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2003 US Code
Title 15 - COMMERCE AND TRADE
CHAPTER 2B - SECURITIES EXCHANGES
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Publication Title | United States Code, 2000 Edition, Supplement 3, Title 15 - COMMERCE AND TRADE |
Category | Bills and Statutes |
Collection | United States Code |
SuDoc Class Number | Y 1.2/5: |
Contained Within | Title 15 - COMMERCE AND TRADE CHAPTER 2B - SECURITIES EXCHANGES |
Contains | sections 78a to 78mm |
Date | 2003 |
Laws in Effect as of Date | January 19, 2004 |
Positive Law | No |
Disposition | standard |
- Sec. 78a - Short title
- Sec. 78b - Necessity for regulation
- Sec. 78c - Definitions and application
- Sec. 78c-1 - Swap agreements
- Sec. 78d - Securities and Exchange Commission
- Sec. 78d-1 - Delegation of functions by Commission
- Sec. 78d-2 - Transfer of functions with respect to assignment of personnel to chairman
- Sec. 78d-3 - Appearance and practice before the Commission
- Sec. 78e - Transactions on unregistered exchanges
- Sec. 78f - National securities exchanges
- Sec. 78g - Margin requirements
- Sec. 78h - Restrictions on borrowing and lending by members, brokers, and dealers
- Sec. 78i - Manipulation of security prices
- Sec. 78j - Manipulative and deceptive devices
- Sec. 78j-1 - Audit requirements
- Sec. 78k - Trading by members of exchanges, brokers, and dealers
- Sec. 78k-1 - National market system for securities; securities information processors
- Sec. 78l - Registration requirements for securities
- Sec. 78l-1 - Applications for unlisted trading privileges deemed filed under section 78l of this title
- Sec. 78m - Periodical and other reports
- Sec. 78n - Proxies
- Sec. 78o - Registration and regulation of brokers and dealers
- Sec. 78o-1 - Brokers deemed to be registered
- Sec. 78o-2 - Liabilities arising prior to amendment unaffected
- Sec. 78o-3 - Registered securities associations
- Sec. 78o-4 - Municipal securities
- Sec. 78o-5 - Government securities brokers and dealers
- Sec. 78o-6 - Securities analysts and research reports
- Sec. 78p - Directors, officers, and principal stockholders
- Sec. 78q - Records and reports
- Sec. 78q-1 - National system for clearance and settlement of securities transactions
- Sec. 78q-2 - Automated quotation systems for penny stocks
- Sec. 78r - Liability for misleading statements
- Sec. 78s - Registration, responsibilities, and oversight of self-regulatory organizations
- Sec. 78t - Liability of controlling persons and persons who aid and abet violations
- Sec. 78t-1 - Liability to contemporaneous traders for insider trading
- Sec. 78u - Investigations and actions
- Sec. 78u-1 - Civil penalties for insider trading
- Sec. 78u-2 - Civil remedies in administrative proceedings
- Sec. 78u-3 - Cease-and-desist proceedings
- Sec. 78u-4 - Private securities litigation
- Sec. 78u-5 - Application of safe harbor for forward-looking statements
- Sec. 78v - Hearings by Commission
- Sec. 78w - Rules, regulations, and orders; annual reports
- Sec. 78x - Public availability of information
- Sec. 78y - Court review of orders and rules
- Sec. 78z - Unlawful representations
- Sec. 78aa - Jurisdiction of offenses and suits
- Sec. 78aa-1 - Special provision relating to statute of limitations on private causes of action
- Sec. 78bb - Effect on existing law
- Sec. 78cc - Validity of contracts
- Sec. 78dd - Foreign securities exchanges
- Sec. 78dd-1 - Prohibited foreign trade practices by issuers
- Sec. 78dd-2 - Prohibited foreign trade practices by domestic concerns
- Sec. 78dd-3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns
- Sec. 78ee - Transaction fees
- Sec. 78ff - Penalties
- Sec. 78gg - Separability
- Sec. 78hh - Effective date
- Sec. 78hh-1 - Effective date of certain sections
- Sec. 78ii - Omitted
- Sec. 78jj - Repealed. Pub. L. 100-181, title III, ยง330, Dec. 4, 1987, 101 Stat. 1259
- Sec. 78kk - Authorization of appropriations
- Sec. 78ll - Requirements for the EDGAR system
- Sec. 78mm - General exemptive authority
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