US Code Title 15 Chapter 2B Securities Exchanges

§ 78a - Short Title
§ 78b - Necessity for Regulation
§ 78c - Definitions and Application
§ 78c-1 - Swap Agreements
§ 78c-2 - Securities-related Derivatives
§ 78c-3 - Clearing for Security-based Swaps
§ 78c-4 - Security-based Swap Execution Facilities
§ 78c-5 - Segregation of Assets Held as Collateral in Security-based Swap Transactions
§ 78d - Securities and Exchange Commission
§ 78d-1 - Delegation of Functions by Commission
§ 78d-2 - Transfer of Functions With Respect to Assignment of Personnel to Chairman
§ 78d-3 - Appearance and Practice Before the Commission
§ 78d-4 - Additional Duties of Inspector General
§ 78d-5 - Deadline for Completing Enforcement Investigations and Compliance Examinations and Inspections
§ 78d-6 - Report and Certification of Internal Supervisory Controls
§ 78d-7 - Triennial Report on Personnel Management
§ 78d-8 - Annual Financial Controls Audit
§ 78d-9 - Report on Oversight of National Securities Associations
§ 78e - Transactions on Unregistered Exchanges
§ 78f - National Securities Exchanges
§ 78g - Margin Requirements
§ 78h - Restrictions on Borrowing and Lending by Members, Brokers, and Dealers
§ 78i - Manipulation of Security Prices
§ 78j - Manipulative and Deceptive Devices
§ 78j-1 - Audit Requirements
§ 78j-2 - Position Limits and Position Accountability for Security-based Swaps and Large Trader Reporting
§ 78j-3 - Compensation Committees
§ 78j-4 - Recovery of Erroneously Awarded Compensation Policy
§ 78k - Trading by Members of Exchanges, Brokers, and Dealers
§ 78k-1 - National Market System for Securities; Securities Information Processors
§ 78l - Registration Requirements for Securities
§ 78l-1 - Applications for Unlisted Trading Privileges Deemed Filed Under Section 78l of This Title
§ 78m - Periodical and Other Reports
§ 78m-1 - Reporting and Recordkeeping for Certain Security-based Swaps
§ 78m-2 - Reporting Requirements Regarding Coal or Other Mine Safety
§ 78n - Proxies
§ 78n-1 - Shareholder Approval of Executive Compensation
§ 78n-2 - Corporate Governance
§ 78o - Registration and Regulation of Brokers and Dealers
§ 78o-1 - Brokers Deemed to Be Registered
§ 78o-2 - Liabilities Arising Prior to Amendment Unaffected
§ 78o-3 - Registered Securities Associations
§ 78o-4 - Municipal Securities
§ 78o-4a - Commission Office of Municipal Securities
§ 78o-5 - Government Securities Brokers and Dealers
§ 78o-6 - Securities Analysts and Research Reports
§ 78o-7 - Registration of Nationally Recognized Statistical Rating Organizations
§ 78o-8 - Universal Ratings Symbols
§ 78o-9 - Study and Rulemaking on Assigned Credit Ratings
§ 78o-10 - Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
§ 78o-11 - Credit Risk Retention
§ 78p - Directors, Officers, and Principal Stockholders
§ 78q - Records and Reports
§ 78q-1 - National System for Clearance and Settlement of Securities Transactions
§ 78q-2 - Automated Quotation Systems for Penny Stocks
§ 78r - Liability for Misleading Statements
§ 78s - Registration, Responsibilities, and Oversight of Self-regulatory Organizations
§ 78t - Liability of Controlling Persons and Persons Who Aid and Abet Violations
§ 78t-1 - Liability to Contemporaneous Traders for Insider Trading
§ 78u - Investigations and Actions
§ 78u-1 - Civil Penalties for Insider Trading
§ 78u-2 - Civil Remedies in Administrative Proceedings
§ 78u-3 - Cease-and-desist Proceedings
§ 78u-4 - Private Securities Litigation
§ 78u-5 - Application of Safe Harbor for Forward-looking Statements
§ 78u-6 - Securities Whistleblower Incentives and Protection
§ 78u-7 - Implementation and Transition Provisions for Whistleblower Protection
§ 78v - Hearings by Commission
§ 78w - Rules, Regulations, and Orders; Annual Reports
§ 78x - Public Availability of Information
§ 78y - Court Review of Orders and Rules
§ 78z - Unlawful Representations
§ 78aa - Jurisdiction of Offenses and Suits
§ 78aa-1 - Special Provision Relating to Statute of Limitations on Private Causes of Action
§ 78bb - Effect on Existing Law
§ 78cc - Validity of Contracts
§ 78dd - Foreign Securities Exchanges
§ 78dd-1 - Prohibited Foreign Trade Practices by Issuers
§ 78dd-2 - Prohibited Foreign Trade Practices by Domestic Concerns
§ 78dd-3 - Prohibited Foreign Trade Practices by Persons Other Than Issuers or Domestic Concerns
§ 78ee - Transaction Fees
§ 78ff - Penalties
§ 78gg - Separability
§ 78hh - Effective Date
§ 78hh-1 - Effective Date of Certain Sections
§ 78ii - Omitted
§ 78jj - Repealed. Pub. L. 100–181, Title Iii, §330, Dec. 4, 1987, 101 Stat. 1259
§ 78kk - Authorization of Appropriations
§ 78ll - Requirements for the Edgar System
§ 78mm - General Exemptive Authority
§ 78nn - Tennessee Valley Authority
§ 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
§ 78pp - Investor Advisory Committee

Last modified: October 26, 2015