CFR Title 17 Pt 241-End ; Code Of Federal Regulations(2021)

17 CFR, Pts. 241-end, includes rules, regulations, procedures and administrative procedures associated with TITLE 17—Commodity and Securities Exchanges, CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED).

241

INTERPRETATIVE RELEASES RELATING TO THE SECURITIES EXCHANGE ACT OF 1934 AND GENERAL RULES AND REGULATIONS THEREUNDER

242

242.100 to 242.1007

REGULATIONS M, SHO, ATS, AC, NMS, AND SBSR AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

243

243.100 to 243.103

REGULATION FD

244

244.100 to 244.102

REGULATION G

245

245.100 to 245.104

REGULATION BLACKOUT TRADING RESTRICTION

246

246.1 to 246.22

CREDIT RISK RETENTION

247

247.100 to 247.781

REGULATION R—EXEMPTIONS AND DEFINITIONS RELATED TO THE EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER

248

248.1 to 248.202

REGULATIONS S-P, S-AM, AND S-ID

249

249.0-1 to 249.2000

FORMS, SECURITIES EXCHANGE ACT OF 1934

249a

[RESERVED]

249b

249b.1-249b.99 to 249b.400

FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934

250

250.1

CROSS-BORDER ANTIFRAUD LAW-ENFORCEMENT AUTHORITY

251-254

[RESERVED]

255

255.1 to 255.21

PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS

256-259

[RESERVED]

260

260.0-1 to 260.19a-1

GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939

261

INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER

269

269.0-1 to 269.10

FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939

270

270.0-1 to 270.60a-1

RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

271

INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT COMPANY ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

274

274.0-1 to 274.404

FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

275

275.0-2 to 275.222-2

RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940

276

INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

279

279.0-1 to 279.9

FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940

281

INTERPRETATIVE RELEASES RELATING TO CORPORATE REORGANIZATIONS UNDER CHAPTER X OF THE BANKRUPTCY ACT

285

285.1 to 285.4

RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT

286

286.1 to 286.4

GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE INTER-AMERICAN DEVELOPMENT BANK ACT

287

287.1 to 287.101

GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT

288

288.1 to 288.101

GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE AFRICAN DEVELOPMENT BANK ACT

289

289.1 to 289.101

GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 13(a) OF THE INTERNATIONAL FINANCE CORPORATION ACT

290

290.1 to 290.101

GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 9(a) OF THE EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ACT

300

300.100 to 300.600

RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION

301

301.0-1 to 301.300c

FORMS, SECURITIES INVESTOR PROTECTION CORPORATION

302

302.100 to 302.107

ORDERLY LIQUIDATION OF COVERED BROKERS OR DEALERS

301-399

[RESERVED]

CHAPTER IV—DEPARTMENT OF THE TREASURY

SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

400

400.1 to 400.6

RULES OF GENERAL APPLICATION

401

401.1 to 401.7

EXEMPTIONS

402

402.1 to 402.2d

FINANCIAL RESPONSIBILITY

403

403.1 to 403.7

PROTECTION OF CUSTOMER SECURITIES AND BALANCES

404

404.1 to 404.5

RECORDKEEPING AND PRESERVATION OF RECORDS

405

405.1 to 405.5

REPORTS AND AUDIT

420

420.1 to 420.5

LARGE POSITION REPORTING

449

449.1 to 449.5

FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

SUBCHAPTER B—REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986

450

450.1 to 450.5

CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS

451-499

[RESERVED]

Lawyers, law librarians and law students should be familiar with the Code of Federal Regulations. Law libraries and some academic libraries should have a copy of this publication for their patrons. In addition, members of government and policymakers, members of Congress, tax preparers, investment counselors and brokers, social activists, political consultants, media writers and producers, university instructors and professors, political scientists, and taxpayers.