USCA4 Appeal: 25-1892
Doc: 16
Filed: 10/15/2025
Pg: 14 of 97
TABLE OF AUTHORITIES — Continued
Page(s)
17 C.F.R. § 38.1101(a)(2) .................................................................. 15, 33, 34 17 C.F.R. § 40.2(a)(1).............................................................................. 15, 16 17 C.F.R. § 40.2(c) ........................................................................................16 17 C.F.R. § 40.3.............................................................................................16 17 C.F.R. § 40.3(b)........................................................................................16 17 C.F.R. § 40.11 ...........................................................................................14 17 C.F.R. § 40.11(c) .......................................................................................16 17 C.F.R. § 40.11(c)(1)...................................................................................16 17 C.F.R. § 40.11(c)(2) ..................................................................................16 17 C.F.R. § 150 App. E ................................................................................. 34 17 C.F.R. § 150.2 .......................................................................................... 34 17 C.F.R. § 180.1 .......................................................................................... 34 17 C.F.R. § 180.2 .......................................................................................... 34 40 Fed. Reg. 25,849 (June 19, 1975) ............................................................15 Concept Release , 73 Fed. Reg. 25,669 (May 7, 2008)..................................12 L EGISLATIVE M ATERIALS : 120 Cong. Rec. 30,464 (Sept. 9, 1974)......................................................... 28 156 Cong. Rec. S5902 (July 15, 2010) ................................................... 48, 49 156 Cong. Rec. S5906 (July 15, 2010) ................................................... 48, 49 H.R. Rep. No. 74-421 (1935) ......................................................................... 6 H.R. Rep. No. 93-975 (1974) ................................................................. 10, 32
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