Chapter 2B

Short title

Jurisdiction of offenses and suits

Special provision relating to statute of limitations on private causes of action

Necessity for regulation

Effect on existing law

Definitions and application

Securities-related derivatives

Clearing for security-based swaps

Security-based swap execution facilities

Segregation of assets held as collateral in security-based swap transactions

Validity of contracts

Securities and Exchange Commission

Delegation of functions by Commission

Transfer of functions with respect to assignment of personnel to chairman

Appearance and practice before the Commission

Additional duties of Inspector General

Deadline for completing enforcement investigations and compliance examinations and inspections

Report and certification of internal supervisory controls

Triennial report on personnel management

Annual financial controls audit

Report on oversight of national securities associations

Foreign securities exchanges

Prohibited foreign trade practices by issuers

Prohibited foreign trade practices by domestic concerns

Prohibited foreign trade practices by persons other than issuers or domestic concerns

Transactions on unregistered exchanges

Transaction fees

National securities exchanges

Penalties

Margin requirements

Separability

Restrictions on borrowing and lending by members, brokers, and dealers

Effective date

Effective date of certain sections

Manipulation of security prices

Manipulative and deceptive devices

Audit requirements

Position limits and position accountability for security-based swaps and large trader reporting

Compensation committees

Recovery of erroneously awarded compensation policy

Trading by members of exchanges, brokers, and dealers

National market system for securities; securities information processors

Authorization of appropriations

Registration requirements for securities

Applications for unlisted trading privileges deemed filed under

Requirements for the EDGAR system

Periodical and other reports

Reporting and recordkeeping for certain security-based swaps

Reporting requirements regarding coal or other mine safety

General exemptive authority

Proxies

Shareholder approval of executive compensation

Corporate governance

Tennessee Valley Authority

Registration and regulation of brokers and dealers

Brokers deemed to be registered

Registration and regulation of security-based swap dealers and major security-based swap participants

Credit risk retention

Liabilities arising prior to amendment unaffected

Registered securities associations

Municipal securities

Commission Office of Municipal Securities

Government securities brokers and dealers

Securities analysts and research reports

Registration of nationally recognized statistical rating organizations

Universal ratings symbols

Study and rulemaking on assigned credit ratings

Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks

Directors, officers, and principal stockholders

Investor Advisory Committee

Records and reports

National system for clearance and settlement of securities transactions

Automated quotation systems for penny stocks

Small Business Capital Formation Advisory Committee

Liability for misleading statements

Data standards for security-based swap reporting

Registration, responsibilities, and oversight of self-regulatory organizations

Liability of controlling persons and persons who aid and abet violations

Liability to contemporaneous traders for insider trading

Civil penalties for insider trading

Civil remedies in administrative proceedings

Cease-and-desist proceedings

Private securities litigation

Application of safe harbor for forward-looking statements

Securities whistleblower incentives and protection

Implementation and transition provisions for whistleblower protection

Hearings by Commission

Rules, regulations, and orders; annual reports

Public availability of information

Court review of orders and rules

Unlawful representations