Title 15

Commerce and Trade

2,504 sections in this title, page 21 of 26.

§ 78b

Necessity for regulation

CHAPTER 2B — SECURITIES EXCHANGES

§ 78bb

Effect on existing law

CHAPTER 2B — SECURITIES EXCHANGES

§ 78bbb

Application of Securities Exchange Act of 1934

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78c

Definitions and application

CHAPTER 2B — SECURITIES EXCHANGES

§ 78cc

Validity of contracts

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ccc

Securities Investor Protection Corporation

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78c–1

Swap agreements

CHAPTER 2B — SECURITIES EXCHANGES

§ 78c–2

Securities-related derivatives

CHAPTER 2B — SECURITIES EXCHANGES

§ 78c–3

Clearing for security-based swaps

CHAPTER 2B — SECURITIES EXCHANGES

§ 78c–4

Security-based swap execution facilities

CHAPTER 2B — SECURITIES EXCHANGES

§ 78c–5

Segregation of assets held as collateral in security-based swap transactions

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d

Securities and Exchange Commission

CHAPTER 2B — SECURITIES EXCHANGES

§ 78dd

Foreign securities exchanges

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ddd

SIPC Fund

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78dd–1

Prohibited foreign trade practices by issuers

CHAPTER 2B — SECURITIES EXCHANGES

§ 78dd–2

Prohibited foreign trade practices by domestic concerns

CHAPTER 2B — SECURITIES EXCHANGES

§ 78dd–3

Prohibited foreign trade practices by persons other than issuers or domestic concerns

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–1

Delegation of functions by Commission

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–2

Transfer of functions with respect to assignment of personnel to chairman

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–3

Appearance and practice before the Commission

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–4

Additional duties of Inspector General

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–5

Deadline for completing enforcement investigations and compliance examinations and inspections

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–6

Report and certification of internal supervisory controls

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–7

Triennial report on personnel management

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–8

Annual financial controls audit

CHAPTER 2B — SECURITIES EXCHANGES

§ 78d–9

Report on oversight of national securities associations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78e

Transactions on unregistered exchanges

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ee

Transaction fees

CHAPTER 2B — SECURITIES EXCHANGES

§ 78eee

Protection of customers

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78f

National securities exchanges

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ff

Penalties

CHAPTER 2B — SECURITIES EXCHANGES

§ 78fff

General provisions of a liquidation proceeding

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78fff–1

Powers and duties of a trustee

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78fff–2

Special provisions of a liquidation proceeding

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78fff–3

SIPC advances

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78fff–4

Direct payment procedure

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78g

Margin requirements

CHAPTER 2B — SECURITIES EXCHANGES

§ 78gg

Separability

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ggg

SEC functions

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78h

Restrictions on borrowing and lending by members, brokers, and dealers

CHAPTER 2B — SECURITIES EXCHANGES

§ 78hh

Effective date

CHAPTER 2B — SECURITIES EXCHANGES

§ 78hhh

Examining authority functions

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78hh–1

Effective date of certain sections

CHAPTER 2B — SECURITIES EXCHANGES

§ 78i

Manipulation of security prices

CHAPTER 2B — SECURITIES EXCHANGES

§ 78iii

Functions of self-regulatory organizations

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78j

Manipulative and deceptive devices

CHAPTER 2B — SECURITIES EXCHANGES

§ 78jjj

Prohibited acts

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78j–1

Audit requirements

CHAPTER 2B — SECURITIES EXCHANGES

§ 78j–2

Position limits and position accountability for security-based swaps and large trader reporting

CHAPTER 2B — SECURITIES EXCHANGES

§ 78j–3

Compensation committees

CHAPTER 2B — SECURITIES EXCHANGES

§ 78j–4

Recovery of erroneously awarded compensation policy

CHAPTER 2B — SECURITIES EXCHANGES

§ 78k

Trading by members of exchanges, brokers, and dealers

CHAPTER 2B — SECURITIES EXCHANGES

§ 78kk

Authorization of appropriations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78kkk

Miscellaneous provisions

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78k–1

National market system for securities; securities information processors

CHAPTER 2B — SECURITIES EXCHANGES

§ 78l

Registration requirements for securities

CHAPTER 2B — SECURITIES EXCHANGES

§ 78ll

Requirements for the EDGAR system

CHAPTER 2B — SECURITIES EXCHANGES

§ 78lll

Definitions

CHAPTER 2B–1 — SECURITIES INVESTOR PROTECTION

§ 78l–1

Applications for unlisted trading privileges deemed filed under section 78l of this title

CHAPTER 2B — SECURITIES EXCHANGES

§ 78m

Periodical and other reports

CHAPTER 2B — SECURITIES EXCHANGES

§ 78mm

General exemptive authority

CHAPTER 2B — SECURITIES EXCHANGES

§ 78m–1

Reporting and recordkeeping for certain security-based swaps

CHAPTER 2B — SECURITIES EXCHANGES

§ 78m–2

Reporting requirements regarding coal or other mine safety

CHAPTER 2B — SECURITIES EXCHANGES

§ 78n

Proxies

CHAPTER 2B — SECURITIES EXCHANGES

§ 78nn

Tennessee Valley Authority

CHAPTER 2B — SECURITIES EXCHANGES

§ 78n–1

Shareholder approval of executive compensation

CHAPTER 2B — SECURITIES EXCHANGES

§ 78n–2

Corporate governance

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o

Registration and regulation of brokers and dealers

CHAPTER 2B — SECURITIES EXCHANGES

§ 78oo

Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–1

Brokers deemed to be registered

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–10

Registration and regulation of security-based swap dealers and major security-based swap participants

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–11

Credit risk retention

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–2

Liabilities arising prior to amendment unaffected

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–3

Registered securities associations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–4

Municipal securities

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–4a

Commission Office of Municipal Securities

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–5

Government securities brokers and dealers

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–6

Securities analysts and research reports

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–7

Registration of nationally recognized statistical rating organizations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–8

Universal ratings symbols

CHAPTER 2B — SECURITIES EXCHANGES

§ 78o–9

Study and rulemaking on assigned credit ratings

CHAPTER 2B — SECURITIES EXCHANGES

§ 78p

Directors, officers, and principal stockholders

CHAPTER 2B — SECURITIES EXCHANGES

§ 78pp

Investor Advisory Committee

CHAPTER 2B — SECURITIES EXCHANGES

§ 78q

Records and reports

CHAPTER 2B — SECURITIES EXCHANGES

§ 78qq

Small Business Capital Formation Advisory Committee

CHAPTER 2B — SECURITIES EXCHANGES

§ 78q–1

National system for clearance and settlement of securities transactions

CHAPTER 2B — SECURITIES EXCHANGES

§ 78q–2

Automated quotation systems for penny stocks

CHAPTER 2B — SECURITIES EXCHANGES

§ 78r

Liability for misleading statements

CHAPTER 2B — SECURITIES EXCHANGES

§ 78rr

Data standards for security-based swap reporting

CHAPTER 2B — SECURITIES EXCHANGES

§ 78s

Registration, responsibilities, and oversight of self-regulatory organizations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78t

Liability of controlling persons and persons who aid and abet violations

CHAPTER 2B — SECURITIES EXCHANGES

§ 78t–1

Liability to contemporaneous traders for insider trading

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u

Investigations and actions

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–1

Civil penalties for insider trading

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–2

Civil remedies in administrative proceedings

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–3

Cease-and-desist proceedings

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–4

Private securities litigation

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–5

Application of safe harbor for forward-looking statements

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–6

Securities whistleblower incentives and protection

CHAPTER 2B — SECURITIES EXCHANGES

§ 78u–7

Implementation and transition provisions for whistleblower protection

CHAPTER 2B — SECURITIES EXCHANGES

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