US Code

Tag: Securities Exchanges

  • 15-U.S.C.-78S

    15-U.S.C.-78S §78S – Registration, Responsibilities, and Oversight of Self-Regulatory Organizations Pathway Title 15 > Chapter 2B > Section 78s Details Reference: Section 78s Legend: §78S – Registration, Responsibilities, and Oversight of Self-Regulatory Organizations USCode Year: 2013 Provision Content (a) Registration procedures; notice of filing; other regulatory agencies (1) The Commission shall, upon the filing of an application for registration…

  • 15-U.S.C.-78CCC

    15-U.S.C.-78CCC §78Ccc – Securities Investor Protection Corporation Pathway Title 15 > Chapter 2B > Section 78ccc Details Reference: Section 78ccc Legend: §78Ccc – Securities Investor Protection Corporation USCode Year: 2013 Provision Content (a) Creation and membership (1) Creation There is hereby established a body corporate to be known as the Securities Investor Protection Corporation (hereafter in this chapter referred…

  • 15-U.S.C.-78J-3

    15-U.S.C.-78J-3 §78J-3 – §78J-3. Compensation Committees Pathway Title 15 > Chapter 2B > Section 78j-3 Details Reference: Section 78j-3 Legend: §78J-3 – §78J-3. Compensation Committees USCode Year: 2013 Provision Content (a) Independence of compensation committees (1) Listing standards The Commission shall, by rule, direct the national securities exchanges and national securities associations to prohibit the listing of any equity…

  • 15-U.S.C.-78CCC

    15-U.S.C.-78CCC §78Ccc – Securities Investor Protection Corporation Pathway Title 15 > Chapter 2B > Section 78ccc Details Reference: Section 78ccc Legend: §78Ccc – Securities Investor Protection Corporation USCode Year: 2013 Provision Content (a) Creation and membership (1) Creation There is hereby established a body corporate to be known as the Securities Investor Protection Corporation (hereafter in this chapter referred…

  • 15-U.S.C.-78J-3

    15-U.S.C.-78J-3 §78J-3 – §78J-3. Compensation Committees Pathway Title 15 > Chapter 2B > Section 78j-3 Details Reference: Section 78j-3 Legend: §78J-3 – §78J-3. Compensation Committees USCode Year: 2013 Provision Content (a) Independence of compensation committees (1) Listing standards The Commission shall, by rule, direct the national securities exchanges and national securities associations to prohibit the listing of any equity…

  • 15-U.S.C.-78J-1

    15-U.S.C.-78J-1 §78J-1 – §78J-1. Audit Requirements Pathway Title 15 > Chapter 2B > Section 78j-1 Details Reference: Section 78j-1 Legend: §78J-1 – §78J-1. Audit Requirements USCode Year: 2013 Provision Content (a) In general Each audit required pursuant to this chapter of the financial statements of an issuer by a registered public accounting firm shall include, in accordance with generally…

  • 15-U.S.C.-78FFF-3

    15-U.S.C.-78FFF-3 §78Fff-3 – §78Fff-3. Sipc Advances Pathway Title 15 > Chapter 2B > Section 78fff-3 Details Reference: Section 78fff-3 Legend: §78Fff-3 – §78Fff-3. Sipc Advances USCode Year: 2013 Provision Content (a) Advances for customers’ claims In order to provide for prompt payment and satisfaction of net equity claims of customers of the debtor, SIPC shall advance to the trustee…

  • 15-U.S.C.-78FFF-3

    15-U.S.C.-78FFF-3 §78Fff-3 – §78Fff-3. Sipc Advances Pathway Title 15 > Chapter 2B > Section 78fff-3 Details Reference: Section 78fff-3 Legend: §78Fff-3 – §78Fff-3. Sipc Advances USCode Year: 2013 Provision Content (a) Advances for customers’ claims In order to provide for prompt payment and satisfaction of net equity claims of customers of the debtor, SIPC shall advance to the trustee…

  • 15-U.S.C.-78J

    15-U.S.C.-78J §78J – Manipulative and Deceptive Devices Pathway Title 15 > Chapter 2B > Section 78j Details Reference: Section 78j Legend: §78J – Manipulative and Deceptive Devices USCode Year: 2013 Provision Content It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of…

  • 15-U.S.C.-78J-2

    15-U.S.C.-78J-2 §78J-2 – §78J-2. Position Limits and Position Accountability For Security-Based Swaps and Large Trader Reporting Pathway Title 15 > Chapter 2B > Section 78j-2 Details Reference: Section 78j-2 Legend: §78J-2 – §78J-2. Position Limits and Position Accountability For Security-Based Swaps and Large Trader Reporting USCode Year: 2013 Provision Content (a) Position limits As a means reasonably designed to…