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U.S. Code > Title 15 > Chapter 2B - Securities Exchanges

^{Current as of: February 2010}

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§ 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
§ 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

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U.S. Code Provisions: Securities

U.S. Code > Title 15 > Chapter 2 - Federal Trade Commission; Promotion Of Export Trade And Prevention Of Unfair Methods Of Competition

U.S. Code > Title 15 > Chapter 2A - Securities And Trust Indentures

U.S. Code > Title 15 > Chapter 2B - Securities Exchanges

U.S. Code > Title 15 > Chapter 2B-1 - Securities Investor Protection

U.S. Code > Title 15 > Chapter 2D - Investment Companies And Advisers

State Laws: Securities

Alabama	Alabama Code > Title 8 > Chapter 6 - Securities
	Alabama Code > Title 10 > Chapter 6 - Infant Stockholders
Alaska	Alaska Statutes Chapter 45.55 - Alaska Securities Act
Arizona	Arizona Laws > Title 44 > Chapter 12 - Sales Of Securities
	Arizona Laws > Title 44 > Chapter 13 - Investment Management
	Arizona Laws > Title 44 > Chapter 21 - Investment Pension Funds
California	California Corporations Code > Title 4 - Securities
	California Financial Code > Division 1.7 - Securities Sales
	California Financial Code > Division 14 - Securities Depositories
	California Probate Code > Division 5 > Part 3 - Uniform Tod Security Registration Act
Connecticut	Connecticut General Statutes > Title 36b - Connecticut Securities Law and Business Opportunity Investment Act
	Connecticut General Statutes > Title 42b - Registered Obligations of Public Entities
Florida	Florida Statutes > Chapter 517 - Securities Transactions
	Florida Statutes > Chapter 519 - Equity Exchanges
	Florida Regulations > Division 69W - Securities
Hawaii	Hawaii Revised Statutes Chapter 485A - Uniform Securities Act
	Hawaii Revised Statutes > Chapter 539 - Uniform Transfer-on-Death (TOD) Security Registration Act
	Hawaii Revised Statutes > Chapter 554C - Uniform Prudent Investor Act
Illinois	Illinois Compiled Statutes > 760 ILCS 51 - Uniform Prudent Management of Institutional Funds Act
Indiana	Indiana Code > Title 23 > Article 19 - Indiana Uniform Securities Act
	Indiana Code > Title 30 > Article 1 - Sales Of Securities And Investments By Fiduciaries
Iowa	Iowa Code Title XII > Subtitle 4 - Securities
	Iowa Code Chapter 633D - Transfer on death security registration
Kansas	Kansas Statutes > Chapter 17 > Article 12 - Securities
	Kansas Statutes > Chapter 17 > Article 12a - Uniform Securities Act
	Kansas Statutes > Chapter 17 > Article 49 - Uniform Act For Simplification Of Fiduciary Security Transfers
	Kansas Statutes > Chapter 17 > Article 49a - Uniform Transfer On Death Security Registration Act
	Kansas Statutes > Chapter 58 > Article 24a - Uniform Prudent Investor Act
	Kansas Statutes > Chapter 75 > Article 63 - Office Of Securities Commissioner
Massachusetts	Massachusetts General Laws > Part I > Title XV > Chapter 110A - Uniform Securities Act
	Massachusetts General Laws > Part II > Title II > Chapter 201E - Uniform Transfer On Death Security Registration Act
Michigan	Michigan Laws > Chapter 441
	Michigan Laws > Chapter 451 > Act 13 of 1935 - Michigan Corporation And Securities Commission
	Michigan Laws > Chapter 451 > Act 275 of 1937 - Real Estate Bonds And Securities
	Michigan Laws > Chapter 451 > Act 265 of 1964 - Uniform Securities Act
	Michigan Laws > Chapter 451 > Act 551 of 2008 - Uniform Securities Act
Minnesota	Minnesota Statutes Chapter 80A - Regulation of Securities
Missouri	Missouri Laws > Title XXVI > Chapter 402 - Investment Guidelines for Eleemosynary Funds and Trust Funds for Handicapped Persons
	Missouri Laws > Title XXVI > Chapter 403 - Security Transfers by Fiduciaries
	Missouri Laws > Title XXVI > Chapter 409 - Regulation of Securities
Montana	Montana Code Title 30 > Chapter 10 - Securities Regulation
Nevada	Nevada Revised Statutes > Chapter 90 - Securities (Uniform Act)
	Nevada Revised Statutes > Chapter 105 - Security Instruments of Public Utilities
New Jersey	New Jersey Statutes > Title 49
New York	New York Laws - General Business > Article 23 - Bucket Shops
New York	New York Laws > Estates, Powers &Trusts > Article 13 > Part 4 - Transfer-On-Death Security Registration
	New York Laws > General Business > Article 23 - Bucket Shops
North Carolina	North Carolina General Statutes Chapter 41 > Article 4 - The Uniform Transfer on Death (TOD) Security Registration Act
	North Carolina General Statutes Chapter 62 > Article 8 - Securities Regulation
	North Carolina General Statutes Chapter 78A - North Carolina Securities Act
	North Carolina General Statutes Chapter 78C - Investment Advisers
	North Carolina General Statutes Chapter 78D - Commodities Act
North Dakota	North Dakota Code > Chapter 1-07 - Validation of Municipal Securities
	North Dakota Code > Chapter 10-04 - Supervision of Issue and Sale of Securities
	North Dakota Code > Chapter 14-10.1 - Uniform Securities Ownership by Minors Act
	North Dakota Code > Chapter 51-23 - Commodities Transactions
Ohio	Ohio Code > Title 17 > Chapter 1707 - Securities
	Ohio Code > Title 17 > Chapter 1709 - Uniform Transfer-On-Death Security Registration Act
Oregon	Oregon Statutes > Chapter 59 - Securities Regulation
South Carolina	South Carolina Code > Title 35 - Securities
South Dakota	South Dakota Laws > Title 47 > Chapter 31B - Uniform Securities Act Of 2002
Tennessee	Tennessee Code > Title 35 > Chapter 12 - Uniform Transfer on Death Security Registration
	Tennessee Code > Title 35 > Chapter 14 - Uniform Prudent Investor Act
	Tennessee Code > Title 48 > Securities
Texas	Texas Civil Statutes > Title 19 - Blue Sky Law--Securities
Vermont	Vermont Statutes > Title 9 > Chapter 133 - Insider Trading Act
	Vermont Statutes > Title 9 > Chapter 134 - Transfer On Death Security Registration
	Vermont Statutes > Title 9 > Chapter 150 - Securities Act
Virginia	Virginia Code Title 6.2 > Chapter 24 - Securitization Transactions
	Virginia Code Title 13.1 > Chapter 4.2 - Securities Registered in Joint Names
	Virginia Code Title 13.1 > Chapter 5 - Securities Act
	Virginia Code Title 64.1 > Chapter 10 - Uniform Transfers on Death (TOD) Security Registration Act
West Virginia	West Virginia Code > Chapter 31 > Article 4D - Uniform Act For Simplification Of Fiduciary Security Transfers
	West Virginia Code > Chapter 31 > Article 16 - West Virginia Steel Futures Program
	West Virginia Code > Chapter 32 - Uniform Securities Act
	West Virginia Code > Chapter 32B - The West Virginia Commodities Act
	West Virginia Code > Chapter 36 > Article 10 - Uniform Transfer On Death Security Registration Act
Wisconsin	Wisconsin Statutes > Investment Regulation and Business Development
	Wisconsin Statutes > Chapter 705 > Subchapter III - Transfer On Death Security Registration

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