Title 17, Part 242 — Regulations M, Sho, Ats, Ac, Nms, Se, and Sbsr, and Customer Margin Requirements for Security Futures

Preliminary note; definitions.

Activities by distribution participants.

Activities by issuers and selling security holders during a distribution.

Nasdaq passive market making.

Stabilizing and other activities in connection with an offering.

Short selling in connection with a public offering.

Definition of “short sale” and marking requirements.

Circuit breaker.

Borrowing and delivery requirements.

Close-out requirement.

Definitions.

Requirements for alternative trading systems.

Recordkeeping requirements for alternative trading systems.

Record preservation requirements for alternative trading systems.

Nms Stock Atss.

Customer margin requirements for security futures—authority, purpose, interpretation, and scope.

Definitions.

General provisions.

Required margin.

Type, form and use of margin.

Withdrawal of margin.

Undermargined accounts.

Definitions.

Certifications in connection with research reports.

Certifications in connection with public appearances.

Certain foreign research reports.

Notification to associated persons.

Exclusion for news media.

NMS security designation and definitions.

Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.

Dissemination of quotations in NMS securities.

Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.

Display of customer limit orders.

Disclosure of order execution information.

Disclosure of order routing information.

Customer account statements.

Filing and amendment of national market system plans.

Registration of securities information processors: form of application and amendments.

Access to quotations.

Order protection rule.

Minimum pricing increment.

Consolidated audit trail.

Registration and responsibilities of competing consolidators.

Scope.

Applicable provisions.

Definitions.

Requirements and procedures for registration.

Listing products for trading by certification.

Voluntary submission of new products for Commission review and approval.

Voluntary submission of rules for Commission review and approval.

Self-certification of rules.

Availability of public information.

Staying of certification and tolling of review period pending jurisdictional determination.

Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.

Information relating to security-based swap execution facility compliance.

Enforceability.

Prohibited use of data collected for regulatory purposes.

Entity operating both a national securities exchange and security-based swap execution facility.

Methods of execution for Required and Permitted Transactions.

Trade execution requirement and exemptions therefrom.

Trade execution compliance schedule.

Core Principle 1—Compliance with core principles.

Core Principle 2—Compliance with rules.

Core Principle 3—Security-based swaps not readily susceptible to manipulation.

Core Principle 4—Monitoring of trading and trade processing.

Core Principle 5—Ability to obtain information.

Core Principle 6—Financial integrity of transactions.

Core Principle 7—Emergency authority.

Core Principle 8—Timely publication of trading information.

Core Principle 9—Recordkeeping and reporting.

Core Principle 10—Antitrust considerations.

Core Principle 11—Conflicts of interest.

Core Principle 12—Financial resources.

Core Principle 13—System safeguards.

Core Principle 14—Designation of chief compliance officer.

Application of the trade execution requirement to cross-border security-based swap transactions.

Cross-border exemptions.

Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.

Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.

Definitions.

Reporting obligations.

Public dissemination of transaction reports.

Coded information.

Operating hours of registered security-based swap data repositories.

Correction of errors in security-based swap information.

Other duties of participants.

Policies and procedures of registered security-based swap data repositories.

Cross-border matters.

Registration of security-based swap data repository as a securities information processor.

Definitions.

Obligations related to policies and procedures of SCI entities.

Obligations related to SCI events.

Obligations related to systems changes; SCI review.

SCI entity business continuity and disaster recovery plans testing requirements for members or participants.

Recordkeeping requirements related to compliance with Regulation SCI.

Electronic filing and submission.

Requirements for service bureaus.