United States Code/Title 15/Chapter 2B
(Redirected from Securities Exchange Act of 1934)
Title 15 — Commerce and Trade
Chapter 2B — Securities Exchanges
Chapter 2B — Securities Exchanges
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| Sec. | |
|---|---|
| § 78a | Short title |
| § 78b | Necessity for regulation |
| § 78c | Definitions and application |
| § 78c-1 | Swap agreements |
| § 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 |
| § 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 |
| § 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 |
| § 78n | Proxies |
| § 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-5 | Government securities brokers and dealers |
| § 78o-6 | Securities analysts and research reports |
| § 78o-7 | Registration of nationally recognized statistical rating organizations |
| § 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 |
| § 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 |
| § 78kk | Authorization of appropriations |
| § 78ll | Requirements for the EDGAR system |
| § 78mm | General exemptive authority |
| § 78nn | Tennessee Valley Authority |
Note
[edit]- References
- This chapter, referred to in text [§ 78a], was in the original “This Act” meaning the ``Securities Exchange Act of 1934´´, act June 6, 1934, ch. 404. The act was divided into two titles as follows:
- “Title I - Regulation of Securities Exchanges”; and
- “Title II - Amendments to Securities Act of 1933”.
- This section was section 1 of title I of the Act, which title, as amended, is set out as sections 78a to 78l, 78m to 78o, 78o-3 to 78dd-1, 78ee to 78hh, and 78mm of this title. Sections 78kk, 78ll, and 78nn of this title, which were directed to be added at the end of the Securities Exchange Act of 1934, have been treated in the Code as added to title I of the Act to reflect the probable intent of Congress. See Codification notes set out under those sections.
- Title II of the act amended or repealed sections 77b to 77e, 77j, 77k, 77m, 77o, and 77s, and added former sections 78ii and 78jj of this title. For complete classification of this Act to the Code, see Tables.