Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Index

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REGULATION  M




Rule 100 -- Preliminary Note; Definitions

Rule 101 -- Activities by Distribution Participants

Rule 102 -- Activities by Issuers and Selling Security Holders During a Distribution

Rule 103 -- Nasdaq Passive Market Making

Rule 104 -- Stabilizing and Other Activities in Connection with an Offering

Rule 105 -- Short Selling in Connection with a Public Offering





REGULATION  SHO

 






REGULATION ATS

ALTERNATIVE TRADING SYSTEMS




Preliminary Notes

Rule 300 -- Definitions

Rule 301 -- Requirements for Alternative Trading Systems

Rule 302 -- Recordkeeping Requirements for Alternative Trading Systems

Rule 303 -- Record Preservation Requirements for Alternative Trading Systems





CUSTOMER MARGIN REQUIREMENTS FOR

SECURITY FUTURES




Rule 400 -- Customer Margin Requirements for Security Futures--Authority, Purpose, Interpretation, and Scope

Rule 401 -- Definitions

Rule 402 -- General Provisions

Rule 403 -- Required Margin

Rule 404 -- Type, Form and Use of Margin

Rule 405 -- Withdrawal of Margin

Rule 406 -- Undermargined Accounts





REGULATION AC

ANALYST CERTIFICATION


Rule 500 -- Definitions

Rule 501 -- Certifications in Connection with Research Reports

Rule 502 -- Certifications in Connection with Public Appearances

Rule 503 -- Certain Foreign Research Reports

Rule 504 -- Notification to Associated Persons

Rule 505 -- Exclusion for News Media

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