United States Code/Title 15/Chapter 2B

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United States Code
by the United States Government
Title 15, Chapter 2B. Securities Exchanges

See the current codification for Title 15, Chapter 2B in the Cornell Law School U.S. Code Collection

Title 15 — Commerce and Trade
Chapter 2B — Securities Exchanges
§ 78a Short title
§ 78b Necessity for regulation
§ 78c Definitions and application
§ 78c-1 Swap agreements
§ 78d Securities and Exchange Commission
§ 78d-1 Delegation of functions by Commission
§ 78d-2 Transfer of functions with respect to assignment of personnel to chairman
§ 78d-3 Appearance and practice before the Commission
§ 78e Transactions on unregistered exchanges
§ 78f National securities exchanges
§ 78g Margin requirements
§ 78h Restrictions on borrowing and lending by members, brokers, and dealers
§ 78i Manipulation of security prices
§ 78j Manipulative and deceptive devices
§ 78j-1 Audit requirements
§ 78k Trading by members of exchanges, brokers, and dealers
§ 78k-1 National market system for securities; securities information processors
§ 78l Registration requirements for securities
§ 78l-1 Applications for unlisted trading privileges deemed filed under section 78l of this title
§ 78m Periodical and other reports
§ 78n Proxies
§ 78o Registration and regulation of brokers and dealers
§ 78o-1 Brokers deemed to be registered
§ 78o-2 Liabilities arising prior to amendment unaffected
§ 78o-3 Registered securities associations
§ 78o-4 Municipal securities
§ 78o-5 Government securities brokers and dealers
§ 78o-6 Securities analysts and research reports
§ 78o-7 Registration of nationally recognized statistical rating organizations
§ 78p Directors, officers, and principal stockholders
§ 78q Records and reports
§ 78q-1 National system for clearance and settlement of securities transactions
§ 78q-2 Automated quotation systems for penny stocks
§ 78r Liability for misleading statements
§ 78s Registration, responsibilities, and oversight of self-regulatory organizations
§ 78t Liability of controlling persons and persons who aid and abet violations
§ 78t-1 Liability to contemporaneous traders for insider trading
§ 78u Investigations and actions
§ 78u-1 Civil penalties for insider trading
§ 78u-2 Civil remedies in administrative proceedings
§ 78u-3 Cease-and-desist proceedings
§ 78u-4 Private securities litigation
§ 78u-5 Application of safe harbor for forward-looking statements
§ 78v Hearings by Commission
§ 78w Rules, regulations, and orders; annual reports
§ 78x Public availability of information
§ 78y Court review of orders and rules
§ 78z Unlawful representations
§ 78aa Jurisdiction of offenses and suits
§ 78aa-1 Special provision relating to statute of limitations on private causes of action
§ 78bb Effect on existing law
§ 78cc Validity of contracts
§ 78dd Foreign securities exchanges
§ 78dd-1 Prohibited foreign trade practices by issuers
§ 78dd-2 Prohibited foreign trade practices by domestic concerns
§ 78dd-3 Prohibited foreign trade practices by persons other than issuers or domestic concerns
§ 78ee Transaction fees
§ 78ff Penalties
§ 78gg Separability
§ 78hh Effective date
§ 78hh-1 Effective date of certain sections
§ 78ii Omitted
§ 78jj Repealed
§ 78kk Authorization of appropriations
§ 78ll Requirements for the EDGAR system
§ 78mm General exemptive authority
§ 78nn Tennessee Valley Authority


This chapter, referred to in text [§ 78a], was in the original “This Act” meaning the ``Securities Exchange Act of 1934´´, act June 6, 1934, ch. 404. The act was divided into two titles as follows:
“Title I - Regulation of Securities Exchanges”; and
“Title II - Amendments to Securities Act of 1933”.
This section was section 1 of title I of the Act, which title, as amended, is set out as sections 78a to 78l, 78m to 78o, 78o-3 to 78dd-1, 78ee to 78hh, and 78mm of this title. Sections 78kk, 78ll, and 78nn of this title, which were directed to be added at the end of the Securities Exchange Act of 1934, have been treated in the Code as added to title I of the Act to reflect the probable intent of Congress. See Codification notes set out under those sections.
Title II of the act amended or repealed sections 77b to 77e, 77j, 77k, 77m, 77o, and 77s, and added former sections 78ii and 78jj of this title. For complete classification of this Act to the Code, see Tables.