Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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(17 CFR) Part 242

Regulations M, ATS, AC and Customer Margin

Requirements for Security Futures





Index


    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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