Title 15 — Commerce and Trade
Chapter 2B. Securities Exchanges
95 sections
- 78aShort title
- 78bNecessity for regulation
- 78cDefinitions and application
- 78c–1Swap agreements
- 78c–2Securities-related derivatives
- 78c–3Clearing for security-based swaps
- 78c–4Security-based swap execution facilities
- 78c–5Segregation of assets held as collateral in security-based swap transactions
- 78dSecurities and Exchange Commission
- 78d–1Delegation of functions by Commission
- 78d–2Transfer of functions with respect to assignment of personnel to chairman
- 78d–3Appearance and practice before the Commission
- 78d–4Additional duties of Inspector General
- 78d–5Deadline for completing enforcement investigations and compliance examinations and inspections
- 78d–6Report and certification of internal supervisory controls
- 78d–7Triennial report on personnel management
- 78d–8Annual financial controls audit
- 78d–9Report on oversight of national securities associations
- 78eTransactions on unregistered exchanges
- 78fNational securities exchanges
- 78gMargin requirements
- 78hRestrictions on borrowing and lending by members, brokers, and dealers
- 78iManipulation of security prices
- 78jManipulative and deceptive devices
- 78j–1Audit requirements
- 78j–2Position limits and position accountability for security-based swaps and large trader reporting
- 78j–3Compensation committees
- 78j–4Recovery of erroneously awarded compensation policy
- 78kTrading by members of exchanges, brokers, and dealers
- 78k–1National market system for securities; securities information processors
- 78lRegistration requirements for securities
- 78l–1Applications for unlisted trading privileges deemed filed under section 78l of this title
- 78mPeriodical and other reports
- 78m–1Reporting and recordkeeping for certain security-based swaps
- 78m–2Reporting requirements regarding coal or other mine safety
- 78nProxies
- 78n–1Shareholder approval of executive compensation
- 78n–2Corporate governance
- 78oRegistration and regulation of brokers and dealers
- 78o–1Brokers deemed to be registered
- 78o–2Liabilities arising prior to amendment unaffected
- 78o–3Registered securities associations
- 78o–4Municipal securities
- 78o–4aCommission Office of Municipal Securities
- 78o–5Government securities brokers and dealers
- 78o–6Securities analysts and research reports
- 78o–7Registration of nationally recognized statistical rating organizations
- 78o–8Universal ratings symbols
- 78o–9Study and rulemaking on assigned credit ratings
- 78o–10Registration and regulation of security-based swap dealers and major security-based swap participants
- 78o–11Credit risk retention
- 78pDirectors, officers, and principal stockholders
- 78qRecords and reports
- 78q–1National system for clearance and settlement of securities transactions
- 78q–2Automated quotation systems for penny stocks
- 78rLiability for misleading statements
- 78sRegistration, responsibilities, and oversight of self-regulatory organizations
- 78tLiability of controlling persons and persons who aid and abet violations
- 78t–1Liability to contemporaneous traders for insider trading
- 78uInvestigations and actions
- 78u–1Civil penalties for insider trading
- 78u–2Civil remedies in administrative proceedings
- 78u–3Cease-and-desist proceedings
- 78u–4Private securities litigation
- 78u–5Application of safe harbor for forward-looking statements
- 78u–6Securities whistleblower incentives and protection
- 78u–7Implementation and transition provisions for whistleblower protection
- 78vHearings by Commission
- 78wRules, regulations, and orders; annual reports
- 78xPublic availability of information
- 78yCourt review of orders and rules
- 78zUnlawful representations
- 78aaJurisdiction of offenses and suits
- 78aa–1Special provision relating to statute of limitations on private causes of action
- 78bbEffect on existing law
- 78ccValidity of contracts
- 78ddForeign securities exchanges
- 78dd–1Prohibited foreign trade practices by issuers
- 78dd–2Prohibited foreign trade practices by domestic concerns
- 78dd–3Prohibited foreign trade practices by persons other than issuers or domestic concerns
- 78eeTransaction fees
- 78ffPenalties
- 78ggSeparability
- 78hhEffective date
- 78hh–1Effective date of certain sections
- 78iiOmitted
- 78jjRepealed. Pub. L. 100–181, title III, § 330
- 78kkAuthorization of appropriations
- 78llRequirements for the EDGAR system
- 78mmGeneral exemptive authority
- 78nnTennessee Valley Authority
- 78ooFederal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- 78ppInvestor Advisory Committee
- 78qqSmall Business Capital Formation Advisory Committee
- 78rrData standards for security-based swap reporting