Don't show this message again
15 U.S. Code § 78b
Necessity for regulation
Navigation
Current through
The United States Code on COSMOS is current through Public Law 118-64 (05/24/2024).
Table of Contents
CHAPTER 2B-SECURITIES EXCHANGES
- §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 section 78l of this title
- §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. Pub. L. 100-181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259
- §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
- §78rr Data standards for security-based swap reporting
U.S. Code Popular Name Table
Popular Names
Americans with Disabilities Act 42 U.S.C. § 12101 et seq.
Anti-Kickback Statute 42 U.S.C. § 1320a–7b(b)
Clayton Act 15 U.S.C. § 12 et seq.
Clean Air Act 42 U.S.C. § 7401 et seq.
Commodity Exchange Act 7 U.S.C. § 1
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA) 42 U.S.C. § 9601 et seq.
Controlled Substances Act 21 U.S.C. § 801 et seq.
Emergency Medical Treatment and Labor Act (EMTALA) 42 U.S.C. § 1395dd
Fair Credit Reporting Act 15 U.S.C. § 1681
False Claims Act 31 U.S.C. § 3729 et seq.
Federal Food, Drug, and Cosmetic Act 21 U.S.C. § 301 et seq.
Federal Insecticide, Fungicide, and Rodenticide Act 7 U.S.C. § 136 et seq.
Federal Trade Commission Act 15 U.S.C. § 41 et seq.
Foreign corrupt Practices Act 15 U.S.C. § 78dd-1 et seq.
Fraud Enforcement and Recovery Act of 2009 (FERA) 18 U.S.C. § 27
Health Information Technology for Economic and Clinical Health Act (HITECH) 42 U.S.C. § 300jj et seq., 42 U.S.C. § 17901 et seq.
Health Insurance Portability and Accountability Act of 1996 (HIPAA) 42 U.S.C. § 201
National Environmental Policy Act (NEPA) 42 U.S.C. § 4321 et seq.
Patient Protection and Affordable Care Act 42 U.S.C. § 18001 et seq.
Physician Payments Sunshine Act 42 U.S.C. § 1320a–7h
Public Health Service Act 42 U.S.C. § 201 et seq.
Resource Conservation and Recovery Act (RCRA) 42 U.S.C. § 6901 et seq.
Robinson–Patman Act 15 U.S.C. § 13
Sarbanes-Oxley Act 15 U.S.C. § 7201 et seq.
Securities Act of 1933 15 U.S.C. § 77a et seq.
Sentencing Reform Act of 1984 18 U.S.C. § 3551 et seq.
Sherman Act 15 U.S.C. § 1 et seq.
Social Security Act 42 U.S.C. § 301 et seq.
Stark Law 42 U.S.C. § 1395nn
Toxic Substances Control Act 15 U.S.C. § 2601 et seq.