US Code - Chapter 2B: Securities exchanges

Search US Code - Chapter 2B: Securities exchanges

• Section 78A Short title
• Section 78B Necessity for regulation
• Section 78C Definitions and application
• Section 78C-1 Swap agreements
• 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 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 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 78N Proxies
• 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-5 Government securities brokers and dealers
• Section 78O-6 Securities analysts and research reports
• 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 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, Sec. 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