US Code

Tag: Securities Exchanges

  • 15-U.S.C.-78C-1

    15-U.S.C.-78C-1 §78C-1 – §78C-1. Swap Agreements Pathway Title 15 > Chapter 2B > Section 78c-1 Details Reference: Section 78c-1 Legend: §78C-1 – §78C-1. Swap Agreements USCode Year: 2013 Provision Content (a) [Reserved] (b) Security-based swap agreements (1) The definition of security in section 78c(a)(10) of this title does not include any security-based swap agreement. (2) The Commission is prohibited…

  • 15-U.S.C.-78O-3

    15-U.S.C.-78O-3 §78O-3 – §78O-3. Registered Securities Associations Pathway Title 15 > Chapter 2B > Section 78o-3 Details Reference: Section 78o-3 Legend: §78O-3 – §78O-3. Registered Securities Associations USCode Year: 2013 Provision Content (a) Registration; application An association of brokers and dealers may be registered as a national securities association pursuant to subsection (b) of this section, or as an…

  • 15-U.S.C.-78K-1

    15-U.S.C.-78K-1 §78K-1 – §78K-1. National Market System For Securities; Securities Information Processors Pathway Title 15 > Chapter 2B > Section 78k-1 Details Reference: Section 78k-1 Legend: §78K-1 – §78K-1. National Market System For Securities; Securities Information Processors USCode Year: 2013 Provision Content (a) Congressional findings; facilitating establishment of national market system for securities; designation of qualified securities (1) The…

  • 15-U.S.C.-78LLL

    15-U.S.C.-78LLL §78Lll – §78Lll. Definitions Pathway Title 15 > Chapter 2B > Section 78lll Details Reference: Section 78lll Legend: §78Lll – §78Lll. Definitions USCode Year: 2013 Provision Content For purposes of this chapter, including the application of the Bankruptcy Act to a liquidation proceeding: (1) Commission The term Commission means the Securities and Exchange Commission. (2) Customer (A) In…

  • 15-U.S.C.-78DD-3

    15-U.S.C.-78DD-3 §78Dd-3 – §78Dd-3. Prohibited Foreign Trade Practices By Persons Other Than Issuers Or Domestic Concerns Pathway Title 15 > Chapter 2B > Section 78dd-3 Details Reference: Section 78dd-3 Legend: §78Dd-3 – §78Dd-3. Prohibited Foreign Trade Practices By Persons Other Than Issuers Or Domestic Concerns USCode Year: 2013 Provision Content (a) Prohibition It shall be unlawful for any person…

  • 15-U.S.C.-78M-1

    15-U.S.C.-78M-1 §78M-1 – §78M-1. Reporting and Recordkeeping For Certain Security-Based Swaps Pathway Title 15 > Chapter 2B > Section 78m-1 Details Reference: Section 78m-1 Legend: §78M-1 – §78M-1. Reporting and Recordkeeping For Certain Security-Based Swaps USCode Year: 2013 Provision Content (a) Required reporting of security-based swaps not accepted by any clearing agency or derivatives clearing organization (1) In general…

  • 15-U.S.C.-78D-6

    15-U.S.C.-78D-6 §78D-6 – §78D-6. Report and Certification of Internal Supervisory Controls Pathway Title 15 > Chapter 2B > Section 78d-6 Details Reference: Section 78d-6 Legend: §78D-6 – §78D-6. Report and Certification of Internal Supervisory Controls USCode Year: 2013 Provision Content (a) Annual reports and certification Not later than 90 days after the end of each fiscal year, the Commission…

  • 15-U.S.C.-78D-3

    15-U.S.C.-78D-3 §78D-3 – §78D-3. Appearance and Practice Before The Commission Pathway Title 15 > Chapter 2B > Section 78d-3 Details Reference: Section 78d-3 Legend: §78D-3 – §78D-3. Appearance and Practice Before The Commission USCode Year: 2013 Provision Content (a) Authority to censure The Commission may censure any person, or deny, temporarily or permanently, to any person the privilege of…

  • 15-U.S.C.-78U-6

    15-U.S.C.-78U-6 §78U-6 – §78U-6. Securities Whistleblower Incentives and Protection Pathway Title 15 > Chapter 2B > Section 78u-6 Details Reference: Section 78u-6 Legend: §78U-6 – §78U-6. Securities Whistleblower Incentives and Protection USCode Year: 2013 Provision Content (a) Definitions In this section the following definitions shall apply: (1) Covered judicial or administrative action The term covered judicial or administrative action…

  • 15-U.S.C.-78O-5

    15-U.S.C.-78O-5 §78O-5 – §78O-5. Government Securities Brokers and Dealers Pathway Title 15 > Chapter 2B > Section 78o-5 Details Reference: Section 78o-5 Legend: §78O-5 – §78O-5. Government Securities Brokers and Dealers USCode Year: 2013 Provision Content (a) Registration requirements; notice to regulatory agencies; manner of registration; exemption from registration requirements (1)(A) It shall be unlawful for any government securities…