Statute Compilations

short title

necessity for regulation as provided in this title

SECURITIES-RELATED DERIVATIVES

SEGREGATION OF ASSETS HELD AS COLLATERAL IN SECURITY-BASED SWAP TRANSACTIONS

CLEARING FOR SECURITY-BASED SWAPS

definitions and application of title

SWAP AGREEMENTS

SECURITY-BASED SWAP EXECUTION FACILITIES

delegation of functions by commission

transfer of functions with respect to assignment of personnel to chairman

securities and exchange commission

APPEARANCE AND PRACTICE BEFORE THE COMMISSION

ADDITIONAL DUTIES OF INSPECTOR GENERAL

DEADLINE FOR COMPLETING ENFORCEMENT INVESTIGATIONS AND COMPLIANCE EXAMINATIONS AND INSPECTIONS

transactions on unregistered exchanges

national securities exchanges

margin requirements

restrictions on borrowing by members, brokers, and dealers

prohibition against manipulation of security prices

COMPENSATION COMMITTEES

AUDIT REQUIREMENTS

POSITION LIMITS AND POSITION ACCOUNTABILITY FOR SECURITY-BASED SWAPS AND LARGE TRADER REPORTING

RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION POLICY

regulation of the use of manipulative and deceptive devices

national market system for securities; securities information processors

trading by members of exchanges, brokers, and dealers

registration requirements for securities

periodical and other reports

REPORTING AND RECORDKEEPING FOR CERTAIN SECURITY-BASED SWAPS

proxies

CORPORATE GOVERNANCE

SHAREHOLDER APPROVAL OF EXECUTIVE COMPENSATION

municipal securities

CREDIT RISK RETENTION

REGISTRATION OF NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS

SECURITIES ANALYSTS AND RESEARCH REPORTS

REGISTRATION AND REGULATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS

government securities brokers and dealers,

registered securities associations

registration and regulation of brokers and dealers

DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS

AUTOMATED QUOTATION SYSTEMS FOR PENNY STOCKS

accounts and records, examinations of exchanges, members, and others

national system for clearance and settlement of securities transactions

liability for misleading statements

registration, responsibilities, and oversight of self-regulatory organizations

liability of controlling persons and persons who aid and abet violations

liability to contemporaneous traders for insider trading

APPLICATION OF SAFE HARBOR FOR FORWARD-LOOKING STATEMENTS

investigations; injunctions and prosecution of offenses

CEASE-AND-DESIST PROCEEDINGS

civil penalties for insider trading

SECURITIES WHISTLEBLOWER INCENTIVES AND PROTECTION

PRIVATE SECURITIES LITIGATION

CIVIL REMEDIES IN ADMINISTRATIVE PROCEEDINGS

hearings by commission

rules, regulations, and orders; annual reports

public availability of information

court review of orders and rules

unlawful representations

special provision relating to statute of limitations on private causes of action

jurisdiction of offenses and suits

effect on existing law

validity of contracts

prohibited foreign trade practices by issuers

foreign securities exchanges

TRANSACTION FEES

**[**78ff**]**

separability of provisions

effective date

requirements for the edgar system

AUTHORIZATION OF APPROPRIATIONS

GENERAL EXEMPTIVE AUTHORITY

TENNESSEE VALLEY AUTHORITY

FEDERAL NATIONAL MORTGAGE ASSOCIATION, FEDERAL HOME LOAN MORTGAGE CORPORATION, FEDERAL HOME LOAN BANKS

INVESTOR ADVISORY COMMITTEE

SMALL BUSINESS CAPITAL FORMATION ADVISORY COMMITTEE

DATA STANDARDS FOR SECURITY-BASED SWAP REPORTING