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240 — SECURITIES EXCHANGE ACT OF 1934 RULES A — Rules and Regulations Under the Securities Exchange Act of 1934
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240.0 — Rules of General Application240.3a11 — Definition of “Equity Security” as Used in Sections 12(g) and 16240.3a12 — Miscellaneous Exemptions240.3a67 — Security-Based Swap Dealer and Participant Definitions240.3a68 — Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping240.3b — Definitions240.3Ca — Clearing of Security-Based Swaps240.6a — Registration and Exemption of Exchanges240.8c — Hypothecation of Customers' Securities240.9j — Manipulative and Deceptive Devices and Contrivances240.10A — Reports Under Section 10A240.10C — Requirements Under Section 10C240.10D — Requirements Under Section 10D240.11a — Adoption of Floor Trading Regulation (Rule 11a-1)240.11b — Adoption of Regulation on Conduct of Specialists240.11d1 — Exemption of Certain Securities From Section 11(d)(1)240.12a — Securities Exempted From Registration240.12a — Regulation 12B: Registration and Reporting240.12b — General240.12b — Formal Requirements240.12b — General Requirements as to Contents240.12b — Exhibits240.12b — Special Provisions240.12d1 — Certification by Exchanges and Effectiveness of Registration240.12d2 — Suspension of Trading, Withdrawal, and Striking From Listing and Registration240.12f — Unlisted Trading240.12g — Extensions and Temporary Exemptions; Definitions240.13a — Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12240.13a — Other Reports240.13b2 — Regulation 13b-2: Maintenance of Records and Preparation of Required Reports240.13d — Regulation 13D-G240.13n — Regulation SBSR240.14a — Regulation 14A: Solicitation of Proxies240.14c — Regulation 14C: Distribution of Information Pursuant to Section 14(c)240.14d — Regulation 14D240.14e — Regulation 14E240.14n — Regulation 14N: Filings Required by Certain Nominating Shareholders240.15a — Exemption of Certain OTC Derivatives Dealers240.15a — Exemption of Certain Securities From Section 15(a)240.15a — Registration of Brokers and Dealers240.15c1 — Rules Relating to Over-the-Counter Markets240.15d — Regulation 15D: Reports of Registrants Under the Securities Act of 1933 Annual Reports240.15d — Other Reports240.15d — Exemption of Certain Issuers From Section 15(d) of the Act240.15Aa — National and Affiliated Securities Associations240.15Ca1 — Registration of Government Securities Brokers and Government Securities Dealers240.15Fb — Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants240.15l-1 — Regulation Best Interest240.16a — Reports of Directors, Officers, and Principal Shareholders240.16b — Exemption of Certain Transactions From Section 16(b)240.16c — Exemption of Certain Transactions From Section 16(c)240.16e — Arbitrage Transactions240.17a — Preservation of Records and Reports of Certain Stabilizing Activities240.17g — Nationally Recognized Statistical Rating Organizations240.17A240.18a — Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants240.19a3 — Suspension and Expulsion of Exchange Members240.21F — Securities Whistleblower Incentives and Protections240.24b — Inspection and Publication of Information Filed Under the Act
240.0 — Rules of General Application240.3a11 — Definition of “Equity Security” as Used in Sections 12(g) and 16240.3a12 — Miscellaneous Exemptions240.3a67 — Security-Based Swap Dealer and Participant Definitions240.3a68 — Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping240.3b — Definitions240.3Ca — Clearing of Security-Based Swaps240.6a — Registration and Exemption of Exchanges240.8c — Hypothecation of Customers' Securities240.9j — Manipulative and Deceptive Devices and Contrivances240.10A — Reports Under Section 10A240.10C — Requirements Under Section 10C240.10D — Requirements Under Section 10D240.11a — Adoption of Floor Trading Regulation (Rule 11a-1)240.11b — Adoption of Regulation on Conduct of Specialists240.11d1 — Exemption of Certain Securities From Section 11(d)(1)240.12a — Securities Exempted From Registration240.12a — Regulation 12B: Registration and Reporting240.12b — General240.12b — Formal Requirements240.12b — General Requirements as to Contents240.12b — Exhibits240.12b — Special Provisions240.12d1 — Certification by Exchanges and Effectiveness of Registration240.12d2 — Suspension of Trading, Withdrawal, and Striking From Listing and Registration240.12f — Unlisted Trading240.12g — Extensions and Temporary Exemptions; Definitions240.13a — Regulation 13A: Reports of Issuers of Securities Registered Pursuant to Section 12240.13a — Other Reports240.13b2 — Regulation 13b-2: Maintenance of Records and Preparation of Required Reports240.13d — Regulation 13D-G240.13n — Regulation SBSR240.14a — Regulation 14A: Solicitation of Proxies240.14c — Regulation 14C: Distribution of Information Pursuant to Section 14(c)240.14d — Regulation 14D240.14e — Regulation 14E240.14n — Regulation 14N: Filings Required by Certain Nominating Shareholders240.15a — Exemption of Certain OTC Derivatives Dealers240.15a — Exemption of Certain Securities From Section 15(a)240.15a — Registration of Brokers and Dealers240.15c1 — Rules Relating to Over-the-Counter Markets240.15d — Regulation 15D: Reports of Registrants Under the Securities Act of 1933 Annual Reports240.15d — Other Reports240.15d — Exemption of Certain Issuers From Section 15(d) of the Act240.15Aa — National and Affiliated Securities Associations240.15Ca1 — Registration of Government Securities Brokers and Government Securities Dealers240.15Fb — Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants240.15l-1 — Regulation Best Interest240.16a — Reports of Directors, Officers, and Principal Shareholders240.16b — Exemption of Certain Transactions From Section 16(b)240.16c — Exemption of Certain Transactions From Section 16(c)240.16e — Arbitrage Transactions240.17a — Preservation of Records and Reports of Certain Stabilizing Activities240.17g — Nationally Recognized Statistical Rating Organizations240.17A240.18a — Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants240.19a3 — Suspension and Expulsion of Exchange Members240.21F — Securities Whistleblower Incentives and Protections240.24b — Inspection and Publication of Information Filed Under the Act