What US 17 CFR Part 240: General Rules and Regulations, Securities Exchange Act of 1934 requires
US 17 CFR Part 240 contains the rules adopted by the SEC under the Securities Exchange Act of 1934 covering registration of securities and exchanges, periodic reporting (Forms 10-K, 10-Q, 8-K), tender offers, proxy solicitations, insider trading prohibitions (Rules 10b-5, 14e-3, 16b), broker-dealer registration and conduct, clearing agencies, transfer agents, security-based swaps, and credit rating agencies. Part 240 is the operational rulebook for US public companies, registered broker-dealers, and other regulated market participants. Violations of Rule 10b-5 (antifraud) carry both civil and criminal liability.
Pillar: Banking & Global Finance · Authority: US SEC · Version: 1.0.0 · Last updated:
Primary source: https://www.ecfr.gov/current/title-17/chapter-II/part-240
SHA-256 integrity: 45b4a41c67123d553291ee269d53bc564477f4bda437442b329e36a7d6ba42b7
Primary Citations — 5 traced to source
- US 17 CFR General Rules and Regulations under the Securities Exchange Act of 1934
- US 17 CFR § 240.10b-5 Employment of manipulative and deceptive devices
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