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20 results 78c-1
Scoped to Title 15
Exact match Title 15 Title 15 / Chapter 2B SECURITIES EXCHANGES / Section 78c–1

15 U.S.C. § 78c–1

Swap agreements

Chapter 2B SECURITIES EXCHANGES

Exact citation match for 15 USC § 78C-1

Title 15 Title 15 / Section 78u–1

15 U.S.C. § 78u–1

Civil penalties for insider trading

Chapter 2B SECURITIES EXCHANGES

Civil penalties for insider trading

Title 15 Title 15 / Section 78mm

15 U.S.C. § 78mm

General exemptive authority

Chapter 2B SECURITIES EXCHANGES

General exemptive authority

Title 15 Title 15 / Section 8302

15 U.S.C. § 8302

Review of regulatory authority

Subchapter I REGULATION OF OVER-THE-COUNTER SWAPS MARKETS / Part A Regulatory Authority

Review of regulatory authority

Title 15 Title 15 / Section 8341

15 U.S.C. § 8341

Authority to further define terms

Chapter 109 WALL STREET TRANSPARENCY AND ACCOUNTABILITY / Subchapter II REGULATION OF SECURITY-BASED SWAP MARKETS

Authority to further define terms

Title 15 Title 15 / Section 77b

15 U.S.C. § 77b

Definitions; promotion of efficiency, competition, and capital formation

Chapter 2A SECURITIES AND TRUST INDENTURES / Subchapter I DOMESTIC SECURITIES

Definitions; promotion of efficiency, competition, and capital formation

Title 15 Title 15 / Section 78o

15 U.S.C. § 78o

Registration and regulation of brokers and dealers

Chapter 2B SECURITIES EXCHANGES

Registration and regulation of brokers and dealers

Title 15 Title 15 / Section 78o–10

15 U.S.C. § 78o–10

Registration and regulation of security-based swap dealers and major security-based swap participants

Chapter 2B SECURITIES EXCHANGES

Registration and regulation of security-based swap dealers and major security-based swap participants

Title 15 Title 15 / Section 78p

15 U.S.C. § 78p

Directors, officers, and principal stockholders

Chapter 2B SECURITIES EXCHANGES

Directors, officers, and principal stockholders

Title 15 Title 15 / Section 78t

15 U.S.C. § 78t

Liability of controlling persons and persons who aid and abet violations

Chapter 2B SECURITIES EXCHANGES

Liability of controlling persons and persons who aid and abet violations

Title 15 Title 15 / Section 8342

15 U.S.C. § 8342

Savings clause

Chapter 109 WALL STREET TRANSPARENCY AND ACCOUNTABILITY / Subchapter II REGULATION OF SECURITY-BASED SWAP MARKETS

Savings clause

Title 15 Title 15 / Section 78i

15 U.S.C. § 78i

Manipulation of security prices

Chapter 2B SECURITIES EXCHANGES

Manipulation of security prices

Title 15 Title 15 / Section 8301

15 U.S.C. § 8301

Definitions

Subchapter I REGULATION OF OVER-THE-COUNTER SWAPS MARKETS / Part A Regulatory Authority

Definitions

Title 15 Title 15 / Section 8344

15 U.S.C. § 8344

Other authority

Chapter 109 WALL STREET TRANSPARENCY AND ACCOUNTABILITY / Subchapter II REGULATION OF SECURITY-BASED SWAP MARKETS

Other authority

Title 15 Title 15 / Section 78c

15 U.S.C. § 78c

Definitions and application

Chapter 2B SECURITIES EXCHANGES

Definitions and application

Title 15 Title 15 / Section 78c–5

15 U.S.C. § 78c–5

Segregation of assets held as collateral in security-based swap transactions

Chapter 2B SECURITIES EXCHANGES

Segregation of assets held as collateral in security-based swap transactions

Title 15 Title 15 / Section 78fff–2

15 U.S.C. § 78fff–2

Special provisions of a liquidation proceeding

Chapter 2B–1 SECURITIES INVESTOR PROTECTION

Special provisions of a liquidation proceeding

Title 15 Title 15 / Section 78ccc

15 U.S.C. § 78ccc

Securities Investor Protection Corporation

Chapter 2B–1 SECURITIES INVESTOR PROTECTION

Securities Investor Protection Corporation

Title 15 Title 15 / Section 80b–2

15 U.S.C. § 80b–2

Definitions

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter II INVESTMENT ADVISERS

Definitions

Title 15 Title 15 / Section 8306

15 U.S.C. § 8306

Determining status of novel derivative products

Subchapter I REGULATION OF OVER-THE-COUNTER SWAPS MARKETS / Part A Regulatory Authority

Determining status of novel derivative products