17 CFR Part 240 §§ 240.10b-1–240.10b-21 — Securities Exchange Act of 1934 anti-fraud rules (SEC; incl. Rule 10b-5, Rules 10b5-1/10b5-2 insider trading) [bounded slice of Part 240]

1. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers."]

   § 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers.

   § 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers. (a) It shall be unlawful for any broker or dealer, directly or indirectly…

2. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-17 Untimely announcements of record dates."]

   § 240.10b-17 Untimely announcements of record dates.

   § 240.10b-17 Untimely announcements of record dates. (a) It shall constitute a “manipulative or deceptive device or contrivance” as used in section 10(b) of…

3. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration."]

   § 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.

   § 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration. The term…

4. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-16 Disclosure of credit terms in margin transactions."]

   § 240.10b-16 Disclosure of credit terms in margin transactions.

   § 240.10b-16 Disclosure of credit terms in margin transactions. (a) It shall be unlawful for any broker or dealer to extend credit, directly or indirectly, to…

5. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due."]

   § 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due.

   § 240.10b-21 Deception in connection with a seller's ability or intent to deliver securities on the date delivery is due. Preliminary Note to § 240.10 b -21…

6. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

   § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

   § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (a) Manipulative or deceptive devices. The “manipulative or…

7. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases."]

   § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.

   § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases. Preliminary Note to § 240.10 b 5-2: This section provides a non-exclusive…

8. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-5 Employment of manipulative and deceptive devices."]

   § 240.10b-5 Employment of manipulative and deceptive devices.

   § 240.10b-5 Employment of manipulative and deceptive devices. It shall be unlawful for any person, directly or indirectly, by the use of any means or…

9. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

   § 240.10b-18 Purchases of certain equity securities by the issuer and others.

   § 240.10b-18 Purchases of certain equity securities by the issuer and others. Preliminary Notes to § 240.10 b -18 1. Section 240.10b-18 provides an issuer (and…

10. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. Preliminary Note. This section requires broker-dealers to disclose specified information in writing to customers at…

11. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-9 Prohibited representations in connection with certain offerings."]

    § 240.10b-9 Prohibited representations in connection with certain offerings.

    § 240.10b-9 Prohibited representations in connection with certain offerings. (a) It shall constitute a manipulative or deception device or contrivance, as used…

12. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (2) of the Act and § 240.10b-5 under the Act solely by reason of the manner…

13. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-16 Disclosure of credit terms in margin transactions."]

    § 240.10b-16 Disclosure of credit terms in margin transactions.

    § 240.10b-16 Disclosure of credit terms in margin transactions. (1) Is given or sent at the time of opening the account, a written statement or statements…

14. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-17 Untimely announcements of record dates."]

    § 240.10b-17 Untimely announcements of record dates.

    § 240.10b-17 Untimely announcements of record dates. (1) Given to the National Association of Securities Dealers, Inc., no later than 10 days prior to the…

15. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (2) Whether the broker or dealer is acting as agent for such customer, as agent for some other person, as agent for…

16. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(ii) of this section, a person's purchase or sale is not on…

17. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases."]

    § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.

    § 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases. (3) Whenever a person receives or obtains material nonpublic information…

18. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-9 Prohibited representations in connection with certain offerings."]

    § 240.10b-9 Prohibited representations in connection with certain offerings.

    § 240.10b-9 Prohibited representations in connection with certain offerings. (2) To the effect that the security is being offered or sold on any other basis…

19. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(i)(A) of this section: ( 1 ) Specified the amount of…

20. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (1) ADTV means the average daily trading volume reported for the security during…

21. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. that brokers or dealers that do not receive payment for order flow in connection with any transaction have no…

22. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-16 Disclosure of credit terms in margin transactions."]

    § 240.10b-16 Disclosure of credit terms in margin transactions.

    § 240.10b-16 Disclosure of credit terms in margin transactions. (2) Is given or sent a written statement or statements, at least quarterly, for each account in…

23. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-17 Untimely announcements of record dates."]

    § 240.10b-17 Untimely announcements of record dates.

    § 240.10b-17 Untimely announcements of record dates. security of the same issuer, the amount to be paid or distributed and the rate of the dividend or…

24. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-16 Disclosure of credit terms in margin transactions."]

    § 240.10b-16 Disclosure of credit terms in margin transactions.

    § 240.10b-16 Disclosure of credit terms in margin transactions. “equity funding programs” registered under the Securities Act of 1933, the requirements of this…

25. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(i) of this section is applicable only when: (A) The…

26. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. is subject to last sale reporting, the reported trade price, the price to the customer in the transaction, and the…

27. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-17 Untimely announcements of record dates."]

    § 240.10b-17 Untimely announcements of record dates.

    § 240.10b-17 Untimely announcements of record dates. (1) of this section. (c) The provisions of this rule shall not apply, however, to redeemable securities…

28. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (5) Block means a quantity of stock that either: (i) Has a purchase price of…

29. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. that is 30 days after the adoption of the contract, instruction…

30. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (5)(ii) shall not apply to a transaction in a debt security that either: (A) Has a maturity date that may be…

31. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(ii)(D), a series of separate contracts with different…

32. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (7) In the case of a transaction in a debt security that is an asset-backed security, which represents an interest…

33. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (12) Riskless principal transaction means a transaction in which a broker or…

34. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (9) shall not apply in the case of a transaction in shares of a registered open-end investment company or unit…

35. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(iv) of this section) as long as the purchase or sales…

36. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (b) (4) of this section do not exceed the average size and frequency of the…

37. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(ii)(D) of this section, and such eligible sell-to-cover…

38. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (2) Such broker or dealer gives or sends to such customer within five business days after the end of each quarterly…

39. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (1) One broker or dealer. Rule 10b-18 purchases must be effected from or through…

40. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (1) of this section in lieu of an immediate confirmation. (c) A broker or dealer shall give or send to a customer…

41. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (1)(iii) defines certain terms as used in paragraph (c) of this…

42. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (5) Periodic plan means any written authorization for a broker acting as agent to purchase or sell for a customer a…

43. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases."]

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.

    § 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases. (2) A person other than a natural person also may demonstrate…

44. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (2) Time of purchases. Rule 10b-18 purchases must not be: (i) The opening…

45. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (6) Investment company plan means any plan under which securities issued by an open-end investment company or unit…

46. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (4) Volume of purchases. The total volume of Rule 10b-18 purchases effected by or…

47. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. behalf; and (C) To advise each customer in the group if a payment is not received from the designated person on…

48. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-18 Purchases of certain equity securities by the issuer and others."]

    § 240.10b-18 Purchases of certain equity securities by the issuer and others.

    § 240.10b-18 Purchases of certain equity securities by the issuer and others. (4) of this section is modified so that the amount of Rule 10b-18 purchases must…

49. ["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)", "PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934", "Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934", "§ 240.10b-10 Confirmation of transactions."]

    § 240.10b-10 Confirmation of transactions.

    § 240.10b-10 Confirmation of transactions. (1) The broker or dealer that effects any transaction for a customer in security futures products in a futures…

Headings and opening words only; the full text is on govinfo.gov, which is authoritative. The library holds the version current as of the date shown. AI output is not legal advice — consult a licensed lawyer in the relevant jurisdiction.