Subjgrp 59. Rules of General Application
- § 240.0-1 - Definitions.
- § 240.0-2 - Business hours of the Commission.
- § 240.0-3 - Filing of material with the Commission.
- § 240.0-4 - Nondisclosure of information obtained in examinations and investigations.
- § 240.0-5 - Reference to rule by obsolete designation.
- § 240.0-6 - Disclosure detrimental to the national defense or foreign policy.
- § 240.0-8 - Application of rules to registered broker-dealers.
- § 240.0-9 - Payment of filing fees.
- § 240.0-10 - Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.
- § 240.0-11 - Filing fees for certain acquisitions, dispositions and similar transactions.
- § 240.0-12 - Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.
- § 240.0-13 - Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.
- § 240.3a1-1 - Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.
- § 240.3a4-1 - Associated persons of an issuer deemed not to be brokers.
- §§ 240.3a4-2—240.3a4-6 - §[Reserved]
- § 240.3a5-1 - Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.
- § 240.3a5-2 - Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.
- § 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.
- § 240.3a5-4 - Further definition of “as a part of a regular business” in connection with certain liquidity providers.