Home Rules & Regulations
Rules & Regulations
Pursuant to section 3C(a)(1) of the Act (15 U.S.C. 78c-3(a)(1)), it shall be unlawful for any person to engage in a security-based swap unless that ...
(a) An application for registration as a national securities exchange, or for exemption from such registration based on limited volume, shall be filed on Form ...
(a) A national securities exchange, or an exchange exempted from such registration based on limited volume, shall file an amendment to Form 1, (§249.1 of ...
(a)(1) A national securities exchange, or an exchange exempted from such registration based on limited volume, shall file with the Commission any material (including notices, ...
(a) Notice of registration. (1) An exchange may register as a national securities exchange solely for the purposes of trading security futures products by filing ...
(a) For the purposes of this section: (1) Opening price means the price at which a security opened for trading, or a price that fairly ...
A security future may be based upon a security that is a note, bond, debenture, or evidence of indebtedness or a narrow-based security index composed ...
(a) General provisions. No member of a national securities exchange, and no broker or dealer who transacts a business in securities through the medium of ...
(a) Definitions. The following definitions shall apply for the purpose of this rule. (1) Options market means a national securities exchange, an automated quotation system ...
The term manipulative or deceptive device or contrivance, as used in section 10(b) (48 Stat. 891; 15 U.S.C. 78j(b)), is hereby defined to include any ...