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20 results 78o-5
Scoped to Title 15
Exact match Title 15 Title 15 / Chapter 2B SECURITIES EXCHANGES / Section 78o–5

15 U.S.C. § 78o–5

Government securities brokers and dealers

Chapter 2B SECURITIES EXCHANGES

Exact citation match for 15 USC § 78O-5

Title 15 Title 15 / Section 78o–3

15 U.S.C. § 78o–3

Registered securities associations

Chapter 2B SECURITIES EXCHANGES

Registered securities associations

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 78u–2

15 U.S.C. § 78u–2

Civil remedies in administrative proceedings

Chapter 2B SECURITIES EXCHANGES

Civil remedies in administrative proceedings

Title 15 Title 15 / Section 78a

15 U.S.C. § 78a

Short title

Chapter 2B SECURITIES EXCHANGES

Short title

Title 15 Title 15 / Section 78s

15 U.S.C. § 78s

Registration, responsibilities, and oversight of self-regulatory organizations

Chapter 2B SECURITIES EXCHANGES

Registration, responsibilities, and oversight of self-regulatory organizations

Title 15 Title 15 / Section 78y

15 U.S.C. § 78y

Court review of orders and rules

Chapter 2B SECURITIES EXCHANGES

Court review of orders and rules

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 78q

15 U.S.C. § 78q

Records and reports

Chapter 2B SECURITIES EXCHANGES

Records and reports

Title 15 Title 15 / Section 78w

15 U.S.C. § 78w

Rules, regulations, and orders; annual reports

Chapter 2B SECURITIES EXCHANGES

Rules, regulations, and orders; annual reports

Title 15 Title 15 / Section 78lll

15 U.S.C. § 78lll

Definitions

Chapter 2B–1 SECURITIES INVESTOR PROTECTION

Definitions

Title 15 Title 15 / Section 80b–3

15 U.S.C. § 80b–3

Registration of investment advisers

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

Registration of investment advisers

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 80a–9

15 U.S.C. § 80a–9

Ineligibility of certain affiliated persons and underwriters

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

Ineligibility of certain affiliated persons and underwriters

Title 15 Title 15 / Section 78u–5

15 U.S.C. § 78u–5

Application of safe harbor for forward-looking statements

Chapter 2B SECURITIES EXCHANGES

Application of safe harbor for forward-looking statements

Title 15 Title 15 / Section 78o–4

15 U.S.C. § 78o–4

Municipal securities

Chapter 2B SECURITIES EXCHANGES

Municipal securities

Title 15 Title 15 / Section 78o–9

15 U.S.C. § 78o–9

Study and rulemaking on assigned credit ratings

Chapter 2B SECURITIES EXCHANGES

Study and rulemaking on assigned credit ratings

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 78o–11

15 U.S.C. § 78o–11

Credit risk retention

Chapter 2B SECURITIES EXCHANGES

Credit risk retention

Title 15 Title 15 / Section 78o–4a

15 U.S.C. § 78o–4a

Commission Office of Municipal Securities

Chapter 2B SECURITIES EXCHANGES

Commission Office of Municipal Securities