US SEC Securities Exchange Act Rules - 17 CFR Part 240 Anti-Fraud (Rule 10b-5), Broker-Dealer Net Capital, Recordkeeping (17a-3/17a-4) and Reporting Obligations

What US SEC Securities Exchange Act Rules - 17 CFR Part 240 Anti-Fraud (Rule 10b-5), Broker-Dealer Net Capital, Recordkeeping (17a-3/17a-4) and Reporting Obligations requires

17 CFR Part 240 is the SEC's General Rules and Regulations under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Part 240 contains over 500 sections implementing the operational, anti-fraud, market structure, broker-dealer, and reporting provisions of the Exchange Act. Headline rules include: Rule 10b-5 (§240.10b-5, anti-fraud rule prohibiting any device, scheme, or artifice to defraud, any untrue statement of material fact or omission, or any act, practice, or course of business that operates as a fraud or deceit in connection with the purchase or sale of any security); Rule 15c3-1 (§240.15c3-1, broker-dealer net capital rule with the alternative standard and the basic method); Rule 15c3-3 (§240.15c3-3, customer protection rule on physical possession or control of customer securities and reserve computation); Rule 17a-3 (§240.17a-3, records required to be made by broker-dealers); Rule 17a-4 (§240.17a-4, records required to be preserved by broker-dealers including the WORM/Audit Trail format requirements for electronic records); Rule 17a-5 (broker-dealer financial reports including FOCUS Report); Rule 17a-8 (anti-money-laundering recordkeeping); Section 13(d)/(g) beneficial ownership rules (§§240.13d-1 to 240.13d-7); Section 14 proxy rules (§§240.14a-1 et seq.); Section 16 insider reporting (§§240.16a-1 to 240.16a-13); Regulation FD (§§240.100-103) on selective disclosure; Regulation M (§§240.100-105 anti-manipulation in connection with offerings); Regulation SHO (§§240.200-204 short sale rule including locate, close-out, and threshold-list provisions); Form 8-K trigger and content rules (§240.13a-11 cross-reference); insider trading rules (Rule 10b5-1 trading plans and Rule 10b5-2 misappropriation theory).

Pillar: Banking & Global Finance · Authority: US Securities and Exchange Commission (SEC) · Version: 1.0.0 · Last updated: 2026-05-17

Primary source: https://www.ecfr.gov/current/title-17/chapter-II/part-240

SHA-256 integrity: 2d8b0bfb6404071dc7a1a263a20b1abe93ba085913bbf66e9fc234d69524f1e6

Primary Citations — 7 traced to source

• Securities Exchange Act of 1934, 15 U.S.C. 78a et seq. - statutory authority
• 17 CFR Part 240, General Rules and Regulations, Securities Exchange Act of 1934 - including §240.10b-5 (anti-fraud), §240.10b5-1 (trading plans), §240.10b5-2 (misappropriation), §240.13d-1 through 240.13d-7 (beneficial ownership), §240.13a-11 (Form 8-K), §240.14a-1 et seq. (proxy rules), §240.15c3-1 (net capital), §240.15c3-3 (customer protection), §240.16a-1 through 240.16a-13 (insider reporting), §240.17a-3 (records made), §240.17a-4 (records preserved), §240.17a-5 (financial reports), §240.17a-8 (AML recordkeeping), §240.17a-11 (notification of net capital deficiency), §240.100-103 (Regulation FD), §240.200-204 (Regulation SHO)

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