# 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] URL: https://consilena.com/coverage/laws/ksrc_17qz5x344z6hjrfv - Jurisdiction: United States - Type: Regulation - Identifier: /us/cfr/t17/pt240/s240.10b - Current as of: 1 July 2024 - Provisions: 11 - Official text: https://www.govinfo.gov/bulkdata/CFR/2024/title-17/CFR-2024-title17-vol4.xml > The library is a research copy. Check the official source before relying on a provision: the text published there, not the copy in Consilena, is the law. ## Provisions - **§ 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… - **§ 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… - **§ 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.**: The term… - **§ 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… - **§ 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… - **§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.**: (a) Manipulative or deceptive devices. The “manipulative or… - **§ 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… - **§ 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… - **§ 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… - **§ 240.10b-10 Confirmation of transactions.**: Preliminary Note. This section requires broker-dealers to disclose specified information in writing to customers at… - **§ 240.10b-9 Prohibited representations in connection with certain offerings.**: (a) It shall constitute a manipulative or deception device or contrivance, as used… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.**: (3) Whenever a person receives or obtains material nonpublic information… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 240.10b-16 Disclosure of credit terms in margin transactions.**: “equity funding programs” registered under the Securities Act of 1933, the requirements of this… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… --- Consilena is a software provider, not a law firm. AI output is not legal advice: consult a licensed lawyer in the relevant jurisdiction. Page: https://consilena.com/coverage/laws/ksrc_17qz5x344z6hjrfv. Index of every page: https://consilena.com/llms.txt.