CFR Title 17 Commodity and Securities Exchanges Parts 240 to End Revised as of April 1, 2019

CFR Title 17|Code of Federal Regulations  Title 17 Commodity and Securities Exchanges Parts 240 to End Revised as of April 1, 2019

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, 2019.

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 (Continued) ...... 3
Chapter IV—Department of the Treasury ....................................... 1247
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 1325
Alphabetical List of Agencies Appearing in the CFR ......................... 1345
Table of OMB Control Numbers .......................................................... 1355
List of CFR Sections Affected ............................................................. 1361

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
Part Page
240 General rules and regulations, Securities Exchange Act of 1934 ............................................................ 5
241 Interpretative releases relating to the Securities Exchange Act of 1934 and general rules and regulations thereunder ................................................ 689
242 Regulations M, SHO, ATS, AC, NMS, and SBSR and customer margin requirements for security futures .................................................................. 695
243 Regulation FD ......................................................... 787
244 Regulation G ........................................................... 789
245 Regulation blackout trading restriction ................. 791
246 Credit risk retention ............................................... 797
247 Regulation R—Exemptions and definitions related to the exceptions for banks from the definition of broker ................................................................... 839
248 Regulations S-P, S-AM, and S-ID ............................ 853
249 Forms, Securities Exchange Act of 1934 .................. 904
249a Forms, Securities Investor Protection Act of 1970 [Reserved]
249b Further forms, Securities Exchange Act of 1934 ..... 926
250 Cross-border antifraud law-enforcement authority 928
251–254 [Reserved]
255 Proprietary trading and certain interests in and relationships with covered funds .......................... 928
256–259 [Reserved]
260 General rules and regulations, Trust Indenture Act of 1939 ................................................................... 972
261 Interpretative releases relating to the Trust Indenture Act of 1939 and general rules and regulations
thereunder ............................................................ 989
269 Forms prescribed under the Trust Indenture Act of 1939 ....................................................................... 990
270 Rules and regulations, Investment Company Act of 1940 ....................................................................... 992