Other Laws & Rules
- Investment Company Act of 1940
- Securities Exchange Act of 1934
- Section 13(d) - Reports by persons acquiring more than 5% of certain classes of securities
- Section 13(f) - Reports by institutional investment managers
- Section 13(g) - Statement of equity security ownership
- Section 13(h) - Large trader reporting
- Section 16(a) - Directors, officers, and principal stockholders required to file
- Section 28(e) - Exchange, broker, and dealer commissions; brokerage and research services
- Rule 10b-5 - Employment of Manipulative and Deceptive Devices
- Rule 13d-1 - Filing of Schedules 13D and 13G
- Rule 13d-2 - Filing of amendments to Schedules 13D or 13G
- Rule 13d-3 - Determination of Beneficial Ownership
- Rule 13d-4 - Disclaimer of Beneficial Ownership
- Rule 13d-5 - Acquisition of Securities
- Rule 13d-6 - Exemption of Certain Acquisitions
- Rule 13d-7 - Dissemination
- Rule 13f-1 - Reporting by Institutional Investment Managers of Information with Respect to Accounts
- Rule 13h–1 Large trader reporting.
- Rule 16a-1 - Definition of terms.
- Rule 16a-2 - Persons and transactions subject to section
- Rule 16a-3 - Reporting transactions and holdings.
- Rule 16a-4 - Derivative securities.
- Rule 16a-5 - Odd-lot dealers.
- Rule 16a-6 - Small acquisitions.
- Rule 16a-7 - Transactions effected in connection with a distribution.
- Rule 16a - 8 - Trusts.
- Rule 16a–9 Stock splits, stock dividends, and pro rata rights.
- 16a-10 - Exemptions under section 16(a).
- Rule 16a–11 Dividend or interest reinvestment plans.
- Rule 16a-12 - Domestic relations orders.
- Rule 16a-13 - Change in form of beneficial ownership.
- Regulation S-ID - Identity Theft Rules
- Regulation S-P
- § 248.1 - Purpose and scope.
- § 248.2 - Model privacy form: rule of construction.
- § 248.3 - Definitions
- § 248.4 - Initial privacy notice to consumers required.
- § 248.5 - Annual privacy notice to customers required.
- § 248.6 - Information to be included in privacy notices.
- § 248.7 - Form of opt out notice to consumers; opt out methods.
- § 248.8 - Revised privacy notices.
- § 248.9 - Delivering privacy and opt out notices.
- § 248.10 - Limits on disclosure of nonpublic personal information to nonaffiliated third parties.
- § 248.11 - Limits on redisclosure and reuse of information.
- § 248.12 - Limits on sharing account number information for marketing purposes.
- § 248.13 - Exception to opt out requirements for service providers and joint marketing.
- § 248.14 - Exceptions to notice and opt out requirements for processing and servicing transaction
- § 248.15 - Other exceptions to notice and opt out requirements.
- § 248.16 - Protection of Fair Credit Reporting Act.
- § 248.17 - Relation to State laws.
- § 248.18 - Effective date; transition rule.
- § 248.30 Procedures to safeguard customer records and information; disposal of consumer repor
- Regulation S-AM - Limitations on Affiliate Marketing
- § 248.101 - Purpose and Scope.
- § 248.102 - Examples.
- § 248.120 - Definitions.
- § 248.121 Affiliate Marketing Opt Out and Exceptions.
- § 248.122 Scope and duration of opt out.
- § 248.123 Contents of opt out notice; consolidated and equivalent notices.
- § 248.124 Reasonable opportunity to opt out.
- § 248.125 Reasonable and simple methods of opting out.
- § 248.126 Delivery of Opt Out Notices.
- § 248.127 Renewal of Opt Out Elections.
- § 248.128 Effective Date, Compliance Date, and Prospective Application.