There Is a Newer Version of the U.S. Code
2012 US Code
Title 15 - Commerce and Trade
Chapter 2B - SECURITIES EXCHANGES (§§ 78a - 78pp)
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Metadata
| Publication Title | United States Code, 2012 Edition, 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 78pp |
| Date | 2012 |
| Laws in Effect as of Date | January 15, 2013 |
| Positive Law | No |
| Disposition | standard |
- Table Of Contents
- Section 78a - Short title
- Section 78b - Necessity for regulation
- Section 78c - Definitions and application
- Section 78c-1 - Swap agreements
- Section 78c-2 - Securities-related derivatives
- Section 78c-3 - Clearing for security-based swaps
- Section 78c-4 - Security-based swap execution facilities
- Section 78c-5 - Segregation of assets held as collateral in security-based swap transactions
- Section 78d - Securities and Exchange Commission
- Section 78d-1 - Delegation of functions by Commission
- Section 78d-2 - Transfer of functions with respect to assignment of personnel to chairman
- Section 78d-3 - Appearance and practice before the Commission
- Section 78d-4 - Additional duties of Inspector General
- Section 78d-5 - Deadline for completing enforcement investigations and compliance examinations and inspections
- Section 78d-6 - Report and certification of internal supervisory controls
- Section 78d-7 - Triennial report on personnel management
- Section 78d-8 - Annual financial controls audit
- Section 78d-9 - Report on oversight of national securities associations
- Section 78e - Transactions on unregistered exchanges
- Section 78f - National securities exchanges
- Section 78g - Margin requirements
- Section 78h - Restrictions on borrowing and lending by members, brokers, and dealers
- Section 78i - Manipulation of security prices
- Section 78j - Manipulative and deceptive devices
- Section 78j-1 - Audit requirements
- Section 78j-2 - Position limits and position accountability for security-based swaps and large trader reporting
- Section 78j-3 - Compensation committees
- Section 78j-4 - Recovery of erroneously awarded compensation policy
- Section 78k - Trading by members of exchanges, brokers, and dealers
- Section 78k-1 - National market system for securities; securities information processors
- Section 78l - Registration requirements for securities
- Section 78l-1 - Applications for unlisted trading privileges deemed filed under section 78l of this title
- Section 78m - Periodical and other reports
- Section 78m-1 - Reporting and recordkeeping for certain security-based swaps
- Section 78m-2 - Reporting requirements regarding coal or other mine safety
- Section 78n - Proxies
- Section 78n-1 - Shareholder approval of executive compensation
- Section 78n-2 - Corporate governance
- Section 78o - Registration and regulation of brokers and dealers
- Section 78o-1 - Brokers deemed to be registered
- Section 78o-2 - Liabilities arising prior to amendment unaffected
- Section 78o-3 - Registered securities associations
- Section 78o-4 - Municipal securities
- Section 78o-4a - Commission Office of Municipal Securities
- Section 78o-5 - Government securities brokers and dealers
- Section 78o-6 - Securities analysts and research reports
- Section 78o-7 - Registration of nationally recognized statistical rating organizations
- Section 78o-8 - Universal ratings symbols
- Section 78o-9 - Study and rulemaking on assigned credit ratings
- Section 78o-10 - Registration and regulation of security-based swap dealers and major security-based swap participants
- Section 78o-11 - Credit risk retention
- Section 78p - Directors, officers, and principal stockholders
- Section 78q - Records and reports
- Section 78q-1 - National system for clearance and settlement of securities transactions
- Section 78q-2 - Automated quotation systems for penny stocks
- Section 78r - Liability for misleading statements
- Section 78s - Registration, responsibilities, and oversight of self-regulatory organizations
- Section 78t - Liability of controlling persons and persons who aid and abet violations
- Section 78t-1 - Liability to contemporaneous traders for insider trading
- Section 78u - Investigations and actions
- Section 78u-1 - Civil penalties for insider trading
- Section 78u-2 - Civil remedies in administrative proceedings
- Section 78u-3 - Cease-and-desist proceedings
- Section 78u-4 - Private securities litigation
- Section 78u-5 - Application of safe harbor for forward-looking statements
- Section 78u-6 - Securities whistleblower incentives and protection
- Section 78u-7 - Implementation and transition provisions for whistleblower protection
- Section 78v - Hearings by Commission
- Section 78w - Rules, regulations, and orders; annual reports
- Section 78x - Public availability of information
- Section 78y - Court review of orders and rules
- Section 78z - Unlawful representations
- Section 78aa - Jurisdiction of offenses and suits
- Section 78aa-1 - Special provision relating to statute of limitations on private causes of action
- Section 78bb - Effect on existing law
- Section 78cc - Validity of contracts
- Section 78dd - Foreign securities exchanges
- Section 78dd-1 - Prohibited foreign trade practices by issuers
- Section 78dd-2 - Prohibited foreign trade practices by domestic concerns
- Section 78dd-3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns
- Section 78ee - Transaction fees
- Section 78ff - Penalties
- Section 78gg - Separability
- Section 78hh - Effective date
- Section 78hh-1 - Effective date of certain sections
- Section 78ii - Omitted
- Section 78jj - Repealed. Pub. L. 100-181, title III, §330, Dec. 4, 1987, 101 Stat. 1259
- Section 78kk - Authorization of appropriations
- Section 78ll - Requirements for the EDGAR system
- Section 78mm - General exemptive authority
- Section 78nn - Tennessee Valley Authority
- Section 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- Section 78pp - Investor Advisory Committee
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