Rules & Regulations

(a) Debt securities that are listed for trading on a national securities exchange shall be exempt from the restrictions on borrowing of section 8(a) of ...

Asset-backed securities, as defined in §229.1101 of this chapter, are exempt from section 16 of the Act. Regulatory History 70 FR 1620, Jan. 7, 2005 ...

The term financial responsibility rules for purposes of the Securities Investor Protection Act of 1970 shall include: (a) Any rule adopted by the Commission pursuant ...

(a) A person registered with the Commodity Futures Trading Commission (“CFTC”), a contract market designated by the CFTC, such a contract market's affiliated clearing organization, ...

For purposes of section 3(a)(51) of the Act, the term “penny stock” shall mean any equity security other than a security: (a) That is an ...

(a) Market capitalization. For purposes of Section 3(a)(55)(C)(i)(III)(bb) of the Act: (1) On a particular day, a security shall be 1 of 750 securities with ...

(a) An index on which a contract of sale for future delivery is trading on a designated contract market, registered derivatives transaction execution facility, or ...

When a contract of sale for future delivery on a security index is traded on or subject to the rules of a foreign board of ...

(a) An index is not a narrow-based security index if: (1)(i) Each of the securities of an issuer included in the index is a security, ...

(a) General. Major security-based swap participant means any person: (1) That is not a security-based swap dealer; and (2)(i) That maintains a substantial position in ...