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2015 US Code
Title 15 - Commerce and Trade (Sections 1 - 8405)
Chapter 2B - Securities Exchanges (Sections 78a - 78pp)
Table of Contents
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| Publication Title | United States Code, 2012 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 - Table Of Contents |
| Date | 2015 |
| Laws In Effect As Of Date | January 3, 2016 |
| Positive Law | No |
| Disposition | standard |
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| Sec. | |
| 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, 78jj. | Omitted or Repealed. |
| 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. |
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