Title 15
2,505 sections in this title — page 21 of 26.
§ 78aa–1
Special provision relating to statute of limitations on private causes of action
Chapter 2B— SECURITIES EXCHANGES
§ 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