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§ 78a. Short title - This chapter may be cited as the “Securities Exchange Act...
§ 78b. Necessity for regulation - (1) Such transactions (a) are carried on in large volume...
§ 78c. Definitions and application - (a) DefinitionsWhen used in this chapter, unless the context otherwise...
§ 78c–1. Swap agreements - (a) [Reserved] (b) Security-based swap agreements(1) The definition of “security”...
§ 78c–2. Securities-related derivatives - (a) Any agreement, contract, or transaction (or class thereof) that...
§ 78c–3. Clearing for security-based swaps - (a) In general(1) Standard for clearingIt shall be unlawful for...
§ 78c–4. Security-based swap execution facilities - (a) Registration(1) In generalNo person may operate a facility for...
§ 78c–5. Segregation of assets held as collateral in security-based swap transactions - (a) Registration requirementIt shall be unlawful for any person to...
§ 78d. Securities and Exchange Commission - (a) Establishment; composition; limitations on commissioners; terms of officeThere is...
§ 78d–1. Delegation of functions by Commission - (a) Authorization; functions delegable; eligible persons; application of other lawsIn...
§ 78d–2. Transfer of functions with respect to assignment of personnel to chairman - In addition to the functions transferred by the provisions of...
§ 78d–3. Appearance and practice before the Commission - (a) Authority to censureThe Commission may censure any person, or...
§ 78d–4. Additional duties of Inspector General - (a) Suggestion submissions by Commission employees(1) Hotline establishedThe Inspector General...
§ 78d–5. Deadline for completing enforcement investigations and compliance examinations and inspections - (a) Enforcement investigations(1) In generalNot later than 180 days after...
§ 78d–6. Report and certification of internal supervisory controls - (a) Annual reports and certificationNot later than 90 days after...
§ 78d–7. Triennial report on personnel management - (a) Triennial report requiredOnce every 3 years, the Comptroller General...
§ 78d–8. Annual financial controls audit - (a) Reports of Commission(1) Annual reports requiredNot later than 6...
§ 78d–9. Report on oversight of national securities associations - (a) Report requiredNot later than 2 years after July 21,...
§ 78e. Transactions on unregistered exchanges - It shall be unlawful for any broker, dealer, or exchange,...
§ 78f. National securities exchanges - (a) Registration; applicationAn exchange may be registered as a national...
§ 78g. Margin requirements - (a) Rules and regulations for extension of credit; standard for...
§ 78h. Restrictions on borrowing and lending by members, brokers, and dealers - (a) In contravention of such rules and regulations as the...
§ 78i. Manipulation of security prices - (a) Transactions relating to purchase or sale of securityIt shall...
§ 78j. Manipulative and deceptive devices - (a)(1) To effect a short sale, or to use or...
§ 78j–1. Audit requirements - (a) In generalEach audit required pursuant to this chapter of...
§ 78j–2. Position limits and position accountability for security-based swaps and large trader reporting - (a) Position limitsAs a means reasonably designed to prevent fraud...
§ 78j–3. Compensation committees - (a) Independence of compensation committees(1) Listing standardsThe Commission shall, by...
§ 78j–4. Recovery of erroneously awarded compensation policy - (a) Listing standardsThe Commission shall, by rule, direct the national...
§ 78k. Trading by members of exchanges, brokers, and dealers - (a) Trading for own account or account of associated person;...
§ 78k–1. National market system for securities; securities information processors - (a) Congressional findings; facilitating establishment of national market system for...
§ 78l. Registration requirements for securities - (a) General requirement of registrationIt shall be unlawful for any...
§ 78l–1. Applications for unlisted trading privileges deemed filed under - Any application to continue unlisted trading privileges for any security...
§ 78m. Periodical and other reports - (a) Reports by issuer of security; contentsEvery issuer of a...
§ 78m–1. Reporting and recordkeeping for certain security-based swaps - (a) Required reporting of security-based swaps not accepted by any...
§ 78m–2. Reporting requirements regarding coal or other mine safety - (a) Reporting mine safety informationEach issuer that is required to...
§ 78n. Proxies - (a) Solicitation of proxies in violation of rules and regulations(1)...
§ 78n–1. Shareholder approval of executive compensation - (a) Separate resolution required(1) In generalNot less frequently than once...
§ 78n–2. Corporate governance - (1) the same person to serve as chairman of the...
§ 78o. Registration and regulation of brokers and dealers - (a) Registration of all persons utilizing exchange facilities to effect...
§ 78o–1. Brokers deemed to be registered - All brokers and dealers for whom registration was in effect...
§ 78o–2. Liabilities arising prior to amendment unaffected - Nothing in this Act shall be deemed to extinguish any...
§ 78o–3. Registered securities associations - (a) Registration; applicationAn association of brokers and dealers may be...
§ 78o–4. Municipal securities - (a) Registration of municipal securities dealers(1)(A) It shall be unlawful...
§ 78o–4a. Commission Office of Municipal Securities - (a) In generalThere shall be in the Commission an Office...
§ 78o–5. Government securities brokers and dealers - (a) Registration requirements; notice to regulatory agencies; manner of registration;...
§ 78o–6. Securities analysts and research reports - (a) Analyst protectionsThe Commission, or upon the authorization and direction...
§ 78o–7. Registration of nationally recognized statistical rating organizations - (a) Registration procedures(1) Application for registration(A) In generalA credit rating...
§ 78o–8. Universal ratings symbols - (a) RulemakingThe Commission shall require, by rule, each nationally recognized...
§ 78o–9. Study and rulemaking on assigned credit ratings - (a) DefinitionIn this section, the term “structured finance product” means...
§ 78o–10. Registration and regulation of security-based swap dealers and major security-based swap participants - (a) Registration(1) Security-based swap dealersIt shall be unlawful for any...
§ 78o–11. Credit risk retention - (a) DefinitionsIn this section—(1) the term “Federal banking agencies” means...
§ 78p. Directors, officers, and principal stockholders - (a) Disclosures required(1) Directors, officers, and principal stockholders required to...
§ 78q. Records and reports - (a) Rules and regulations(1) Every national securities exchange, member thereof,...
§ 78q–1. National system for clearance and settlement of securities transactions - (a) Congressional findings; facilitating establishment of system(1) The Congress finds...
§ 78q–2. Automated quotation systems for penny stocks - (a) FindingsThe Congress finds that—(1) the market for penny stocks...
§ 78r. Liability for misleading statements - (a) Persons liable; persons entitled to recover; defense of good...
§ 78s. Registration, responsibilities, and oversight of self-regulatory organizations - (a) Registration procedures; notice of filing; other regulatory agencies(1) The...
§ 78t. Liability of controlling persons and persons who aid and abet violations - (a) Joint and several liability; good faith defenseEvery person who,...
§ 78t–1. Liability to contemporaneous traders for insider trading - (a) Private rights of action based on contemporaneous tradingAny person...
§ 78u. Investigations and actions - (a) Authority and discretion of Commission to investigate violations(1) The...
§ 78u–1. Civil penalties for insider trading - (a) Authority to impose civil penalties(1) Judicial actions by Commission...
§ 78u–2. Civil remedies in administrative proceedings - (a) Commission authority to assess money penalties(1) In generalIn any...
§ 78u–3. Cease-and-desist proceedings - (a) Authority of CommissionIf the Commission finds, after notice and...
§ 78u–4. Private securities litigation - (a) Private class actions(1) In generalThe provisions of this subsection...
§ 78u–5. Application of safe harbor for forward-looking statements - (a) ApplicabilityThis section shall apply only to a forward-looking statement...
§ 78u–6. Securities whistleblower incentives and protection - (a) DefinitionsIn this section the following definitions shall apply:(1) Covered...
§ 78u–7. Implementation and transition provisions for whistleblower protection - (a) Implementing rulesThe Commission shall issue final regulations implementing the...
§ 78v. Hearings by Commission - Hearings may be public and may be held before the...
§ 78w. Rules, regulations, and orders; annual reports - (a) Power to make rules and regulations; considerations; public disclosure(1)...
§ 78x. Public availability of information - (a) “Records” definedFor purposes of section 552 of title 5...
§ 78y. Court review of orders and rules - (a) Final Commission orders; persons aggrieved; petition; record; findings; affirmance,...
§ 78z. Unlawful representations - No action or failure to act by the Commission or...
§ 78aa. Jurisdiction of offenses and suits - (a) In generalThe district courts of the United States and...
§ 78aa–1. Special provision relating to statute of limitations on private causes of action - (a) Effect on pending causes of actionThe limitation period for...
§ 78bb. Effect on existing law - (a) Limitation on judgments(1) In generalNo person permitted to maintain...
§ 78cc. Validity of contracts - (a) Waiver provisionsAny condition, stipulation, or provision binding any person...
§ 78dd. Foreign securities exchanges - (a) Unlawful transactions on foreign securities exchangesIt shall be unlawful...
§ 78dd–1. Prohibited foreign trade practices by issuers - (a) ProhibitionIt shall be unlawful for any issuer which has...
§ 78dd–2. Prohibited foreign trade practices by domestic concerns - (a) ProhibitionIt shall be unlawful for any domestic concern, other...
§ 78dd–3. Prohibited foreign trade practices by persons other than issuers or domestic concerns - (a) ProhibitionIt shall be unlawful for any person other than...
§ 78ee. Transaction fees - (a) Recovery of costs of annual appropriationThe Commission shall, in...
§ 78ff. Penalties - (a) Willful violations; false and misleading statementsAny person who willfully...
§ 78gg. Separability - If any provision of this chapter, or the application of...
§ 78hh. Effective date - This chapter shall become effective on , except that sections...
§ 78hh–1. Effective date of certain sections - This Act shall become effective on ; except that clause...
§ 78ii. Omitted -
§ 78jj. Repealed. , , -
§ 78kk. Authorization of appropriations - (1) for fiscal year 2011, $1,300,000,000; (2) for fiscal year...
§ 78ll. Requirements for the EDGAR system - (1) shall provide that any information in the EDGAR system...
§ 78mm. General exemptive authority - (a) Authority(1) In generalExcept as provided in subsection (b), but...
§ 78nn. Tennessee Valley Authority - (a) In generalCommencing with the issuance by the Tennessee Valley...
§ 78oo. Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks - (a) Federal National Mortgage Association and Federal Home Loan Mortgage...
§ 78pp. Investor Advisory Committee - (a) Establishment and purpose(1) EstablishmentThere is established within the Commission...
§ 78qq. Small Business Capital Formation Advisory Committee - (a) Establishment and purpose(1) EstablishmentThere is established within the Commission...
§ 78rr. Data standards for security-based swap reporting - (a) RequirementThe Commission shall, by rule, adopt data standards for...