings
§ 78o–10. Registration and regulation of security-based swap dealers and major security-based swap participants
§ 78o–11. Credit risk retention
§ 78p. Directors, officers, and principal stockholders
§ 78q. Records and reports
§ 78q–1. National system for clearance and settlement of securities transactions
§ 78q–2. Automated quotation systems for penny stocks
§ 78r. Liability for misleading statements
§ 78s. Registration, responsibilities, and oversight of self-regulatory organizations
§ 78t. Liability of controlling persons and persons who aid and abet violations
§ 78t–1. Liability to contemporaneous traders for insider trading
§ 78u. Investigations and actions
§ 78u–1. Civil penalties for insider trading
§ 78u–2. Civil remedies in administrative proceedings
§ 78u–3. Cease-and-desist proceedings
§ 78u–4. Private securities litigation
§ 78u–5. Application of safe harbor for forward-looking statements
§ 78u–6. Securities whistleblower incentives and protection
§ 78u–7. Implementation and transition provisions for whistleblower protection
§ 78v. Hearings by Commission
§ 78w. Rules, regulations, and orders; annual reports
§ 78x. Public availability of information
§ 78y. Court review of orders and rules
§ 78z. Unlawful representations
§ 78aa. Jurisdiction of offenses and suits
§ 78aa–1. Special provision relating to statute of limitations on private causes of action
§ 78bb. Effect on existing law
§ 78cc. Validity of contracts
§ 78dd. Foreign securities exchanges
§ 78dd–1. Prohibited foreign trade practices by issuers
§ 78dd–2. Prohibited foreign trade practices by domestic concerns
§ 78dd–3. Prohibited foreign trade practices by persons other than issuers or domestic concerns
§ 78ee. Transaction fees
§ 78ff. Penalties
§ 78gg. Separability
§ 78hh. Effective date
§ 78hh–1. Effective date of certain sections
§ 78ii. Omitted
§ 78jj. Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259
§ 78kk. Authorization of appropriations
§ 78ll. Requirements for the EDGAR system
§ 78mm. General exemptive authority
§ 78nn. Tennessee Valley Authority
§ 78oo. Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
§ 78pp. Investor Advisory Committee
§ 78qq. Small Business Capital Formation Advisory Committee