Securities Act of 1934

SECURITIES EXCHANGE ACT OF 1934 [AS AMENDED

THROUGH

P.L. 112-106,

APPROVED

APRIL 5, 2012]

TABLE OF CONTENTS Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. Sec. TITLE I—REGULATION OF SECURITIES EXCHANGES. 1. Short Title. 2. Necessity for Regulation As Provided in This Title. 3. Definitions and Application of Title. 3A. Swap Agreements. 3B. Securities-Related Derivatives. 3C. Clearing for Security-Based Swaps. 3D. Security-Based Swap Execution Facilities. 3E. Segregation of Assets Held As Collateral in Security-Based Swap Transactions. 4. Securities and Exchange Commission. 4A. Delegation of Functions by Commission. 4B. Transfer of Functions With Respect to Assignment of Personnel to Chairman. 4C. Appearance and Practice Before the Commission. 4D. Additional Duties of Inspector General. 4E. Deadline for Completing Enforcement Investigations and Compliance Examinations and Inspections. 5. Transactions on Unregistered Exchanges. 6. National Securities Exchanges. 7. Margin Requirements. 8. Restrictions on Borrowing by Members, Brokers, and Dealers. 9. Prohibition Against Manipulation of Security Prices. 10. Regulation of the Use of Manipulative and Deceptive Devices. 10A. Audit Requirements. 10B. Position Limits and Position Accountability for Security-Based Swaps and Large Trader Reporting. 10C. Compensation Committees. 10D. Recovery of Erroneously Awarded Compensation Policy. 11. Trading by Members of Exchanges, Brokers, and Dealers. 11A. National Market System for Securities; Securities Information Processors. 12. Registration Requirements for Securities. 13. Periodical and Other Reports. 13A. Reporting and Recordkeeping for Certain Security-Based Swaps. 14. Proxies. 14A. Shareholder Approval of Executive Compensation. 14B. Corporate Governance. 15. Registration and Regulation of...