CFR Title 17 Commodity and Securities Exchanges Parts 200 to 239 Revised as of April 1, 2017

MD17 200-239

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ISBN: 978-1-68388-030-1 (9781683880301)

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CFR Title 17|Code of Federal Regulations  Title 17 Commodity and Securities Exchanges Parts 200 to 239 Revised as of April 1, 2017

Title 17—COMMODITY AND SECURITIES EXCHANGES is composed of four volumes. The first two volumes containing parts 1—40, and 41—199 comprise Chapter I— Commodity Futures Trading Commission. The third volume contains Chapter II— Securities and Exchange Commission, parts 200—239. The fourth volume, comprising part 240 to end, contains the remaining regulations of the Securities and Exchange Commission, and Chapter IV—Department of the Treasury. The contents of these volumes represent all current regulations issued by the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Department of the Treasury as of April 1, 2017.

The OMB control numbers for the Securities and Exchange Commission appear in § 200.800 of chapter II. For the convenience of the user, § 200.800 is reprinted in the Finding Aids section of the volume containing part 240 to end.

For this volume, Ann Worley was Chief Editor. The Code of Federal Regulations publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

Table of Contents

Page
Explanation ................................................................................................ v
Title 17:
Chapter II—Securities and Exchange Commission .......................... 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 869
Alphabetical List of Agencies Appearing in the CFR ......................... 889
List of CFR Sections Affected ............................................................. 899

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
Part Page
200 Organization; conduct and ethics; and information and requests ......................................................... 5
201 Rules of practice ..................................................... 127
202 Informal and other procedures ................................ 196
203 Rules relating to investigations .............................. 215
204 Rules relating to debt collection ............................ 217
205 Standards of professional conduct for attorneys appearing and practicing before the Commission in the representation of an issuer ............................ 234
209 Forms prescribed under the Commission’s rules of practice ................................................................ 240
210 Form and content of and requirements for financial statements, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975 ............. 241
211 Interpretations relating to financial reporting matters ................................................................. 347
228 [Reserved]
229 Standard instructions for filing forms under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975—Regulation S-K ..................................................... 350
230 General rules and regulations, Securities Act of 1933 ....................................................................... 574
231 Interpretative releases relating to the Securities Act of 1933 and general rules and regulations there under ............................................................ 588
232 Regulation S-T—General rules and regulations for electronic filings .................................................. 798
239 Forms prescribed under the Securities Act of 1933 815

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