United States Code

U.S. Code most recently checked for updates: Mar 23, 2023

All TitlesTitle 15Chapter 2B
§ 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
§ 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.
§ 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
§ 78qq. Small Business Capital Formation Advisory Committee
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