12 CFR Part 10 - MUNICIPAL SECURITIES DEALERS

Authority:

12 U.S.C. 93a, 481, 1462a, 1463, 1464(c), 1818, and 5412(b)(2)(B); 15 U.S.C. 78o-4(c)(5) and 78q-78w.

Source:

63 FR 29094, May 28, 1998, unless otherwise noted.

{'United States Code': [{'Title': '15', 'Section': '78o-4', 'headtext': ' Municipal securities', 'cleanpath': '/uscode/text/15/78o-4'}, {'Title': '15', 'Section': '78q', 'headtext': ' Records and reports', 'cleanpath': '/uscode/text/15/78q'}, {'Title': '15', 'Section': '78q-1', 'headtext': ' National system for clearance and settlement of securities transactions', 'cleanpath': '/uscode/text/15/78q-1'}, {'Title': '15', 'Section': '78q-2', 'headtext': ' Automated quotation systems for penny stocks', 'cleanpath': '/uscode/text/15/78q-2'}, {'Title': '15', 'Section': '78r', 'headtext': ' Liability for misleading statements', 'cleanpath': '/uscode/text/15/78r'}, {'Title': '15', 'Section': '78s', 'headtext': ' Registration, responsibilities, and oversight of self-regulatory organizations', 'cleanpath': '/uscode/text/15/78s'}, {'Title': '15', 'Section': '78t', 'headtext': ' Liability of controlling persons and persons who aid and abet violations', 'cleanpath': '/uscode/text/15/78t'}, {'Title': '15', 'Section': '78t-1', 'headtext': ' Liability to contemporaneous traders for insider trading', 'cleanpath': '/uscode/text/15/78t-1'}, {'Title': '15', 'Section': '78u', 'headtext': ' Investigations and actions', 'cleanpath': '/uscode/text/15/78u'}, {'Title': '15', 'Section': '78u-1', 'headtext': ' Civil penalties for insider trading', 'cleanpath': '/uscode/text/15/78u-1'}, {'Title': '15', 'Section': '78u-2', 'headtext': ' Civil remedies in administrative proceedings', 'cleanpath': '/uscode/text/15/78u-2'}, {'Title': '15', 'Section': '78u-3', 'headtext': ' Cease-and-desist proceedings', 'cleanpath': '/uscode/text/15/78u-3'}, {'Title': '15', 'Section': '78u-4', 'headtext': ' Private securities litigation', 'cleanpath': '/uscode/text/15/78u-4'}, {'Title': '15', 'Section': '78u-5', 'headtext': ' Application of safe harbor for forward-looking statements', 'cleanpath': '/uscode/text/15/78u-5'}, {'Title': '15', 'Section': '78u-6', 'headtext': ' Securities whistleblower incentives and protection', 'cleanpath': '/uscode/text/15/78u-6'}, {'Title': '15', 'Section': '78u-7', 'headtext': ' Implementation and transition provisions for whistleblower protection', 'cleanpath': '/uscode/text/15/78u-7'}, {'Title': '15', 'Section': '78v', 'headtext': ' Hearings by Commission', 'cleanpath': '/uscode/text/15/78v'}, {'Title': '15', 'Section': '78w', 'headtext': ' Rules, regulations, and orders; annual reports', 'cleanpath': '/uscode/text/15/78w'}, {'Title': '12', 'Section': '93a', 'headtext': ' Authority to prescribe rules and regulations', 'cleanpath': '/uscode/text/12/93a'}, {'Title': '12', 'Section': '481', 'headtext': ' Appointment of examiners; examination of member banks, State banks, and trust companies; reports', 'cleanpath': '/uscode/text/12/481'}, {'Title': '12', 'Section': '1462a', 'headtext': ' Administrative provisions', 'cleanpath': '/uscode/text/12/1462a'}, {'Title': '12', 'Section': '1463', 'headtext': ' Supervision of savings associations', 'cleanpath': '/uscode/text/12/1463'}, {'Title': '12', 'Section': '1464', 'headtext': ' Federal savings associations', 'cleanpath': '/uscode/text/12/1464'}, {'Title': '12', 'Section': '1818', 'headtext': ' Termination of status as insured depository institution', 'cleanpath': '/uscode/text/12/1818'}, {'Title': '12', 'Section': '5412', 'headtext': ' Powers and duties transferred', 'cleanpath': '/uscode/text/12/5412'}], 'Statutes at Large': [], 'Public Laws': [], 'Presidential Documents': []}