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2020 US Code
Title 15 - Commerce and Trade
Chapter 2B - Securities Exchanges
United States Code, 2018 Edition, Supplement 2, Title 15 - COMMERCE AND TRADE |
Bills and Statutes |
United States Code |
Y 1.2/5: |
Title 15 - COMMERCE AND TRADE CHAPTER 2B - SECURITIES EXCHANGES |
sections 78a to 78qq |
2020 |
January 13, 2021 |
No |
standard |
- Table of Contents
- Sec. 78a - Short title
- Sec. 78b - Necessity for regulation
- Sec. 78c - Definitions and application
- Sec. 78c-1 - Swap agreements
- Sec. 78c-2 - Securities-related derivatives
- Sec. 78c-3 - Clearing for security-based swaps
- Sec. 78c-4 - Security-based swap execution facilities
- Sec. 78c-5 - Segregation of assets held as collateral in security-based swap transactions
- 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. 78d-4 - Additional duties of Inspector General
- Sec. 78d-5 - Deadline for completing enforcement investigations and compliance examinations and inspections
- Sec. 78d-6 - Report and certification of internal supervisory controls
- Sec. 78d-7 - Triennial report on personnel management
- Sec. 78d-8 - Annual financial controls audit
- Sec. 78d-9 - Report on oversight of national securities associations
- 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. 78j-2 - Position limits and position accountability for security-based swaps and large trader reporting
- Sec. 78j-3 - Compensation committees
- Sec. 78j-4 - Recovery of erroneously awarded compensation policy
- 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. 78m-1 - Reporting and recordkeeping for certain security-based swaps
- Sec. 78m-2 - Reporting requirements regarding coal or other mine safety
- Sec. 78n - Proxies
- Sec. 78n-1 - Shareholder approval of executive compensation
- Sec. 78n-2 - Corporate governance
- 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-4a - Commission Office of Municipal Securities
- Sec. 78o-5 - Government securities brokers and dealers
- Sec. 78o-6 - Securities analysts and research reports
- Sec. 78o-7 - Registration of nationally recognized statistical rating organizations
- Sec. 78o-8 - Universal ratings symbols
- Sec. 78o-9 - Study and rulemaking on assigned credit ratings
- Sec. 78o-10 - Registration and regulation of security-based swap dealers and major security-based swap participants
- Sec. 78o-11 - Credit risk retention
- 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. 78u-6 - Securities whistleblower incentives and protection
- Sec. 78u-7 - Implementation and transition provisions for whistleblower protection
- 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
- Sec. 78nn - Tennessee Valley Authority
- Sec. 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- Sec. 78pp - Investor Advisory Committee
- Sec. 78qq - Small Business Capital Formation Advisory Committee
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