Rules & Regulations

Establishing or increasing a put equivalent position shall be exempt from section 16(c) of the Act, so long as the amount of securities underlying the ...

It shall be unlawful for any director or officer of an issuer of an equity security which is registered pursuant to section 12 of the ...

(a) Every national securities exchange, national securities association, registered clearing agency and the Municipal Securities Rulemaking Board shall keep and preserve at least one copy ...

(a) Scope of section. This section shall apply to any person who effects any purchase of a security subject to §242.104 of this chapter for ...

(a) Every member of a national securities exchange who transacts a business in securities directly with others than members of a national securities exchange, and ...

(a) Every member, broker and dealer subject to §240.17a-3 shall preserve for a period of not less than six years, the first two years in ...

(a) Filing of monthly and quarterly reports. (1) This paragraph (a) shall apply to every broker or dealer registered pursuant to section 15 of the ...

(a) Any document kept by or on file with a national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board ...

(a)(1) Except as provided in paragraphs (b) and (c) of this section, each non-resident broker or dealer registered or applying for registration pursuant to section ...

Every registered broker or dealer who is subject to the requirements of the Currency and Foreign Transactions Reporting Act of 1970 shall comply with the ...