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20 results 78u-3
Scoped to Title 15
Exact match Title 15 Title 15 / Chapter 2B SECURITIES EXCHANGES / Section 78u–3

15 U.S.C. § 78u–3

Cease-and-desist proceedings

Chapter 2B SECURITIES EXCHANGES

Exact citation match for 15 USC § 78U-3

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 78u

15 U.S.C. § 78u

Investigations and actions

Chapter 2B SECURITIES EXCHANGES

Investigations and actions

Title 15 Title 15 / Section 1607

15 U.S.C. § 1607

Administrative enforcement

Subchapter I CONSUMER CREDIT COST DISCLOSURE / Part A General Provisions

Administrative enforcement

Title 15 Title 15 / Section 7202

15 U.S.C. § 7202

Commission rules and enforcement

Chapter 98 PUBLIC COMPANY ACCOUNTING REFORM AND CORPORATE RESPONSIBILITY

Commission rules and enforcement

Title 15 Title 15 / Section 78a

15 U.S.C. § 78a

Short title

Chapter 2B SECURITIES EXCHANGES

Short title

Title 15 Title 15 / Section 78j–1

15 U.S.C. § 78j–1

Audit requirements

Chapter 2B SECURITIES EXCHANGES

Audit requirements

Title 15 Title 15 / Section 77g

15 U.S.C. § 77g

Information required in registration statement

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

Information required in registration statement

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 78u–7

15 U.S.C. § 78u–7

Implementation and transition provisions for whistleblower protection

Chapter 2B SECURITIES EXCHANGES

Implementation and transition provisions for whistleblower protection

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 78u–6

15 U.S.C. § 78u–6

Securities whistleblower incentives and protection

Chapter 2B SECURITIES EXCHANGES

Securities whistleblower incentives and protection

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 78u–4

15 U.S.C. § 78u–4

Private securities litigation

Chapter 2B SECURITIES EXCHANGES

Private securities litigation

Title 15 Title 15 / Section 78fff–3

15 U.S.C. § 78fff–3

SIPC advances

Chapter 2B–1 SECURITIES INVESTOR PROTECTION

SIPC advances

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 78hh–1

15 U.S.C. § 78hh–1

Effective date of certain sections

Chapter 2B SECURITIES EXCHANGES

Effective date of certain sections

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 77k

15 U.S.C. § 77k

Civil liabilities on account of false registration statement

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

Civil liabilities on account of false registration statement

Title 15 Title 15 / Section 78c

15 U.S.C. § 78c

Definitions and application

Chapter 2B SECURITIES EXCHANGES

Definitions and application