# 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] URL: https://consilena.com/coverage/laws/ksrc_qhssz9gpbz7j4cbj - Jurisdiction: United States - Type: Regulation - Identifier: /us/cfr/t17/pt240/s240.10b - Current as of: 1 July 2026 - Provisions: 11 - Official text: https://www.ecfr.gov/api/versioner/v1/full/2026-07-01/title-17.xml?part=240 > 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-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-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… - **§ 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-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… - **§ 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… - **§ 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-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-10 Confirmation of transactions.**: Preliminary Note. This section requires broker-dealers to disclose specified information in writing to customers at… - **§ 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… - **§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.**: (a) Manipulative or deceptive devices. The “manipulative or… - **§ 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.**: (1) Is given or sent at the time of opening the account, a written statement or statements… - **§ 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… - **§ 240.10b-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-17 Untimely announcements of record dates.**: (1) Given to the National Association of Securities Dealers, Inc., no later than 10 days prior to the… - **§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.**: (3) Adopted a written plan for trading securities; (B) 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… - **§ 240.10b5-2 Duties of trust or confidence in misappropriation insider trading cases.**: (3) Whenever a person receives or obtains material nonpublic information… - **§ 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-10 Confirmation of transactions.**: paragraph; and (D) The source and amount of any other remuneration received or to be received by the broker in… - **§ 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… - **§ 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.**: (1)(i) of this section is applicable only when: (A) The… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 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… - **§ 240.10b5-1 Trading “on the basis of” material nonpublic information in insider trading cases.**: (3) A contract, instruction, or plan providing for an eligible… - **§ 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… - **§ 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… - **§ 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… - **§ 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-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.**: (2) Completion of the transaction shall have the meaning provided in rule 15c1-1 under the Act; (3) Time of the… - **§ 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.**: the close of the primary trading session. (3) Price of purchases. Rule 10b-18… - **§ 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… - **§ 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.**: (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_qhssz9gpbz7j4cbj. Index of every page: https://consilena.com/llms.txt.