General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - United States. Securities and Exchange Commission - Google Libros

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PEGGING, FIXING, AND STABILIZING THE PRICES OF SECURITIES TO

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MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES

X-10B-1. Prohibition of use of manipulative or deceptive devices or

contrivances with respect to certain securities exempted

from registration....

X-10B-2. Solicitation of purchases on an exchange to facilitate a dis-

tribution of securities___

X-10B-3. Employment of manipulative and deceptive devices

RULES UNDER SECTION 11 OF THE ACT

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 (d) (1)

X-11D1-1. Exemption of certain securities from section 11 (d) (1)-------

RULES UNDER SECTION 12 OF THE ACT

SECURITIES EXEMPTED FROM REGISTRATION

X-12A-1. Temporary exemption from section 12 (a) of certain securities

of banks and bank holding companies-Prohibition of use

of manipulative or deceptive devices or contrivances with

respect thereto...

X-12A-2. Temporary exemption from section 12 (a) of certain securities

secured by property which, or a leasehold interest in which,

is owned by a person not the original issuer of such security—

Prohibition of use of manipulative or deceptive devices or

contrivances with respect thereto.--.

X-12A-3. Temporary exemption from section 12 (a) of certain securities

of issuers in bankruptcy or receivership or in process of

reorganization-Prohibition of use of manipulative or de-

ceptive devices or contrivances with respect thereto.-----

X-12A-4. Exemption of certain warrants from section 12 (a)-----

X-12A-5. Temporary exemption of substituted or additional securities__

X-12A-6. Temporary exemption from section 12 (a) of certain securi-

ties evidenced by the same instrument as a listed security-

Prohibition of use of manipulative or deceptive devices or

contrivances with respect thereto....

X-12A-7. Temporary exemption from section 12 (a) of certain evidences

of indebtedness of certain foreign states-Prohibition of use

of manipulative or deceptive devices or contrivances with

respect thereto.___.

X-12A-8. Temporary exemption from section 12 (a) of securities of certain

issuers resulting from statutory consolidation-Prohibition of

use of manipulative or deceptive devices or contrivances with

respect thereto.............

X-12A-9. Exemption from section 12 (a) of certain certificates of

deposit issued under deposit agreements having governmental

managers-Prohibition of use of manipulative or deceptive

devices or contrivances with respect thereto---.

REGISTRATION OF SECURITIES

X-12B-1. Forms for permanent registration of securities..

X-12B-2. Provisional applications for registration...

X-12B-3. Amendments to applications for registration___

X-12B-4. Incorporation by reference..

X-12B-5. Reservation of constitutional rights....

X-12B-6. Certification of reports of other persons--

X-12B-7. Procedure for termination of registration upon failure to file

omitted financial statements or other information..........

X-12B-8. Extension of time for filing financial statements pursuant to

agreements contained in applications for registration__----

X-12B-9. Registration by closed-end management investment companies.. 1221

CERTIFICATION BY EXCHÅNGES

X-12D1-1 Certification by an exchange-Amendments..

SUSPENSION OF TRADING-WITHDRAWAL STRIKING FROM LISTING AND

X-12D2-1. Suspension of trading, withdrawal, and striking from listing and

registration...

X-12D2-2. Withdrawal from listing and registration of maturing securi-

ties and securities redeemed or retired...

REGULATION X-12D3

REGISTRATION OF UNISSUED SECURITIES FOR 'WHEN ISSUED" DEALING

X-12D3-1. Definitions____

X-12D3-2. Registration of an unissued warrant.

X-12D3-3. Application for registration of an unissued warrant..

X-12D3-4. Registration of an unissued security other than a warrant.---

X-12D3-5. Application for registration of an unissued security other than

X-12D3-6. Effective and expiration dates___

X-12D3–7. Amendments-Withdrawal of certification_.

X-12D3- 8. Denial of registration__--

X-12D3- 9. Suspension and revocation of registration___

X-12D3-10. Registration of an unissued security, other than a warrant,

to be issued pursuant to a plan of reorganization in con-

nection with a receivership proceeding or bankruptcy

proceeding under section 77 of the Bankruptcy Act, of a

carrier required to make annual reports under section 20

of the Interstate Commerce Act, as amended.......

UNLISTED TRADING

X-12F-1. Applications for permission to continue or extend unlisted

trading privileges.

X-12F-2. Changes in securities admitted to unlisted trading privileges.

X-12F-3. Termination or suspension of unlisted trading privileges...

X-12F-4. Exemption of securities admitted to unlisted trading privileges

from sections 13, 14, and 16.............

X-12F-5. Differentiation on ticker between transactions in listed and

unlisted securities...

X-12F-6. Continuance of unlisted trading privileges on merged ex-

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X-13A-3. Annual reports by issuers registering securities on form 8-B.. 1303

X-13A-4. Interim reports_----

X-13A-5. Exemption from requirement of filing annual report for period

covered in an application for registration___

X-13A-6. Current reports----

X-13A-7. Companies Registered Under The Investment Company Act

X-13B-1. Reports of carriers and other persons subject to Federal regu-

RULES UNDER SECTION 14 OF THE ACT

REGULATION X-14

RULES RELATING TO SOLICITATION OF PROXIES, CONSENTS, AND AUTHORIZATIONS,

INCLUDING SCHEDULE 14A

X-14A-1. Proxy statement_---

X-14A-2. Duty to provide means by which desired action can be specified_ 1402

X-14A-3. Legibility of soliciting material_---

X-14A-4. Duty to file material with Commission and exchange_

X-14A-5. False or misleading statements---

X-14A-6. Duty of issuer to furnish information and mail proxies at re-

quest of security holder_____

X-14A-7. Solicitations to which rules are not applicable_-

X-14A-8. Definitions__.

ITEMS OF INFORMATION IN PROXY STATEMENT UNDER RULE X-14A-1

E. Matters to be presented to any meeting of security holders at which

action pursuant to the proxy is to be taken but which are not to be

acted upon pursuant to the proxy_-

RULES UNDER SECTION 15 OF THE ACT

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (a)

X-15A-1. Exemption of individual notes or bonds secured by lien on

real estate from section 15 (a)....-

REGISTRATION OF BROKERS AND DEALERS

X-15B-1. Forms for applications for registration of brokers and dealers. 1501

X-15B-2. Supplemental statements to applications for registration of

brokers and dealers..

X-15B-3. Adoption of applications filed by predecessors_

X-15B-4. Registration of successor partnerships...

X-15B-5. Registration of fiduciaries_____

RULES RELATING TO OVER-THE-COUNTER MARKETS

X-15C1-1. Definitions....

X-15C1-2. Fraud and misrepresentation....

X-15C1-3. Misrepresentation by brokers and dealers as to registration.. 1504

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X-15D-1. Annual reports of registrants under Securities Act of 1933---

X-15D-2. Forms for annual reports of registrants under Securities Act of

X-15D-3. Annual report for period for which financial statements are

furnished in new registration statement_----

X-15D-4. Companies Registered Under The Investment Company Act

REGISTRATION OF NATIONAL AND AFFILIATED SECURITIES ASSOCIATIONS

X-15AA-1. Registration of a national or an affiliated securities association 1512

X-15AJ-1. Amendments and supplements to registration statements of

securities associations_.

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X-16A-2. Ownership of more than 10 percent of an equity security...-

X-16A-3. Manner of reporting holdings and changes in ownership under

X-16A-4. Exemptions from sections 16 (a) and 16 (b)..........

X-16A-5. Exemption from section 16 of securities purchased or sold by

odd-lot dealers..........

X-16A-6. Exemption from section 16 (a) of securities as to which reports

are required under Holding Company Act.

X-16A-7. Use of Investment Company Act Form---

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16 (b)

X-16B-1. Exemption of certain transactions originating prior to October

1, 1934, from section 16 (b).

X-16B-2. Exemption from section 16 (b) of certain distributing and un-
derwriting transactions___

1605

X-16B-3. Exemption from section 16 (b) of certain transactions in con-

nection with stock-option plans.........

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16 (c)

X-16C-1. Exemption of certain securities from section 16 (c) ------

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X-17A-3. Records to be made by certain exchange members, brokers,
and dealers___

1702

X-17A-4. Records to be preserved by certain exchange members, brokers,

RULES UNDER SECTION 24 OF THE ACT

INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER THE ACT

X-24B-1. Documents to be kept public by exchanges--.

X-24B-2. Nondisclosure of information filed with the Commission and

with an exchange..

X-24B-3. Documents filed by issuers and others under sections 12 and

X-24B-4. Publication of information filed under section 16___

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