{"identifier":"17","label":"Title 17 - Commodity and Securities Exchanges","label_level":"Title 17","label_description":"Commodity and Securities Exchanges","reserved":false,"type":"title","children":[{"identifier":"I","label":" Chapter I - Commodity Futures Trading Commission","label_level":" Chapter I","label_description":"Commodity Futures Trading Commission","reserved":false,"type":"chapter","children":[{"identifier":"1","label":"Part 1 - General Regulations Under the Commodity Exchange Act","label_level":"Part 1","label_description":"General Regulations Under the Commodity Exchange Act","reserved":false,"type":"part","volumes":["1"],"children":[{"generated_id":true,"identifier":"ECFR893b3e8e94c8047","label":"Definitions","label_level":"Definitions","label_description":"Definitions","reserved":false,"type":"subject_group","children":[{"identifier":"1.1","label":"§ 1.1 [Reserved]","label_level":"§ 1.1","label_description":"§ 1.1 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Customer's name, address, and occupation recorded; record of guarantor or controller of account.","label_level":"§ 1.37","label_description":"Customer's name, address, and occupation recorded; record of guarantor or controller of account.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.38","label":"§ 1.38 Execution of transactions.","label_level":"§ 1.38","label_description":"Execution of transactions.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.39","label":"§ 1.39 Simultaneous buying and selling orders of different principals; execution of, for and between principals.","label_level":"§ 1.39","label_description":"Simultaneous buying and selling orders of different principals; execution of, for and between principals.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"1.31 – 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Denomination of customer funds and location of depositories.","label_level":"§ 1.49","label_description":"Denomination of customer funds and location of depositories.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.50-1.51","label":"§§ 1.50-1.51 [Reserved]","label_level":"§§ 1.50-1.51","label_description":"§§ 1.50-1.51 [Reserved]","reserved":true,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.52","label":"§ 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements.","label_level":"§ 1.52","label_description":"Self-regulatory organization adoption and surveillance of minimum financial requirements.","reserved":false,"type":"section","volumes":["1"],"received_on":"2019-05-06T20:00:06-0400"},{"identifier":"1.53","label":"§ 1.53 [Reserved]","label_level":"§ 1.53","label_description":"§ 1.53 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Composition of various self-regulatory organization governing boards and major disciplinary committees.","label_level":"§ 1.64","label_description":"Composition of various self-regulatory organization governing boards and major disciplinary committees.","reserved":false,"type":"section","volumes":["1"],"received_on":"2020-03-05T10:30:06-0500"},{"identifier":"1.65","label":"§ 1.65 Notice of bulk transfers and disclosure obligations to customers.","label_level":"§ 1.65","label_description":"Notice of bulk transfers and disclosure obligations to customers.","reserved":false,"type":"section","volumes":["1"],"received_on":"2021-05-14T21:50:05-0400"},{"identifier":"1.66","label":"§ 1.66 No-action positions with respect to floor traders.","label_level":"§ 1.66","label_description":"No-action positions with respect to floor traders.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.67","label":"§ 1.67 Notification of final 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1.70","label_description":"Notification of State enforcement actions brought under the Commodity Exchange Act.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.71","label":"§ 1.71 Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.","label_level":"§ 1.71","label_description":"Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.72","label":"§ 1.72 Restrictions on customer clearing arrangements.","label_level":"§ 1.72","label_description":"Restrictions on customer clearing arrangements.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"1.73","label":"§ 1.73 Clearing futures commission merchant risk management.","label_level":"§ 1.73","label_description":"Clearing 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[Reserved]\n","reserved":true,"type":"appendix","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"1.1 – 1.75"},{"identifier":"2","label":"Part 2 - Official Seal","label_level":"Part 2","label_description":"Official Seal","reserved":false,"type":"part","volumes":["1"],"children":[{"identifier":"2.1","label":"§ 2.1 Description.","label_level":"§ 2.1","label_description":"Description.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"2.2","label":"§ 2.2 Authority to affix seal.","label_level":"§ 2.2","label_description":"Authority to affix seal.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"2.3","label":"§ 2.3 Prohibitions against misuse of seal.","label_level":"§ 2.3","label_description":"Prohibitions against misuse of 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10.109"},{"identifier":"I","label":"Subpart I - Restitution Orders","label_level":"Subpart I","label_description":"Restitution Orders","reserved":false,"type":"subpart","volumes":["1"],"children":[{"identifier":"10.110","label":"§ 10.110 Basis for issuance of restitution orders.","label_level":"§ 10.110","label_description":"Basis for issuance of restitution orders.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"10.111","label":"§ 10.111 Recommendation of procedure for implementing restitution.","label_level":"§ 10.111","label_description":"Recommendation of procedure for implementing restitution.","reserved":false,"type":"section","volumes":["1"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"10.112","label":"§ 10.112 Administration of restitution.","label_level":"§ 10.112","label_description":"Administration of 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of 1933 for securities of certain foreign private issuers.","reserved":false,"type":"section","volumes":["3"],"received_on":"2021-01-08T01:20:05-0500"},{"identifier":"239.32","label":"§ 239.32 [Reserved]","label_level":"§ 239.32","label_description":"§ 239.32 [Reserved]","reserved":true,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.33","label":"§ 239.33 Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.","label_level":"§ 239.33","label_description":"Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.","reserved":false,"type":"section","volumes":["3"],"received_on":"2021-01-08T01:20:05-0500"},{"identifier":"239.34","label":"§ 239.34 Form F-4, for registration of securities of foreign private issuers issued in certain business 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the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.","label_level":"§ 239.37","label_description":"Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.38","label":"§ 239.38 Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.","label_level":"§ 239.38","label_description":"Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business 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Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.42","label":"§ 239.42 Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 et seq. of this chapter) on Form 1-A (§ 239.90), or by any non-U.S. issuer providing Form 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rights offering or business combination.","reserved":false,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.43","label":"§ 239.43 Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.","label_level":"§ 239.43","label_description":"Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.","reserved":false,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.44","label":"§ 239.44 Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.","label_level":"§ 239.44","label_description":"Form SF-1, registration statement 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EDGAR.","label_level":"§ 239.63","label_description":"Form ID, uniform application for access codes to file on EDGAR.","reserved":false,"type":"section","volumes":["3"],"received_on":"2021-05-13T07:30:04-0400"},{"identifier":"239.64","label":"§ 239.64 Form SE, form for submission of paper format exhibits by electronic filers.","label_level":"§ 239.64","label_description":"Form SE, form for submission of paper format exhibits by electronic filers.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.65","label":"§ 239.65 Form TH - Notification of reliance on temporary hardship exemption.","label_level":"§ 239.65","label_description":"Form TH - Notification of reliance on temporary hardship exemption.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"}],"descendant_range":"239.4 – 239.65"},{"identifier":"B","label":"Subpart B - Forms Pertaining to Exemptions","label_level":"Subpart 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1-U.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.94","label":"§ 239.94 Form 1-Z.","label_level":"§ 239.94","label_description":"Form 1-Z.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.95-239.143","label":"§§ 239.95-239.143 [Reserved]","label_level":"§§ 239.95-239.143","label_description":"§§ 239.95-239.143 [Reserved]","reserved":true,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.144","label":"§ 239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.","label_level":"§ 239.144","label_description":"Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.","reserved":false,"type":"section","volumes":["3"],"received_on":"2019-02-22T20:30:05-0500"},{"identifier":"239.145-239.199","label":"§§ 239.145-239.199 [Reserved]","label_level":"§§ 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[Reserved]","reserved":true,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.500","label":"§ 239.500 Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.","label_level":"§ 239.500","label_description":"Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.","reserved":false,"type":"section","volumes":["3"],"received_on":"2017-05-25T01:00:00-0400"},{"identifier":"239.701","label":"§ 239.701 [Reserved]","label_level":"§ 239.701","label_description":"§ 239.701 [Reserved]","reserved":true,"type":"section","volumes":["3"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"239.800","label":"§ 239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering.","label_level":"§ 239.800","label_description":"Form CB, report of sales of securities in connection with an exchange offer or a rights 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furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.","label_level":"§ 240.15b1-5","label_description":"Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15b1-6","label":"§ 240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.","label_level":"§ 240.15b1-6","label_description":"Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15b2-2","label":"§ 240.15b2-2 Inspection of newly registered brokers and dealers.","label_level":"§ 240.15b2-2","label_description":"Inspection of newly 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registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15b7-1","label":"§ 240.15b7-1 Compliance with qualification requirements of self-regulatory organizations.","label_level":"§ 240.15b7-1","label_description":"Compliance with qualification requirements of self-regulatory organizations.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15b7-3T","label":"§ 240.15b7-3T Operational capability in a Year 2000 environment.","label_level":"§ 240.15b7-3T","label_description":"Operational capability in a Year 2000 environment.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15b9-1","label":"§ 240.15b9-1 Exemption for certain exchange members.","label_level":"§ 240.15b9-1","label_description":"Exemption for certain exchange 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Over-the-Counter Markets","reserved":false,"type":"subject_group","children":[{"identifier":"240.15c1-1","label":"§ 240.15c1-1 Definitions.","label_level":"§ 240.15c1-1","label_description":"Definitions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-2","label":"§ 240.15c1-2 Fraud and misrepresentation.","label_level":"§ 240.15c1-2","label_description":"Fraud and misrepresentation.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-3","label":"§ 240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration.","label_level":"§ 240.15c1-3","label_description":"Misrepresentation by brokers, dealers and municipal securities dealers as to registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-4","label":"§ 240.15c1-4 [Reserved]","label_level":"§ 240.15c1-4","label_description":"§ 240.15c1-4 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-5","label":"§ 240.15c1-5 Disclosure of control.","label_level":"§ 240.15c1-5","label_description":"Disclosure of control.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-6","label":"§ 240.15c1-6 Disclosure of interest in distribution.","label_level":"§ 240.15c1-6","label_description":"Disclosure of interest in distribution.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-7","label":"§ 240.15c1-7 Discretionary accounts.","label_level":"§ 240.15c1-7","label_description":"Discretionary accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c1-8","label":"§ 240.15c1-8 Sales at the market.","label_level":"§ 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received in connection with underwritings.","label_level":"§ 240.15c2-4","label_description":"Transmission or maintenance of payments received in connection with underwritings.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c2-5","label":"§ 240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions.","label_level":"§ 240.15c2-5","label_description":"Disclosure and other requirements when extending or arranging credit in certain transactions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c2-6","label":"§ 240.15c2-6 [Reserved]","label_level":"§ 240.15c2-6","label_description":"§ 240.15c2-6 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c2-7","label":"§ 240.15c2-7 Identification of quotations.","label_level":"§ 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disclosure.","reserved":false,"type":"section","volumes":["4"],"received_on":"2018-11-01T01:00:00-0400"},{"identifier":"240.15c3-1","label":"§ 240.15c3-1 Net capital requirements for brokers or dealers.","label_level":"§ 240.15c3-1","label_description":"Net capital requirements for brokers or dealers.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-08-03T20:00:11-0400"},{"identifier":"240.15c3-1a","label":"§ 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).","label_level":"§ 240.15c3-1a","label_description":"Options (Appendix A to 17 CFR 240.15c3-1).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-10-23T21:00:10-0400"},{"identifier":"240.15c3-1b","label":"§ 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (appendix B to 17 CFR 240.15c3-1).","label_level":"§ 240.15c3-1b","label_description":"Adjustments to net worth and aggregate indebtedness for certain commodities transactions 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240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).","label_level":"§ 240.15c3-1e","label_description":"Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-08-03T20:00:11-0400"},{"identifier":"240.15c3-1f","label":"§ 240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).","label_level":"§ 240.15c3-1f","label_description":"Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"240.15c3-1g","label":"§ 240.15c3-1g Conditions for ultimate holding companies of certain brokers or dealers (Appendix G to 17 CFR 240.15c3-1).","label_level":"§ 240.15c3-1g","label_description":"Conditions 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Notices","reserved":false,"type":"subject_group","children":[{"identifier":"248.4","label":"§ 248.4 Initial privacy notice to consumers required.","label_level":"§ 248.4","label_description":"Initial privacy notice to consumers required.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.5","label":"§ 248.5 Annual privacy notice to customers required.","label_level":"§ 248.5","label_description":"Annual privacy notice to customers required.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.6","label":"§ 248.6 Information to be included in privacy notices.","label_level":"§ 248.6","label_description":"Information to be included in privacy notices.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.7","label":"§ 248.7 Form of opt out notice to consumers; opt out methods.","label_level":"§ 248.7","label_description":"Form of opt out notice to consumers; opt out methods.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.8","label":"§ 248.8 Revised privacy notices.","label_level":"§ 248.8","label_description":"Revised privacy notices.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.9","label":"§ 248.9 Delivering privacy and opt out notices.","label_level":"§ 248.9","label_description":"Delivering privacy and opt out notices.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.4 – 248.9"},{"generated_id":true,"identifier":"ECFR33831dfef6e9db3","label":"Limits on Disclosures","label_level":"Limits on Disclosures","label_description":"Limits on Disclosures","reserved":false,"type":"subject_group","children":[{"identifier":"248.10","label":"§ 248.10 Limits on disclosure of nonpublic personal information to nonaffiliated third parties.","label_level":"§ 248.10","label_description":"Limits on disclosure of nonpublic personal information to nonaffiliated third parties.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.11","label":"§ 248.11 Limits on redisclosure and reuse of information.","label_level":"§ 248.11","label_description":"Limits on redisclosure and reuse of information.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.12","label":"§ 248.12 Limits on sharing account number information for marketing purposes.","label_level":"§ 248.12","label_description":"Limits on sharing account number information for marketing purposes.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.10 – 248.12"},{"generated_id":true,"identifier":"ECFR931661bf1d834f8","label":"Exceptions","label_level":"Exceptions","label_description":"Exceptions","reserved":false,"type":"subject_group","children":[{"identifier":"248.13","label":"§ 248.13 Exception to opt out requirements for service providers and joint marketing.","label_level":"§ 248.13","label_description":"Exception to opt out requirements for service providers and joint marketing.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.14","label":"§ 248.14 Exceptions to notice and opt out requirements for processing and servicing transactions.","label_level":"§ 248.14","label_description":"Exceptions to notice and opt out requirements for processing and servicing transactions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.15","label":"§ 248.15 Other exceptions to notice and opt out requirements.","label_level":"§ 248.15","label_description":"Other exceptions to notice and opt out requirements.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.13 – 248.15"},{"generated_id":true,"identifier":"ECFR83262a0bce5ffaa","label":"Relation to Other Laws; Effective Date","label_level":"Relation to Other Laws; Effective Date","label_description":"Relation to Other Laws; Effective Date","reserved":false,"type":"subject_group","children":[{"identifier":"248.16","label":"§ 248.16 Protection of Fair Credit Reporting Act.","label_level":"§ 248.16","label_description":"Protection of Fair Credit Reporting Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.17","label":"§ 248.17 Relation to State laws.","label_level":"§ 248.17","label_description":"Relation to State laws.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.18","label":"§ 248.18 Effective date; transition rule.","label_level":"§ 248.18","label_description":"Effective date; transition rule.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.19-248.29","label":"§§ 248.19-248.29 [Reserved]","label_level":"§§ 248.19-248.29","label_description":"§§ 248.19-248.29 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.30","label":"§ 248.30 Procedures to safeguard customer records and information; disposal of consumer report information.","label_level":"§ 248.30","label_description":"Procedures to safeguard customer records and information; disposal of consumer report information.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.31-248.100","label":"§§ 248.31-248.100 [Reserved]","label_level":"§§ 248.31-248.100","label_description":"§§ 248.31-248.100 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.16 – 248.100"},{"identifier":"Appendix A to Subpart A of Part 248","label":"Appendix A to Subpart A of Part 248 - Forms\n","label_level":"Appendix A to Subpart A of Part 248","label_description":"Forms\n","reserved":false,"type":"appendix","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.1 – 248.100"},{"identifier":"B","label":"Subpart B - Regulation S-AM: Limitations on Affiliate Marketing","label_level":"Subpart B","label_description":"Regulation S-AM: Limitations on Affiliate Marketing","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"248.101","label":"§ 248.101 Purpose and scope.","label_level":"§ 248.101","label_description":"Purpose and scope.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.102","label":"§ 248.102 Examples.","label_level":"§ 248.102","label_description":"Examples.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.103-248.119","label":"§§ 248.103-248.119 [Reserved]","label_level":"§§ 248.103-248.119","label_description":"§§ 248.103-248.119 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.120","label":"§ 248.120 Definitions.","label_level":"§ 248.120","label_description":"Definitions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.121","label":"§ 248.121 Affiliate marketing opt out and exceptions.","label_level":"§ 248.121","label_description":"Affiliate marketing opt out and exceptions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.122","label":"§ 248.122 Scope and duration of opt out.","label_level":"§ 248.122","label_description":"Scope and duration of opt out.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.123","label":"§ 248.123 Contents of opt out notice; consolidated and equivalent notices.","label_level":"§ 248.123","label_description":"Contents of opt out notice; consolidated and equivalent notices.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.124","label":"§ 248.124 Reasonable opportunity to opt out.","label_level":"§ 248.124","label_description":"Reasonable opportunity to opt out.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.125","label":"§ 248.125 Reasonable and simple methods of opting out.","label_level":"§ 248.125","label_description":"Reasonable and simple methods of opting out.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.126","label":"§ 248.126 Delivery of opt out notices.","label_level":"§ 248.126","label_description":"Delivery of opt out notices.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.127","label":"§ 248.127 Renewal of opt out elections.","label_level":"§ 248.127","label_description":"Renewal of opt out elections.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.128","label":"§ 248.128 Effective date, compliance date, and prospective application.","label_level":"§ 248.128","label_description":"Effective date, compliance date, and prospective application.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"Appendix to Subpart B of Part 248","label":"Appendix to Subpart B of Part 248 - Model Forms\n","label_level":"Appendix to Subpart B of Part 248","label_description":"Model Forms\n","reserved":false,"type":"appendix","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.101 – 248.128"},{"identifier":"C","label":"Subpart C - Regulation S-ID: Identity Theft Red Flags","label_level":"Subpart C","label_description":"Regulation S-ID: Identity Theft Red Flags","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"248.201","label":"§ 248.201 Duties regarding the detection, prevention, and mitigation of identity theft.","label_level":"§ 248.201","label_description":"Duties regarding the detection, prevention, and mitigation of identity theft.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"248.202","label":"§ 248.202 Duties of card issuers regarding changes of address.","label_level":"§ 248.202","label_description":"Duties of card issuers regarding changes of address.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"Appendix A to Subpart C of Part 248","label":"Appendix A to Subpart C of Part 248 - Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation\n","label_level":"Appendix A to Subpart C of Part 248","label_description":"Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation\n","reserved":false,"type":"appendix","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"248.201 – 248.202"}],"descendant_range":"248.1 – 248.202"},{"identifier":"249","label":"Part 249 - Forms, Securities Exchange Act of 1934","label_level":"Part 249","label_description":"Forms, Securities Exchange Act of 1934","reserved":false,"type":"part","volumes":["4"],"children":[{"identifier":"249.0-1","label":"§ 249.0-1 Availability of forms.","label_level":"§ 249.0-1","label_description":"Availability of forms.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"A","label":"Subpart A - Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges","label_level":"Subpart A","label_description":"Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1","label":"§ 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.","label_level":"§ 249.1","label_description":"Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.10","label":"§ 249.10 Form 1-N for notice registration as a national securities exchange.","label_level":"§ 249.10","label_description":"Form 1-N for notice registration as a national securities exchange.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.11","label":"§ 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.","label_level":"§ 249.11","label_description":"Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.25","label":"§ 249.25 Form 25, for notification of removal from listing and/or registration.","label_level":"§ 249.25","label_description":"Form 25, for notification of removal from listing and/or registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.26","label":"§ 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).","label_level":"§ 249.26","label_description":"Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1 – 249.26"},{"identifier":"B","label":"Subpart B - Forms for Reports To Be Filed by Officers, Directors, and Security Holders","label_level":"Subpart B","label_description":"Forms for Reports To Be Filed by Officers, Directors, and Security Holders","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.103","label":"§ 249.103 Form 3, initial statement of beneficial ownership of securities.","label_level":"§ 249.103","label_description":"Form 3, initial statement of beneficial ownership of securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.104","label":"§ 249.104 Form 4, statement of changes in beneficial ownership of securities.","label_level":"§ 249.104","label_description":"Form 4, statement of changes in beneficial ownership of securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.105","label":"§ 249.105 Form 5, annual statement of beneficial ownership of securities.","label_level":"§ 249.105","label_description":"Form 5, annual statement of beneficial ownership of securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.103 – 249.105"},{"identifier":"C","label":"Subpart C - Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters","label_level":"Subpart C","label_description":"Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.208","label":"§ 249.208 [Reserved]","label_level":"§ 249.208","label_description":"§ 249.208 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.208a","label":"§ 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.","label_level":"§ 249.208a","label_description":"Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.208b-249.208c","label":"§§ 249.208b-249.208c [Reserved]","label_level":"§§ 249.208b-249.208c","label_description":"§§ 249.208b-249.208c [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.210","label":"§ 249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.","label_level":"§ 249.210","label_description":"Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-11-06T03:00:07-0500"},{"identifier":"249.210b","label":"§ 249.210b [Reserved]","label_level":"§ 249.210b","label_description":"§ 249.210b [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.218","label":"§ 249.218 Form 18, for foreign governments and political subdivisions thereof.","label_level":"§ 249.218","label_description":"Form 18, for foreign governments and political subdivisions thereof.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.220f","label":"§ 249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).","label_level":"§ 249.220f","label_description":"Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.240f","label":"§ 249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).","label_level":"§ 249.240f","label_description":"Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.250","label":"§ 249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.","label_level":"§ 249.250","label_description":"Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.208 – 249.250"},{"identifier":"D","label":"Subpart D - Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934","label_level":"Subpart D","label_description":"Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.306","label":"§ 249.306 Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.","label_level":"§ 249.306","label_description":"Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.308","label":"§ 249.308 Form 8-K, for current reports.","label_level":"§ 249.308","label_description":"Form 8-K, for current reports.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.308a","label":"§ 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.","label_level":"§ 249.308a","label_description":"Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.310","label":"§ 249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.","label_level":"§ 249.310","label_description":"Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.310b-249.310c","label":"§§ 249.310b-249.310c [Reserved]","label_level":"§§ 249.310b-249.310c","label_description":"§§ 249.310b-249.310c [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.311","label":"§ 249.311 Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.","label_level":"§ 249.311","label_description":"Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.312","label":"§ 249.312 Form 10-D, periodic distribution reports by asset-backed issuers.","label_level":"§ 249.312","label_description":"Form 10-D, periodic distribution reports by asset-backed issuers.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.318","label":"§ 249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.","label_level":"§ 249.318","label_description":"Form 18-K, annual report for foreign governments and political subdivisions thereof.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.322","label":"§ 249.322 Form 12b-25 - Notification of late filing.","label_level":"§ 249.322","label_description":"Form 12b-25 - Notification of late filing.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.323","label":"§ 249.323 Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.","label_level":"§ 249.323","label_description":"Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.324","label":"§ 249.324 Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).","label_level":"§ 249.324","label_description":"Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.325","label":"§ 249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.","label_level":"§ 249.325","label_description":"Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.327","label":"§ 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.","label_level":"§ 249.327","label_description":"Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.328T","label":"§ 249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.","label_level":"§ 249.328T","label_description":"Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.330","label":"§ 249.330 Form N-CEN, annual report of registered investment companies.","label_level":"§ 249.330","label_description":"Form N-CEN, annual report of registered investment companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.331","label":"§ 249.331 Form N-CSR, certified shareholder report.","label_level":"§ 249.331","label_description":"Form N-CSR, certified shareholder report.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.332","label":"§ 249.332 [Reserved]>","label_level":"§ 249.332","label_description":"[Reserved]>","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-05-05T20:30:04-0400"},{"identifier":"249.444","label":"§ 249.444 Form SE, form for submission of paper format exhibits by electronic filers.","label_level":"§ 249.444","label_description":"Form SE, form for submission of paper format exhibits by electronic filers.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.445","label":"§ 249.445 [Reserved]","label_level":"§ 249.445","label_description":"§ 249.445 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.446","label":"§ 249.446 Form ID, uniform application for access codes to file on EDGAR.","label_level":"§ 249.446","label_description":"Form ID, uniform application for access codes to file on EDGAR.","reserved":false,"type":"section","volumes":["5"],"received_on":"2021-05-13T07:30:04-0400"},{"identifier":"249.447","label":"§ 249.447 Form TH - Notification of reliance on temporary hardship exemption.","label_level":"§ 249.447","label_description":"Form TH - Notification of reliance on temporary hardship exemption.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.306 – 249.447"},{"identifier":"E","label":"Subpart E - Forms for Statements Made in Connection With Exempt Tender Offers","label_level":"Subpart E","label_description":"Forms for Statements Made in Connection With Exempt Tender Offers","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.480","label":"§ 249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.","label_level":"§ 249.480","label_description":"Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.480"},{"identifier":"F","label":"Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets","label_level":"Subpart F","label_description":"Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.501","label":"§ 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.","label_level":"§ 249.501","label_description":"Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.501a","label":"§ 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.","label_level":"§ 249.501a","label_description":"Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.501b","label":"§ 249.501b Form BD-N for notice registration as a broker-dealer.","label_level":"§ 249.501b","label_description":"Form BD-N for notice registration as a broker-dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.507","label":"§ 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.","label_level":"§ 249.507","label_description":"Form 7-M, consent to service of process by an individual nonresident broker-dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.508","label":"§ 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.","label_level":"§ 249.508","label_description":"Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.509","label":"§ 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.","label_level":"§ 249.509","label_description":"Form 9-M, consent to service of process by a partnership nonresident broker-dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.510","label":"§ 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.","label_level":"§ 249.510","label_description":"Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.501 – 249.510"},{"identifier":"G","label":"Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants","label_level":"Subpart G","label_description":"Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.617","label":"§ 249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.","label_level":"§ 249.617","label_description":"Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-03-04T21:00:43-0500"},{"identifier":"249.618","label":"§ 249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.","label_level":"§ 249.618","label_description":"Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.619","label":"§ 249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.","label_level":"§ 249.619","label_description":"Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.620-249.634","label":"§§ 249.620-249.634 [Reserved]","label_level":"§§ 249.620-249.634","label_description":"§§ 249.620-249.634 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.635","label":"§ 249.635 Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.","label_level":"§ 249.635","label_description":"Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-04-02T20:30:06-0400"},{"identifier":"249.636","label":"§ 249.636 [Reserved]","label_level":"§ 249.636","label_description":"§ 249.636 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.637","label":"§ 249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.","label_level":"§ 249.637","label_description":"Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.638","label":"§ 249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.","label_level":"§ 249.638","label_description":"Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.639","label":"§ 249.639 Form custody.","label_level":"§ 249.639","label_description":"Form custody.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.640","label":"§ 249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.","label_level":"§ 249.640","label_description":"Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-04-02T20:30:06-0400"},{"identifier":"249.641","label":"§ 249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.","label_level":"§ 249.641","label_description":"Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-09-11T20:00:08-0400"}],"descendant_range":"249.617 – 249.641"},{"identifier":"H","label":"Subpart H - Forms For Reports as to Stabilization","label_level":"Subpart H","label_description":"Forms For Reports as to Stabilization","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.709","label":"§ 249.709 [Reserved]","label_level":"§ 249.709","label_description":"§ 249.709 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"249.709"},{"identifier":"I","label":"Subpart I - Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations","label_level":"Subpart I","label_description":"Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.801","label":"§ 249.801 Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.","label_level":"§ 249.801","label_description":"Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.802","label":"§ 249.802 Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.","label_level":"§ 249.802","label_description":"Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.803","label":"§ 249.803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.","label_level":"§ 249.803","label_description":"Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.819","label":"§ 249.819 Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.","label_level":"§ 249.819","label_description":"Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"249.820","label":"§ 249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).","label_level":"§ 249.820","label_description":"Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.821","label":"§ 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.","label_level":"§ 249.821","label_description":"Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.822","label":"§ 249.822 Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.","label_level":"§ 249.822","label_description":"Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"}],"descendant_range":"249.801 – 249.822"},{"identifier":"J","label":"Subpart J [Reserved]","label_level":"Subpart J","label_description":"Subpart J [Reserved]","reserved":true,"type":"subpart","volumes":[],"children":[]},{"identifier":"K","label":"Subpart K - Form for Registration of, and Reporting by Securities Information Processors","label_level":"Subpart K","label_description":"Form for Registration of, and Reporting by Securities Information Processors","reserved":false,"type":"subpart","volumes":["4","5"],"children":[{"identifier":"249.1001","label":"§ 249.1001 Form SIP, for application for registration as a securities information processor or to amend such an application or registration.","label_level":"§ 249.1001","label_description":"Form SIP, for application for registration as a securities information processor or to amend such an application or registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1002","label":"§ 249.1002 Form CC, for application for registration as a competing consolidator or to amend such an application or registration.","label_level":"§ 249.1002","label_description":"Form CC, for application for registration as a competing consolidator or to amend such an application or registration.","reserved":false,"type":"section","volumes":["5"],"received_on":"2021-06-09T21:50:04-0400"}],"descendant_range":"249.1001 – 249.1002"},{"identifier":"L","label":"Subpart L - Forms for Registration of Municipal Securities Dealers","label_level":"Subpart L","label_description":"Forms for Registration of Municipal Securities Dealers","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1100","label":"§ 249.1100 Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.","label_level":"§ 249.1100","label_description":"Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1110","label":"§ 249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).","label_level":"§ 249.1110","label_description":"Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1100 – 249.1110"},{"identifier":"M","label":"Subpart M - Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities","label_level":"Subpart M","label_description":"Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1200","label":"§ 249.1200 Form X-17F-1A - Report for missing, lost, stolen or counterfeit securities.","label_level":"§ 249.1200","label_description":"Form X-17F-1A - Report for missing, lost, stolen or counterfeit securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1200"},{"identifier":"N","label":"Subpart N - Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons","label_level":"Subpart N","label_description":"Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1300","label":"§ 249.1300 Form MA, for registration as a municipal advisor, and for amendments to registration.","label_level":"§ 249.1300","label_description":"Form MA, for registration as a municipal advisor, and for amendments to registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1300T","label":"§ 249.1300T Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.","label_level":"§ 249.1300T","label_description":"Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1310","label":"§ 249.1310 Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.","label_level":"§ 249.1310","label_description":"Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1320","label":"§ 249.1320 Form MA-W, for withdrawal from registration as a municipal advisor.","label_level":"§ 249.1320","label_description":"Form MA-W, for withdrawal from registration as a municipal advisor.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1330","label":"§ 249.1330 Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.","label_level":"§ 249.1330","label_description":"Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1300 – 249.1330"},{"identifier":"O","label":"Subpart O - Forms for Asset-Backed Securities","label_level":"Subpart O","label_description":"Forms for Asset-Backed Securities","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1400","label":"§ 249.1400 Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.","label_level":"§ 249.1400","label_description":"Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1401","label":"§ 249.1401 Form ABS-EE, for submission of the asset-data file exhibits and related documents.","label_level":"§ 249.1401","label_description":"Form ABS-EE, for submission of the asset-data file exhibits and related documents.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1400 – 249.1401"},{"identifier":"P","label":"Subpart P - Forms for Registration of Security-Based Swap Data Repositories","label_level":"Subpart P","label_description":"Forms for Registration of Security-Based Swap Data Repositories","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1500","label":"§ 249.1500 Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.","label_level":"§ 249.1500","label_description":"Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1500"},{"identifier":"Q","label":"Subpart Q - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants","label_level":"Subpart Q","label_description":"Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants","reserved":false,"type":"subpart","volumes":["4"],"children":[{"identifier":"249.1600","label":"§ 249.1600 Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.","label_level":"§ 249.1600","label_description":"Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1600a","label":"§ 249.1600a Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.","label_level":"§ 249.1600a","label_description":"Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1600b","label":"§ 249.1600b Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.","label_level":"§ 249.1600b","label_description":"Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1600c","label":"§ 249.1600c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.","label_level":"§ 249.1600c","label_description":"Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"249.1601","label":"§ 249.1601 Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.","label_level":"§ 249.1601","label_description":"Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"}],"descendant_range":"249.1600 – 249.1601"},{"identifier":"S","label":"Subpart S [Reserved]","label_level":"Subpart S","label_description":"Subpart S [Reserved]","reserved":true,"type":"subpart","volumes":[],"children":[]},{"identifier":"T","label":"Subpart T - Form SCI, for filing notices 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2(a)(51) (definition of “qualified purchaser”); certain calculations.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.2a51-2","label":"§ 270.2a51-2 Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.","label_level":"§ 270.2a51-2","label_description":"Definitions of beneficial owner for certain purposes under sections 2(a)(51) and 3(c)(7) and determining indirect ownership interests.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.2a51-3","label":"§ 270.2a51-3 Certain companies as qualified purchasers.","label_level":"§ 270.2a51-3","label_description":"Certain companies as qualified purchasers.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.3a-1","label":"§ 270.3a-1 Certain prima facie investment 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programs.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.3a-5","label":"§ 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.","label_level":"§ 270.3a-5","label_description":"Exemption for subsidiaries organized to finance the operations of domestic or foreign companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.3a-6","label":"§ 270.3a-6 Foreign banks and foreign insurance companies.","label_level":"§ 270.3a-6","label_description":"Foreign banks and foreign insurance companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.3a-7","label":"§ 270.3a-7 Issuers of asset-backed securities.","label_level":"§ 270.3a-7","label_description":"Issuers of asset-backed 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270.6a-5","label_description":"Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.6b-1","label":"§ 270.6b-1 Exemption of employees' securities company pending determination of application.","label_level":"§ 270.6b-1","label_description":"Exemption of employees' securities company pending determination of application.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.6c-3","label":"§ 270.6c-3 Exemptions for certain registered variable life insurance separate accounts.","label_level":"§ 270.6c-3","label_description":"Exemptions for certain registered variable life insurance separate accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.6c-6","label":"§ 270.6c-6 Exemption for certain registered separate accounts and other persons.","label_level":"§ 270.6c-6","label_description":"Exemption for certain registered separate accounts and other persons.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.6c-7","label":"§ 270.6c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.","label_level":"§ 270.6c-7","label_description":"Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.6c-8","label":"§ 270.6c-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges.","label_level":"§ 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270.8b-12","label_description":"Requirements as to paper, printing and language.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-13","label":"§ 270.8b-13 Preparation of registration statement or report.","label_level":"§ 270.8b-13","label_description":"Preparation of registration statement or report.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-14","label":"§ 270.8b-14 Riders; inserts.","label_level":"§ 270.8b-14","label_description":"Riders; inserts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-15","label":"§ 270.8b-15 Amendments.","label_level":"§ 270.8b-15","label_description":"Amendments.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-16","label":"§ 270.8b-16 Amendments to registration 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270.8b-23-270.8b-24 [Reserved]","label_level":"§§ 270.8b-23-270.8b-24","label_description":"§§ 270.8b-23-270.8b-24 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2019-05-03T19:30:04-0400"},{"identifier":"270.8b-25","label":"§ 270.8b-25 Extension of time for furnishing information.","label_level":"§ 270.8b-25","label_description":"Extension of time for furnishing information.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-30","label":"§ 270.8b-30 Additional exhibits.","label_level":"§ 270.8b-30","label_description":"Additional exhibits.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.8b-31","label":"§ 270.8b-31 Omission of substantially identical documents.","label_level":"§ 270.8b-31","label_description":"Omission of substantially identical 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270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.","label_level":"§ 270.14a-3","label_description":"Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.15a-1","label":"§ 270.15a-1 Exemption from stockholders' approval of certain small investment advisory contracts.","label_level":"§ 270.15a-1","label_description":"Exemption from stockholders' approval of certain small investment advisory contracts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.15a-2","label":"§ 270.15a-2 Annual continuance of contracts.","label_level":"§ 270.15a-2","label_description":"Annual continuance of 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period of directors of certain registered accounts from requirements of election by security holders.","label_level":"§ 270.16a-1","label_description":"Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-1","label":"§ 270.17a-1 Exemption of certain underwriting transactions exempted by § 270.10f-1.","label_level":"§ 270.17a-1","label_description":"Exemption of certain underwriting transactions exempted by § 270.10f-1.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-2","label":"§ 270.17a-2 Exemption of certain purchase, sale, or borrowing transactions.","label_level":"§ 270.17a-2","label_description":"Exemption of certain purchase, sale, or borrowing 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“purchase.”","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-6","label":"§ 270.17a-6 Exemption for transactions with portfolio affiliates.","label_level":"§ 270.17a-6","label_description":"Exemption for transactions with portfolio affiliates.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-7","label":"§ 270.17a-7 Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.","label_level":"§ 270.17a-7","label_description":"Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-8","label":"§ 270.17a-8 Mergers of affiliated companies.","label_level":"§ 270.17a-8","label_description":"Mergers of affiliated companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-9","label":"§ 270.17a-9 Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.","label_level":"§ 270.17a-9","label_description":"Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17a-10","label":"§ 270.17a-10 Exemption for transactions with certain subadvisory affiliates.","label_level":"§ 270.17a-10","label_description":"Exemption for transactions with certain subadvisory affiliates.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17d-1","label":"§ 270.17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans.","label_level":"§ 270.17d-1","label_description":"Applications regarding joint enterprises or arrangements and certain profit-sharing plans.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17d-2","label":"§ 270.17d-2 Form for report by small business investment company and affiliated bank.","label_level":"§ 270.17d-2","label_description":"Form for report by small business investment company and affiliated bank.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17d-3","label":"§ 270.17d-3 Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.","label_level":"§ 270.17d-3","label_description":"Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17e-1","label":"§ 270.17e-1 Brokerage transactions on a securities exchange.","label_level":"§ 270.17e-1","label_description":"Brokerage transactions on a securities exchange.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17f-1","label":"§ 270.17f-1 Custody of securities with members of national securities exchanges.","label_level":"§ 270.17f-1","label_description":"Custody of securities with members of national securities exchanges.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17f-2","label":"§ 270.17f-2 Custody of investments by registered management investment company.","label_level":"§ 270.17f-2","label_description":"Custody of investments by registered management investment 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270.17g-1","label_description":"Bonding of officers and employees of registered management investment companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.17j-1","label":"§ 270.17j-1 Personal investment activities of investment company personnel.","label_level":"§ 270.17j-1","label_description":"Personal investment activities of investment company personnel.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-05-24T01:00:00-0400"},{"identifier":"270.18c-1","label":"§ 270.18c-1 Exemption of privately held indebtedness.","label_level":"§ 270.18c-1","label_description":"Exemption of privately held indebtedness.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.18c-2","label":"§ 270.18c-2 Exemptions of certain debentures issued by small business investment companies.","label_level":"§ 270.18c-2","label_description":"Exemptions of certain debentures issued by small business investment companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.18f-1","label":"§ 270.18f-1 Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.","label_level":"§ 270.18f-1","label_description":"Exemption from certain requirements of section 18(f)(1) (of the Act) for registered open-end investment companies which have the right to redeem in kind.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.18f-2","label":"§ 270.18f-2 Fair and equitable treatment for holders of each class or series of stock of series investment companies.","label_level":"§ 270.18f-2","label_description":"Fair and equitable treatment for holders of each class or series of stock of series investment 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schedule.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.22d-2","label":"§ 270.22d-2 Exemption from section 22(d) for certain registered separate accounts.","label_level":"§ 270.22d-2","label_description":"Exemption from section 22(d) for certain registered separate accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.22e-1","label":"§ 270.22e-1 Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.","label_level":"§ 270.22e-1","label_description":"Exemption from section 22(e) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.22e-2","label":"§ 270.22e-2 Pricing of redemption requests in accordance with Rule 22c-1.","label_level":"§ 270.22e-2","label_description":"Pricing of redemption requests in accordance with Rule 22c-1.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.22e-3","label":"§ 270.22e-3 Exemption for liquidation of money market funds.","label_level":"§ 270.22e-3","label_description":"Exemption for liquidation of money market funds.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.22e-4","label":"§ 270.22e-4 Liquidity risk management programs.","label_level":"§ 270.22e-4","label_description":"Liquidity risk management programs.","reserved":false,"type":"section","volumes":["5"],"received_on":"2021-06-09T21:50:04-0400"},{"identifier":"270.23c-1","label":"§ 270.23c-1 Repurchase of securities by closed-end companies.","label_level":"§ 270.23c-1","label_description":"Repurchase of securities by closed-end companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.23c-2","label":"§ 270.23c-2 Call and redemption of securities issued by registered closed-end companies.","label_level":"§ 270.23c-2","label_description":"Call and redemption of securities issued by registered closed-end companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.23c-3","label":"§ 270.23c-3 Repurchase offers by closed-end companies.","label_level":"§ 270.23c-3","label_description":"Repurchase offers by closed-end companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-06-02T23:33:35-0400"},{"identifier":"270.24b-1","label":"§ 270.24b-1 Definitions.","label_level":"§ 270.24b-1","label_description":"Definitions.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.24b-2","label":"§ 270.24b-2 Filing copies of sales literature.","label_level":"§ 270.24b-2","label_description":"Filing copies of sales literature.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.24b-3","label":"§ 270.24b-3 Sales literature deemed filed.","label_level":"§ 270.24b-3","label_description":"Sales literature deemed filed.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.24b-4","label":"§ 270.24b-4 Filing copies of covered investment fund research reports.","label_level":"§ 270.24b-4","label_description":"Filing copies of covered investment fund research reports.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"270.24e-1","label":"§ 270.24e-1 Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.","label_level":"§ 270.24e-1","label_description":"Filing of certain prospectuses as post-effective amendments to registration statements under the Securities Act of 1933.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.24f-2","label":"§ 270.24f-2 Registration under the Securities Act of 1933 of certain investment company securities.","label_level":"§ 270.24f-2","label_description":"Registration under the Securities Act of 1933 of certain investment company securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-06-02T23:33:35-0400"},{"identifier":"270.26a-1","label":"§ 270.26a-1 Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.","label_level":"§ 270.26a-1","label_description":"Payment of administrative fees to the depositor or principal underwriter of a unit investment trust; exemptive relief for separate accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27c-1","label":"§ 270.27c-1 [Reserved]","label_level":"§ 270.27c-1","label_description":"§ 270.27c-1 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27d-1","label":"§ 270.27d-1 Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.","label_level":"§ 270.27d-1","label_description":"Reserve requirements for principal underwriters and depositors to carry out the obligations to refund charges required by section 27(d) and section 27(f) of the Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27d-2","label":"§ 270.27d-2 [Reserved]","label_level":"§ 270.27d-2","label_description":"§ 270.27d-2 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27e-1","label":"§ 270.27e-1 [Reserved]","label_level":"§ 270.27e-1","label_description":"§ 270.27e-1 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27f-1","label":"§ 270.27f-1 [Reserved]","label_level":"§ 270.27f-1","label_description":"§ 270.27f-1 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27g-1","label":"§ 270.27g-1 [Reserved]","label_level":"§ 270.27g-1","label_description":"§ 270.27g-1 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27h-1","label":"§ 270.27h-1 [Reserved]","label_level":"§ 270.27h-1","label_description":"§ 270.27h-1 [Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.27i-1","label":"§ 270.27i-1 Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.","label_level":"§ 270.27i-1","label_description":"Exemption from Section 27(i)(2)(A) of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-07-02T22:30:07-0400"},{"identifier":"270.28b-1","label":"§ 270.28b-1 Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.","label_level":"§ 270.28b-1","label_description":"Investment in loans partially or wholly guaranteed under the Servicemen's Readjustment Act of 1944, as amended.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.30a-1","label":"§ 270.30a-1 Annual report for registered investment companies.","label_level":"§ 270.30a-1","label_description":"Annual report for registered investment companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2018-06-05T01:00:00-0400"},{"identifier":"270.30a-2","label":"§ 270.30a-2 Certification of Form N-CSR.","label_level":"§ 270.30a-2","label_description":"Certification of Form N-CSR.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-05-05T20:30:04-0400"},{"identifier":"270.30a-3","label":"§ 270.30a-3 Controls and procedures.","label_level":"§ 270.30a-3","label_description":"Controls and procedures.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-05-05T20:30:04-0400"},{"identifier":"270.30a-4","label":"§ 270.30a-4 Annual report for wholly-owned registered management investment company 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[Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-05-05T20:30:04-0400"},{"identifier":"270.30b1-7","label":"§ 270.30b1-7 Monthly report for money market funds.","label_level":"§ 270.30b1-7","label_description":"Monthly report for money market funds.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.30b1-8","label":"§ 270.30b1-8 Current report for money market funds.","label_level":"§ 270.30b1-8","label_description":"Current report for money market funds.","reserved":false,"type":"section","volumes":["4"],"received_on":"2017-01-05T00:00:00-0500"},{"identifier":"270.30b1-9","label":"§ 270.30b1-9 Monthly report.","label_level":"§ 270.30b1-9","label_description":"Monthly report.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-03-14T20:00:08-0400"},{"identifier":"270.30b1-9(T)","label":"§ 270.30b1-9(T) Temporary rule regarding monthly report.","label_level":"§ 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sections 55 through 65 of the Investment Company Act of 1940.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-09-16T19:00:12-0400"},{"identifier":"274.24","label":"§ 274.24 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities.","label_level":"§ 274.24","label_description":"Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.51","label":"§ 274.51 Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.","label_level":"§ 274.51","label_description":"Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.53","label":"§ 274.53 Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.","label_level":"§ 274.53","label_description":"Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.","reserved":false,"type":"section","volumes":["4"],"received_on":"2020-09-16T19:00:12-0400"},{"identifier":"274.54","label":"§ 274.54 Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940.","label_level":"§ 274.54","label_description":"Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 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[Reserved]","reserved":true,"type":"section","volumes":["4"],"received_on":"2020-05-05T20:30:04-0400"},{"identifier":"274.150","label":"§ 274.150 Form N-PORT, Monthly portfolio holdings report.","label_level":"§ 274.150","label_description":"Form N-PORT, Monthly portfolio holdings report.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-03-14T20:00:08-0400"},{"identifier":"274.200","label":"§ 274.200 Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of § 270.17d-1 of this chapter.","label_level":"§ 274.200","label_description":"Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of § 270.17d-1 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274.203 Form 4, statement of changes in beneficial ownership of securities.","label_level":"§ 274.203","label_description":"Form 4, statement of changes in beneficial ownership of securities.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.218","label":"§ 274.218 Form N-8F, application for deregistration of certain registered investment companies.","label_level":"§ 274.218","label_description":"Form N-8F, application for deregistration of certain registered investment companies.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.219","label":"§ 274.219 Form N-17f-1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f-1.","label_level":"§ 274.219","label_description":"Form N-17f-1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f-1.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.220","label":"§ 274.220 Form N-17f-2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f-2.","label_level":"§ 274.220","label_description":"Form N-17f-2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f-2.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.221","label":"§ 274.221 Form N-23c-3, Notification of repurchase offer.","label_level":"§ 274.221","label_description":"Form N-23c-3, Notification of repurchase offer.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.222","label":"§ 274.222 Form N-CR, Current report of money market fund material events.","label_level":"§ 274.222","label_description":"Form N-CR, Current report of money market fund material events.","reserved":false,"type":"section","volumes":["4"],"received_on":"2019-02-14T11:00:18-0500"},{"identifier":"274.223","label":"§ 274.223 Form N-RN, Current report, open- and closed-end investment company reporting.","label_level":"§ 274.223","label_description":"Form N-RN, Current report, open- and closed-end investment company reporting.","reserved":false,"type":"section","volumes":["4"],"received_on":"2021-02-22T21:00:16-0500"}],"descendant_range":"274.201 – 274.223"},{"identifier":"D","label":"Subpart D - Forms for Exemptions","label_level":"Subpart D","label_description":"Forms for 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