Securities Exchange Act of 1934

Section 1 — Short title

Section 2 — Necessity for regulation

Section 3 — Definitions and application

Section 3A — Swap agreements

Section 3B — Securities-related deriviatives

Section 3C — Clearing for security-based swaps

Section 3D — Security-based swap execution facilities

Section 3E — Segregation of assets held as collateral in security-based swap transations

Section 4 — Securities and Exchange Commission

Section 4A — Delegation of functions by Commission

Section 4B — Transfer of functions with respect to assignment of personnel to chairman

Section 4C — Appearance and practice before the Commission

Section 4D — Additional duties of Inspector General

Section 4E — Deadline for completing enforcement investigations and compliance examinations and inspections

Section 5 — Transactions on unregistered exchanges

Section 6 — National securities exchanges

Section 7 — Margin requirements

Section 8 — Restrictions on borrowing and lending by members, brokers, and dealers

Section 9 — Manipulation of security prices

Section 10 — Manipulative and deceptive devices

Section 10A — Audit requirements

Section 10B — Position limits and position accountability for security-based swaps and large trader reporting

Section 10C — Compensation committees

Section 10D — Recovery of erroneously awarded compensation policy

Section 11 — Trading by members of exchanges, brokers, and dealers

Section 11A — National market system for securities; securities information processors

Section 12 — Registration requirements for securities

Section 13 — Periodical and other reports

Section 13A — Reporting and recordkeeping for certain security-based swaps

Section 14 — Proxies

Section 14A — Shareholder approval of executive compensation

Section 14B — Corporate governance

Section 15 — Registration and regulation of brokers and dealers

Section 15A — Registered securities associations

Section 15B — Municipal securities

Section 15C — Government securities brokers and dealers

Section 15D — Securities analysts and research reports

Section 15E — Registration of nationally recognized statistical rating organizations

Section 15F — Registration and regulation of security-based swap dealers and major security-based swap participants

Section 15G — Credit risk retention

Section 16 — Directors, officers, and principal stockholders

Section 17 — Records and reports

Section 17A — National system for clearance and settlement of securities transactions

Section 17B — Automated quotation systems for penny stocks

Section 18 — Liability for misleading statements

Section 19 — Registration, responsibilities, and oversight of self-regulatory organizations

Section 20 — Liability of controlling persons and persons who aid and abet violations

Section 20A — Liability to contemporaneous traders for insider trading

Section 21 — Investigations and actions

Section 21A — Civil penalties for insider trading

Section 21B — Civil remedies In administrative proceedings

Section 21C — Cease-and-desist proceedings

Section 21D — Private securities litigation

Section 21E — Application of safe harbor for forward-looking statements

Section 21F — Securities whistleblower incentives and protection

Section 22 — Hearings by Commission

Section 23 — Rules, regulations, and orders; annual reports

Section 24 — Public availability of information

Section 25 — Court review of orders and rules

Section 26 — Unlawful representations

Section 27 — Jurisdiction of offenses and suits

Section 27A — Special provision relating to statute of limitations on private causes of action

Section 28 — Effect on existing law

Section 29 — Validity of contracts

Section 30 — Foreign securities exchanges

Section 30A — Prohibited foreign trade practices by issuers

Section 31 — Transaction fees

Section 32 — Penalties

Section 33 — Separability

Section 34 — Effective date

Section 35 — Authorization of appropriations

Section 35A — Requirements for the EDGAR system

Section 36 — General exemptive authority

Section 37 — Tennessee Valley Authority

Section 38 — Federal National Mortgage Association, Federal Home Loan Mortgage

Section 39 — Investor Advisory Committee

Section 41 — Data Standards for security-based swap reporting

Section 201 — Definitions; promotion of efficiency, competition, and capital formation

Section 202 — Classes of securities under this subchapter

Section 203 — Exempted transactions

Section 204 — Prohibitions relating to interstate commerce and the mails

Section 205 –Information required in prospectus

Section 206 — Civil liabilities on account of false registration statement

Section 207 — Limitation of actions

Section 208 — Liability of controlling persons

Section 209 — Special powers of the Commission