Code of Federal Regulations, Title 17, Commodity and Securities Exchanges, PT. 200-239, Revised as of April 1, 2015: Buying Time, 1965-1966
Autor U S Office of the Federal Registeren Limba Engleză Paperback – 2 sep 2015
This volume is the Official Government Edition that can be used in the U.S. Courts system.
17 CFR 200 to 239 primarily features the US Securities and Exchange Commission. In this volume, you will find rules, procedures, standards and regulations pertaining to conduct and etthics, rules of practice, informal and other procedures, rules relating to investigations, debt collection, electronic filings, and more.
Keywords: investigations; ethics and conduct; securities act of 1933; Securities Act of 1933; interpretations relating to financial reporting matters; energy policy and conservation; debt collection rules; SEC; Securities and Exchange Commission; US Securities and Exchange Commission; securities and exchange commission; sec; electronic filings; investment brokers; investment traders; securities bankers; financial advisors; financial planning; personal finance; securities exchange act of 1934
17 CFR 200 to 239 primarily features the US Securities and Exchange Commission. In this volume, you will find rules, procedures, standards and regulations pertaining to conduct and etthics, rules of practice, informal and other procedures, rules relating to investigations, debt collection, electronic filings, and more.
Keywords: investigations; ethics and conduct; securities act of 1933; Securities Act of 1933; interpretations relating to financial reporting matters; energy policy and conservation; debt collection rules; SEC; Securities and Exchange Commission; US Securities and Exchange Commission; securities and exchange commission; sec; electronic filings; investment brokers; investment traders; securities bankers; financial advisors; financial planning; personal finance; securities exchange act of 1934
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Specificații
ISBN-13: 9780160927867
ISBN-10: 0160927862
Pagini: 864
Dimensiuni: 150 x 231 x 33 mm
Greutate: 0.89 kg
Ediția:Revizuită
Editura: GOVERNMENT PRINTING OFFICE
ISBN-10: 0160927862
Pagini: 864
Dimensiuni: 150 x 231 x 33 mm
Greutate: 0.89 kg
Ediția:Revizuită
Editura: GOVERNMENT PRINTING OFFICE
Cuprins
Title 17 → Chapter II
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
Table of Contents
200
200.1 to 200.800
ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
201
201.31 to 201.1106
RULES OF PRACTICE
202
202.1 to 202.190
INFORMAL AND OTHER PROCEDURES
203
203.1 to 203.8
RULES RELATING TO INVESTIGATIONS
204
204.1 to 204.77
RULES RELATING TO DEBT COLLECTION
205
205.1 to 205.7
STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER
209
209.0-1 to 209.1
FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
210
210.1-01 to 210.12-29
FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
211
INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS
228
[RESERVED]
229
229.10 to 229.1208
STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K
230
230.100 to 230.1001
GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
231
INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER
232
232.10 to 232.600-232.903
REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
239
239.0-1 to 239.800
FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
Table of Contents
200
200.1 to 200.800
ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
201
201.31 to 201.1106
RULES OF PRACTICE
202
202.1 to 202.190
INFORMAL AND OTHER PROCEDURES
203
203.1 to 203.8
RULES RELATING TO INVESTIGATIONS
204
204.1 to 204.77
RULES RELATING TO DEBT COLLECTION
205
205.1 to 205.7
STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER
209
209.0-1 to 209.1
FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
210
210.1-01 to 210.12-29
FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975
211
INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS
228
[RESERVED]
229
229.10 to 229.1208
STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K
230
230.100 to 230.1001
GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
231
INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER
232
232.10 to 232.600-232.903
REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
239
239.0-1 to 239.800
FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933