Rules & Regulations

(a) Each registered non-bank transfer agent must file Part I of Form TA-Y2K (§249.619 of this chapter) with the Commission describing the transfer agent's preparation ...

(a) Definitions. For purposes of this section: (1) The terms cancelled or cancellation means the process in which a securities certificate: (i) Is physically marked ...

(a) Except as provided in paragraph (c) of this section, no registered transfer agent shall transfer any equity security registered pursuant to section 12 or ...

(a) This section applies to every registered non-bank transfer agent that uses computers in the conduct of its business as a transfer agent. (b)(1) You ...

(a) Definitions. For purposes of this section: (1) Central counterparty means a clearing agency that interposes itself between the counterparties to securities transactions, acting functionally ...

(a) Definitions. As used in this section: (1) The term advance notice means a notice required to be made by a designated clearing agency pursuant ...

1. The following section provides for a temporary exemption from the rule filing requirement for self-regulatory organizations that file proposed rule changes concerning the operation ...

A self-regulatory organization also must refer to Form 19b-7 (17 CFR 249.822) for further requirements with respect to the filing of proposed rule changes. (a) ...

The rules of each national securities exchange shall provide as follows: No rule, stated policy, or practice of this exchange shall prohibit or condition, or ...

The rules of each national securities exchange shall provide as follows: (a) No rule, stated policy or practice of this exchange shall prohibit or condition, ...