General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240)

Rules of General Application (Rules 0-1 to 3a5-3)

Definition of “Equity Security” as Used in Sections 12(g) and 16. (Rule 3a11-1)

Miscellaneous Exemptions (Rules 3a12-1 to 3a55-4)

Security-Based Swap Dealer and Participant Definitions (Rules 3a67-1 to 3a67-10)

Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Rules 3a68-1a to 3a71-6)

Definitions (Rules 3b-1 to 3b-19)

Clearing of Security-Based Swaps (Rules 3Ca-1 to 3Ca-2)

Registration and Exemption of Exchanges (Rules 6a-1 to 6h-2)

Hypothecation of Customers’ Securities (Rule 8c-1 to 9b-1)

Short Sales (Rules 10a-1 to 10a-2)

Manipulative and Deceptive Devices and Contrivances (Rules 10b-1 to 10b-21)

Reports Under Section 10A (Rules 10A-1 to 10A-3)

Requirements Under Section 10C (Rule 10C-1)

Adoption of Floor Trading Regulation (Rules 11a-1 to 11a2-2(T))

Adoption of Regulation on Conduct of Specialists (Rule 11b-1)

Exemption of Certain Securities from Section 11(d)(1) (Rules 11d1-1 to 11d2-1)

Securities Exempted from Registration (Rules 12a-4 to 12a-11)

Regulation 12B – Registration and Reporting (Rules 12b-1 to 12b-37)

Certification by Exchanges (Rules 12d1-1 to 12d1-6)

Suspension of Trading, Withdrawal, and Striking from Listing and Registration (Rules 12d2-1 to 12d2-2)

Unlisted Trading (Rules 12f-1 to 12f-6)

Extensions and Temporary Exemptions; Definitions (Rules 12g-1 to 12h-7)

Regulation 13A – Reports of Issuers of Securities Registered Pursuant to Section 12 (Rules 13a-1 to 13a-19; 13b1 to 13b2-2; 13d-1 to 13d-102; 13e-1 to 13e-102; 13f-1)

Regulation 13b-2: Maintenance of Records and Preparation of Required Reports (Rules 13b1 to 13b2-2)

Regulation 13D (Rules 13d-1 to 13d-102; 13e-1 to 13e-102; 13f-1 to 13f-2(T))

Regulation 14A – Solicitations of Proxies (Rules 14a-1 to 14b-2)

Regulation 14C – Distribution of Information pursuant to Section 14C (Rules 14c-1 to 14c-101)

Regulation 14D (Rule 14d-1 to Schedule 14D-9F)

Regulation 14E (Rules 14e-1 to 14f-1)

Exemption of Certain Securities from Section 15(a)(Rules 15a-2 to 15a-5)

Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)

Rules relating to Over-the-Counter Markets (Rules 15c1-1 to 15c6-1)

Regulation 15D: Reports of Registrants under the Securities Act of 1933 (Rules 15d-1 to 15g-100)

National and Affiliated Securities Associations (Rules 15Aa-1 to 15Bc7-1)

Registration of Government Securities Brokers and Government Securities Dealers (Rules 15Ca1-1 to 15Cc1-1)

Registration and Regulation of Security Based Swap Dealers and Major Security-based Swap Participants (Rules 15Fb1-1 to 16a-13)

Exemption of Certain Transactions from Section 16(b) (Rules 16b-1 to 16b-8)

Exemption of Certain Transactions from Section 16(c) (Rules 16c-1 to 16c-4)

Arbitrage Transactions (Rule 16e-1)

Preservation of Records and Reports of Certain Stabilizing Activities (Rules 17a-1 to 17f-2)

Nationally Recognized Statistical Rating Organizations (Rules 17g-1 to 17Ad-22)

Suspension and Expulsion of Exchange Members (Rules 19a3-1 to 19h-1)

Securities Whistleblower Incentives and Protections (Rules 21F-1 to 21F-17)

Inspection and Publication of Information Filed under the Act (Rules 24b-1 to 31-1)