Rules & Regulations

(a) If you are eligible to receive an award following a Commission action that results in monetary sanctions totaling more than $1,000,000, you also may ...

(a) The following items constitute the materials that the Commission and the Claims Review Staff may rely upon to make an award determination pursuant to ...

(a) Section 21F of the Exchange Act (15 U.S.C. 78u-6) commits determinations of whether, to whom, and in what amount to make awards to the ...

(a) Any award made pursuant to these rules will be paid from the Securities and Exchange Commission Investor Protection Fund (the “Fund”). (b) A recipient ...

In determining whether the required $1,000,000 threshold has been satisfied (this threshold is further explained in §240.21F-10 of this chapter) for purposes of making any ...

(a) No person may take any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including ...

Upon action of the Commission granting an exchange's application for registration or exemption, the exchange shall make available to public inspection at its offices during ...

(a) Except as otherwise provided in this section and in §240.17a-6, each exchange shall keep available to the public under reasonable regulations as to the ...

(a) For purposes of this section, the term “nonpublic information” means records, as defined in Section 24(a) of the Act, and other information in the ...

(a) Definitions. For the purpose of this section, the following definitions shall apply: (1) Assessment charge means the amount owed by a covered SRO for ...