U.S. Code of Federal Regulations

Regulations most recently checked for updates: Mar 20, 2025

All TitlesTitle 17Chapter IIPart 242 - PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

REGULATION M
§ 242.100 - Preliminary note; definitions.
§ 242.101 - Activities by distribution participants.
§ 242.102 - Activities by issuers and selling security holders during a distribution.
§ 242.103 - Nasdaq passive market making.
§ 242.104 - Stabilizing and other activities in connection with an offering.
§ 242.105 - Short selling in connection with a public offering.

REGULATION SHO—REGULATION OF SHORT SALES
§ 242.200 - Definition of “short sale” and marking requirements.
§ 242.201 - Circuit breaker.
§ 242.203 - Borrowing and delivery requirements.
§ 242.204 - Close-out requirement.

REGULATION ATS—ALTERNATIVE TRADING SYSTEMS
CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
§ 242.400 - Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
§ 242.401 - Definitions.
§ 242.402 - General provisions.
§ 242.403 - Required margin.
§ 242.404 - Type, form and use of margin.
§ 242.405 - Withdrawal of margin.
§ 242.406 - Undermargined accounts.
§ 242.300 - Definitions.
§ 242.301 - Requirements for alternative trading systems.
§ 242.302 - Recordkeeping requirements for alternative trading systems.
§ 242.303 - Record preservation requirements for alternative trading systems.
§ 242.304 - NMS Stock ATSs.

REGULATION AC—ANALYST CERTIFICATION
§ 242.500 - Definitions.
§ 242.501 - Certifications in connection with research reports.
§ 242.502 - Certifications in connection with public appearances.
§ 242.503 - Certain foreign research reports.
§ 242.504 - Notification to associated persons.
§ 242.505 - Exclusion for news media.

REGULATION NMS—REGULATION OF THE NATIONAL MARKET SYSTEM
§ 242.600 - NMS security designation and definitions.
§ 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.
§ 242.602 - Dissemination of quotations in NMS securities.
§ 242.603 - Distribution, consolidation, dissemination, and display of information with respect to quotations for and transactions in NMS stocks.
§ 242.604 - Display of customer limit orders.
§ 242.605 - Disclosure of order execution information.
§ 242.606 - Disclosure of order routing information.
§ 242.607 - Customer account statements.
§ 242.608 - Filing and amendment of national market system plans.
§ 242.609 - Registration of securities information processors: form of application and amendments.
§ 242.610 - Access to quotations.
§ 242.611 - Order protection rule.
§ 242.612 - Minimum pricing increment.
§ 242.613 - Consolidated audit trail.
§ 242.614 - Registration and responsibilities of competing consolidators.

REGULATION SE—REGISTRATION AND REGULATION OF SECURITY-BASED SWAP EXECUTION FACILITIES
§ 242.800 - Scope.
§ 242.801 - Applicable provisions.
§ 242.802 - Definitions.
§ 242.803 - Requirements and procedures for registration.
§ 242.804 - Listing products for trading by certification.
§ 242.805 - Voluntary submission of new products for Commission review and approval.
§ 242.806 - Voluntary submission of rules for Commission review and approval.
§ 242.807 - Self-certification of rules.
§ 242.808 - Availability of public information.
§ 242.809 - Staying of certification and tolling of review period pending jurisdictional determination.
§ 242.810 - Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
§ 242.811 - Information relating to security-based swap execution facility compliance.
§ 242.812 - Enforceability.
§ 242.813 - Prohibited use of data collected for regulatory purposes.
§ 242.814 - Entity operating both a national securities exchange and security-based swap execution facility.
§ 242.815 - Methods of execution for Required and Permitted Transactions.
§ 242.816 - Trade execution requirement and exemptions therefrom.
§ 242.817 - Trade execution compliance schedule.
§ 242.818 - Core Principle 1—Compliance with core principles.
§ 242.819 - Core Principle 2—Compliance with rules.
§ 242.820 - Core Principle 3—Security-based swaps not readily susceptible to manipulation.
§ 242.821 - Core Principle 4—Monitoring of trading and trade processing.
§ 242.822 - Core Principle 5—Ability to obtain information.
§ 242.823 - Core Principle 6—Financial integrity of transactions.
§ 242.824 - Core Principle 7—Emergency authority.
§ 242.825 - Core Principle 8—Timely publication of trading information.
§ 242.826 - Core Principle 9—Recordkeeping and reporting.
§ 242.827 - Core Principle 10—Antitrust considerations.
§ 242.828 - Core Principle 11—Conflicts of interest.
§ 242.829 - Core Principle 12—Financial resources.
§ 242.830 - Core Principle 13—System safeguards.
§ 242.831 - Core Principle 14—Designation of chief compliance officer.
§ 242.832 - Application of the trade execution requirement to cross-border security-based swap transactions.
§ 242.833 - Cross-border exemptions.
§ 242.834 - Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
§ 242.835 - Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.

REGULATION SBSR—REGULATORY REPORTING AND PUBLIC DISSEMINATION OF SECURITY-BASED SWAP INFORMATION
§ 242.900 - Definitions.
§ 242.901 - Reporting obligations.
§ 242.902 - Public dissemination of transaction reports.
§ 242.903 - Coded information.
§ 242.904 - Operating hours of registered security-based swap data repositories.
§ 242.905 - Correction of errors in security-based swap information.
§ 242.906 - Other duties of participants.
§ 242.907 - Policies and procedures of registered security-based swap data repositories.
§ 242.908 - Cross-border matters.
§ 242.909 - Registration of security-based swap data repository as a securities information processor.
Subpart 0 [§ 242.1000 - § 242.1007] - Regulation SCI—Systems Compliance and Integrity
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