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

Current as of 1 July 202611 provisions

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["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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 § 240.10b-18 1. Section 240.10b-18 provides an issuer (and…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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 § 240.10b-21…
["Title 17", "PART 240 (selected sections)", "§ 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 § 240.10b5-2: This section provides a non-exclusive…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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. (3) Adopted a written plan for trading securities; (B) The…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. paragraph; and (D) The source and amount of any other remuneration received or to be received by the broker in…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-17 Untimely announcements of record dates."]
§ 240.10b-17 Untimely announcements of record dates.
§ 240.10b-17 Untimely announcements of record dates. name of the issuer and title of that security, the amount to be paid or distributed, and the rate of the…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. (3) Whether any odd-lot differential or equivalent fee has been paid by such customer in connection with the…
["Title 17", "PART 240 (selected sections)", "§ 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. (3) of this section is a director or officer (as defined in…
["Title 17", "PART 240 (selected sections)", "§ 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. dealer furnishes to the customer, within 1 month after each extension of credit, a written…
["Title 17", "PART 240 (selected sections)", "§ 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. (7) Market-wide trading suspension means a market-wide trading halt of 30 minutes…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. (6) In the case of a transaction in a debt security effected on the basis of yield: (i) The yield at which the…
["Title 17", "PART 240 (selected sections)", "§ 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. The substitution of a broker-dealer or…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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. (3) A contract, instruction, or plan providing for an eligible…
["Title 17", "PART 240 (selected sections)", "§ 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. (13) Rule 10b-18 purchase means a purchase (or any bid or limit order that would…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. (8) That the broker or dealer is not a member of the Securities Investor Protection Corporation (SIPC), or that the…
["Title 17", "PART 240 (selected sections)", "§ 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 during the three full calendar months preceding the date of…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. (2) Completion of the transaction shall have the meaning provided in rule 15c1-1 under the Act; (3) Time of the…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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. the close of the primary trading session. (3) Price of purchases. Rule 10b-18…
["Title 17", "PART 240 (selected sections)", "§ 240.10b-10 Confirmation of transactions."]
§ 240.10b-10 Confirmation of transactions.
§ 240.10b-10 Confirmation of transactions. of the group within 10 days of a date certain specified in the arrangement for delivery of that payment by the…
["Title 17", "PART 240 (selected sections)", "§ 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…
["Title 17", "PART 240 (selected sections)", "§ 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…

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