USA securities and exchange act 1934

USA securities and exchange act 1934

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时间:2019-08-12

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1、SECURITIESEXCHANGEACTOF1934[ASAMENDEDTHROUGHP.L.112-158,APPROVEDAUGUST10,2012]TABLEOFCONTENTSTITLEI—REGULATIONOFSECURITIESEXCHANGES.Sec.1.ShortTitle.Sec.2.NecessityforRegulationAsProvidedinThisTitle.Sec.3.DefinitionsandApplicationofTitle.Sec.3A.SwapAgreements.Sec.3B

2、.Securities-RelatedDerivatives.Sec.3C.ClearingforSecurity-BasedSwaps.Sec.3D.Security-BasedSwapExecutionFacilities.Sec.3E.SegregationofAssetsHeldAsCollateralinSecurity-BasedSwapTrans-actions.Sec.4.SecuritiesandExchangeCommission.Sec.4A.DelegationofFunctionsbyCommissi

3、on.Sec.4B.TransferofFunctionsWithRespecttoAssignmentofPersonneltoChair-man.Sec.4C.AppearanceandPracticeBeforetheCommission.Sec.4D.AdditionalDutiesofInspectorGeneral.Sec.4E.DeadlineforCompletingEnforcementInvestigationsandComplianceEx-aminationsandInspections.Sec.5.T

4、ransactionsonUnregisteredExchanges.Sec.6.NationalSecuritiesExchanges.Sec.7.MarginRequirements.Sec.8.RestrictionsonBorrowingbyMembers,Brokers,andDealers.Sec.9.ProhibitionAgainstManipulationofSecurityPrices.Sec.10.RegulationoftheUseofManipulativeandDeceptiveDevices.Se

5、c.10A.AuditRequirements.Sec.10B.PositionLimitsandPositionAccountabilityforSecurity-BasedSwapsandLargeTraderReporting.Sec.10C.CompensationCommittees.Sec.10D.RecoveryofErroneouslyAwardedCompensationPolicy.Sec.11.TradingbyMembersofExchanges,Brokers,andDealers.Sec.11A.N

6、ationalMarketSystemforSecurities;SecuritiesInformationProcessors.Sec.12.RegistrationRequirementsforSecurities.Sec.13.PeriodicalandOtherReports.Sec.13A.ReportingandRecordkeepingforCertainSecurity-BasedSwaps.Sec.14.Proxies.Sec.14A.ShareholderApprovalofExecutiveCompens

7、ation.Sec.14B.CorporateGovernance.Sec.15.RegistrationandRegulationofBrokersandDealers.Sec.15A.RegisteredSecuritiesAssociations.Sec.15B.MunicipalSecurities.Sec.15C.GovernmentSecuritiesBrokersandDealers.Sec.15D.SecuritiesAnalystsandResearchReports.Sec.15E.Registration

8、ofNationallyRecognizedStatisticalRatingOrganizations.Sec.15F.RegistrationandRegulationofSecurity-BasedSwapDealersandMajorSecurity-BasedSwa

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