Code of Federal Regulations, Title 17, Commodity and Securities Exchanges, Pt. 240-End, Revised As of April 1 2012 |
Contents
12a10T Temporary exemption of eligi | 83 |
REGISTRATION AND SUSPENSION OF TRADING WITHDRAWAL | 99 |
12b1 Scope of regulation istration | 168 |
12b3 Title of securities UNLISTED TRADING | 211 |
12b5 Determination of affiliates of 240 12f1 Applications for permission to | 240 |
Department of Homeland Security Parts 30003099 | 1081 |
Office of Administration Executive Office of the President Parts 25002599 | 1083 |
Office of Government Ethics Parts 26002699 | 1084 |
Federal Energy Regulatory Commission Parts 34003499 | 1086 |
Department of the Interior Parts 35003599 | 1088 |
Department of Justice Parts 38003899 | 1089 |
Federal Communications Commission Parts 39003999 | 1095 |
Common terms and phrases
action affiliate amended amount applicable asset-backed securities associated person audit beneficial owner bidder broker or dealer broker-dealer business days calendar capital certificate chapter class of securities cluding Commis Commission copy counterparty curities deemed defined director disclosure document effective equity securities exempt financial statements fiscal Form Fund furnished graph information required investment bank holding issued istered listed market maker market value means ment municipal securities national securities exchange nominee officer option OTC derivatives dealer penny stock percent period principal Proxy Materials proxy statement purchase purposes pursuant to paragraph pursuant to section quired recognized statistical rating record registrant registrant's repurchase agreements request required by paragraph respect risk rities Rule Schedule Schedule 13D secu securities dealer security holders sion solicitation specified Stat suant subject company subordination agreement tender offer term tion trading trans transaction transfer agent vote whistleblower