Rules & Regulations

(a)(1) If any issuer with a reporting obligation under the Act receives a report requiring a notice to the Commission in accordance with section 10A(b)(3) ...

It shall be unlawful for an auditor not to be independent under §210.2-01(c)(2)(iii)(B), (c)(4), (c)(6), (c)(7), and §210.2-07. Regulatory History 68 FR 6048, Feb. 5, ...

(a) Pursuant to section 10A(m) of the Act (15 U.S.C. 78j-1(m)) and section 3 of the Sarbanes-Oxley Act of 2002 (15 U.S.C. 7202): (1) National ...

(a) Pursuant to section 10C(a) of the Act (15 U.S.C. 78j-3(a)) and section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of ...

(a) No member of a national securities exchange, while on the floor of such exchange, shall initiate, directly or indirectly, any transaction in any security ...

(a) A transaction effected on a national securities exchange for the account of a member which meets the requirements of section 11(a)(1)(G)(i) of the Act ...

A transaction effected by a member of a national securities exchange for the account of an associated person thereof shall be deemed to be of ...

A bona fide hedge transaction effected on a national securities exchange by a member for its own account or an account of an associated person ...

A transaction in a bond, note, debenture, or other form of indebtedness effected on a national securities exchange by a member for its own account ...

Any transaction by a New York Stock Exchange registered competitive market maker or an American Stock Exchange registered equity market maker effected in compliance with ...