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United States Code (Last Updated: May 24, 2014) |
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Title 15. COMMERCE AND TRADE |
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Chapter 2B. SECURITIES EXCHANGES |
| § 78a. Short title |
| § 78b. Necessity for regulation |
| § 78c. Definitions and application |
| § 78c–1. Swap agreements |
| § 78c–2. Securities-related derivatives |
| § 78c–3. Clearing for security-based swaps |
| § 78c–4. Security-based swap execution facilities |
| § 78c–5. Segregation of assets held as collateral in security-based swap transactions |
| § 78d. Securities and Exchange Commission |
| § 78d–1. Delegation of functions by Commission |
| § 78d–2. Transfer of functions with respect to assignment of personnel to chairman |
| § 78d–3. Appearance and practice before the Commission |
| § 78d–4. Additional duties of Inspector General |
| § 78d–5. Deadline for completing enforcement investigations and compliance examinations and inspections |
| § 78d–6. Report and certification of internal supervisory controls |
| § 78d–7. Triennial report on personnel management |
| § 78d–8. Annual financial controls audit |
| § 78d–9. Report on oversight of national securities associations |
| § 78e. Transactions on unregistered exchanges |
| § 78f. National securities exchanges |
| § 78g. Margin requirements |
| § 78h. Restrictions on borrowing and lending by members, brokers, and dealers |
| § 78i. Manipulation of security prices |
| § 78j. Manipulative and deceptive devices |
| § 78j–1. Audit requirements |
| § 78j–2. Position limits and position accountability for security-based swaps and large trader reporting |
| § 78j–3. Compensation committees |
| § 78j–4. Recovery of erroneously awarded compensation policy |
| § 78k. Trading by members of exchanges, brokers, and dealers |
| § 78k–1. National market system for securities; securities information processors |
| § 78l. Registration requirements for securities |
| § 78l–1. Applications for unlisted trading privileges deemed filed under section 78l of this title |
| § 78m. Periodical and other reports |
| § 78m–1. Reporting and recordkeeping for certain security-based swaps |
| § 78m–2. Reporting requirements regarding coal or other mine safety |
| § 78n. Proxies |
| § 78n–1. Shareholder approval of executive compensation |
| § 78n–2. Corporate governance |
| § 78o. Registration and regulation of brokers and dealers |
| § 78o–1. Brokers deemed to be registered |
| § 78o–2. Liabilities arising prior to amendment unaffected |
| § 78o–3. Registered securities associations |
| § 78o–4. Municipal securities |
| § 78o–4a. Commission Office of Municipal Securities |
| § 78o–5. Government securities brokers and dealers |
| § 78o–6. Securities analysts and research reports |
| § 78o–7. Registration of nationally recognized statistical rating organizations |
| § 78o–8. Universal ratings symbols |
| § 78o–9. Study and rulemaking on assigned credit ratings |
| § 78o–10. Registration and regulation of security-based swap dealers and major security-based swap participants |
| § 78o–11. Credit risk retention |
| § 78p. Directors, officers, and principal stockholders |
| § 78q. Records and reports |
| § 78q–1. National system for clearance and settlement of securities transactions |
| § 78q–2. Automated quotation systems for penny stocks |
| § 78r. Liability for misleading statements |
| § 78s. Registration, responsibilities, and oversight of self-regulatory organizations |
| § 78t. Liability of controlling persons and persons who aid and abet violations |
| § 78t–1. Liability to contemporaneous traders for insider trading |
| § 78u. Investigations and actions |
| § 78u–1. Civil penalties for insider trading |
| § 78u–2. Civil remedies in administrative proceedings |
| § 78u–3. Cease-and-desist proceedings |
| § 78u–4. Private securities litigation |
| § 78u–5. Application of safe harbor for forward-looking statements |
| § 78u–6. Securities whistleblower incentives and protection |
| § 78u–7. Implementation and transition provisions for whistleblower protection |
| § 78v. Hearings by Commission |
| § 78w. Rules, regulations, and orders; annual reports |
| § 78x. Public availability of information |
| § 78y. Court review of orders and rules |
| § 78z. Unlawful representations |
| § 78aa. Jurisdiction of offenses and suits |
| § 78aa–1. Special provision relating to statute of limitations on private causes of action |
| § 78bb. Effect on existing law |
| § 78cc. Validity of contracts |
| § 78dd. Foreign securities exchanges |
| § 78dd–1. Prohibited foreign trade practices by issuers |
| § 78dd–2. Prohibited foreign trade practices by domestic concerns |
| § 78dd–3. Prohibited foreign trade practices by persons other than issuers or domestic concerns |
| § 78ee. Transaction fees |
| § 78ff. Penalties |
| § 78gg. Separability |
| § 78hh. Effective date |
| § 78hh–1. Effective date of certain sections |
| § 78ii. Omitted |
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§ 78jj. Repealed. Pub. L. 100–181, title III, § 330, |
| § 78kk. Authorization of appropriations |
| § 78ll. Requirements for the EDGAR system |
| § 78mm. General exemptive authority |
| § 78nn. Tennessee Valley Authority |
| § 78oo. Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks |
| § 78pp. Investor Advisory Committee |