Contents

Section 1 Short Title简称    

Section 2 Necessity for Regulation       规则的必要性

Section 3 Definitions and Application   定义及应用

Section 3 A Swap Agreements       互换协议

Section 4 Securities and Exchange Commission   证券及交易委员会

Section 4 A Delegation of Functions by Commission 委员会的职能

Section 4B Transfer of Functions with Respect to Assignment of Personnel to Chairman

向主席移交人事任命权

Section 4C  Appearance and Practice Before the Commission   对委员会的工作表现

Section 5 Transactions on Unregistered Exchanges      在未经注册的交易所进行交易

Section 6 National Securities Exchanges      国家证券交易所

Section 7 Margin Requirements     额定保证金

Section 8 Restrictions on Borrowing and Lending by Members, Brokers, and Dealers

对会员、经纪人和买卖商的借贷的限制

Section 9 Manipulation of Security Prices    证券价格的操纵

Section 10 Manipulative and Deceptive Devices操纵的和骗人的手段

Section l0A  Audit Requirements 审计要求

Section 11 Trading by Members of Exchanges, Brokers, and Dealers

                证券的全国市场系统；证券信息处理员

Section 11A    National Market System for Securities; Securities Information Processors

                  国家证券市场体系；证券信息处理人员

Section 12      Registration Requirements for Securities      证券的登记注册要求

Section 12A    Applications for Unlisted Trading Privileges Deemed Filed Under  of This Title     被视为根据本编第七十八条之十二提出的未上市贸易特权的申请

 

Section 13      Periodical and Other Reports 定期和其他报告

Section 14 -- Proxies     委托书

Section 15 -- Registration and Regulation of Brokers and Dealers     

对经纪人和买卖商的登记和管理

Section 15A    Registered Securities Associations 经登记的证券联合会

Section 15B    Municipal Securities      市政府的证券

Section 15C    Government Securities Brokers and Dealers 政府证券经纪人和买卖商

Section 15D    Securities Analysts And Research Reports     证券分析师和研究报告

Section 16      Directors, Officers, and Principal Stockholders    董事、官员和主要持股股东

Section 17      Records and Reports      记录和报告

Section 17A    National System for Clearance and Settlement of Securities Transactions  

                                对证券交易进行清算的国家系统

Section 17B    Automated Quotation Systems for Penny Stocks  对低价股票的自动报价系统

Section 18      Liability for Misleading Statements      误导报告的责任

Section 19      Registration, Responsibilities, and Oversight of Self-Regulatory Organizations

              自律组织的登记、责任和监督

Section 20      Liabilities of Controlling Persons and Persons Who Aid and Abet Violations    

               协助和怂恿违法行为的管理人员的责任

Section 20A  Liability to Contemporaneous Traders for Insider Trading  

同时进行的内幕交易者的责任

Section 21      Investigations and Actions     调查及诉讼

Section 21A   Civil Penalties for Insider Trading 对内幕交易者的民事处罚

Section 21B    Civil Remedies In Administrative Proceedings     行政诉讼中的民事救济

Section 21C    Cease-and-Desist Proceedings 诉讼程序终止    

Section 21D    Private Securities Litigation   由个人提起的证券诉讼

Section 21E    Application of Safe Harbor for Forward-Looking Statements    

前瞻性陈述的安全港申请

Section 22      Hearings by Commission       委员会听证

Section 23      Rules, Regulations, and Orders; Annual Reports   规则、规定和法令；年报

Section 24      Public Availability of Information 向公众公开的信息

Section 25      Court Review of Orders and Rules       对法令和规则的司法审查

Section 26      Unlawful Representations      违法陈述

Section 27      Jurisdiction of Offenses and Suits 司法管辖

Section 27A    Special Provision Relating to Statute of Limitations on Private Causes of Action

                                      对个人诉讼的特别时效规定

Section 28      Effect on Existing Law  有效的现行法律

Section 29      Validity of Contracts     合同的有效性

Section 30      Foreign Securities Exchanges       外国证券交易所

Section 30A    Prohibited Foreign Trade Practices by Issuers由发行者所禁止的外国交易行为

Section 30B    Prohibited foreign trade practices by domestic concerns     

由国内有关部门所禁止的外国交易行为

Section 30C    Prohibited foreign trade practices by persons other than issuers or domestic concerns 由发行者之外的其他人或国内有关部门所禁止的外国交易行为

Section 31      Transaction Fees     交易费

Section 32      Penalties  处罚

Section 33      Separability of Provisions     条款的可分割性

Section 34      Effective Date 生效日

Section 35      Authorization of Appropriations    授权拨款

Section 35A    Requirements for the EDGAR system  

对电子化数据收集、分析及检索系统的要求

Section 36      General Exemptive Authority       一般性豁免权