appointed in such proceedings has title to or possession of a substantial portion of the assets of such corporation, or (b) such corporation is in possession of a substantial portion of its assets pursuant to an order entered under subdivision (c), clause (2) of said section 77 or subdivision (c), clause (1) of said section 77B. Any foreign issuer which by this paragraph is to file on form 10 as to any class of securities other than bonds may also file on such form for such bonds; and any issuer of bonds which is organized under the laws of any foreign country may at its option file on form 10 until 90 days after the proper form applicable to such foreign issuer shall have been published.

Form 11 for Unincorporated Issuers.-This form shall be used for applications filed on or after March 30, 1935, for the permanent registration of securities of unincorporated issuers, except the following: Securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934; certificates of deposit; voting trust certificates; American certificates against foreign issues, either government or private; securities of insurance companies; securities of banks and bank holding companies; securities of investment trusts; securities issued by a national of a foreign country other than a North American country or Cuba; bonds issued by a national of a North American country or Cuba, which are guaranteed by any foreign government; securities of any issuer, foreign or domestic, which is directly or indirectly owned or controlled by any foreign government: Provided, however, That this form shall not be used for applications for the permanent registration of securities of any issuer for which, at the time the application is filed, form 22 or 23 is prescribed: And provided further, That this form shall not be used for applications for the permanent registration of securities of any issuer, if, at the time the application is filed, such issuer is in bankruptcy or receivership or in the process of reorganization pursuant to section 77 or 77B of the Bankruptcy Act, and (a) a trustee or receiver appointed in such proceedings has title to or possession of a substantial portion of the assets of such issuer, or (b) such corporation is in possession of a substantial portion of its assets pursuant to an order entered under subdivision (c), clause (2) of said section 77 or subdivision (c), clause (1) of said section 77B.

Form 12.-This form shall be used for applications filed on or after April 10, 1935, for the permanent registration of securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934, except

such companies in receivership or in process of reorganization pursuant to section 77 of the Bankruptcy Act.

Form 12-A for companies in receivership or bankruptcy and making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934.This form shall be used for applications filed on or after June 17, 1935, for the permanent registration of securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934, and in receivership or in bankruptcy (including proceedings under section 77 or 77B of the Bankruptcy Act).

Form 13 for insurance companies other than life and title insurance companies. This form shall be used for applications filed on or after May 7, 1935, for permanent registration of securities of corporations engaged, directly or through subsidiaries, primarily in the insurance business, except corporations engaged primarily in the life or title insurance business. This form shall not be used by corporations engaged primarily in the business of guaranteeing mortgages or mortgage participation certificates.

Pending the authorization of a form for registration of securities of corporations engaged primarily in the life insurance business, and for a period of 30 days after the filing of applications on such form is authorized, such corporations may file application on form 13 for insurance companies other than life and title insurance companies.

Insofar as form 13 may be inappropriate to the life insurance business, a corporation engaged in the life insurance business filing on form 13, pursuant to this rule, shall furnish information comparable to that required by form 13; and, in lieu of financial statements required under the instructions as to financial statements in the instruction book for form 13, such corporation may file a copy of its last annual statement filed with its State regulatory authority.

Form 14 for certificates of deposit issued by a committee.This form shall be used for applications on or after May 10, 1935, for the permanent registration of certificates of deposit issued by a committee.

Form 15 for incorporated investment companies.-This form shall be used for applications filed on or after May 15, 1935, for the permanent registration of securities of any corporation which is engaged, either directly or through subsidiaries, primarily in the business of investing and reinvesting, or trading in securities, for the purpose of revenue and for profit, and not in general for the purpose, or with the effect, of exercising control; except securities of such cor

porations in process of reorganization pursuant to section 77B of the Bankruptcy Act or securities of such corporations in bankruptcy or receivership.

Form 16 for voting trust certificates and underlying securities.—This form shall be used for applications filed on or after May 18, 1935, for the permanent registration of voting trust certificates and underlying securities.

Form 17 for unincorporated issuers engaged primarily in the business of investing or trading in securities.-This form shall be used for applications filed on or after May 31, 1935, for the permanent registration of securities of any unincorporated issuer which is engaged, either directly or through subsidiaries, primarily in the business of investing and reinvesting, or trading, in securities, for the purpose of revenue and for profit, and not in general for the purpose, or with the effect, of exercising control; except securities of such issuers in process of reorganization pursuant to section 77B of the Bankruptcy Act or securities of such issuers in bankruptcy or receivership.

Form 18 for foreign governments and political subdivisions thereof. This form shall be used for applications filed on or after July 1, 1935, for the permanent registration of securities of any foreign government or political subdivision thereof: Provided, however, That any public corporation or other autonomous entity in the nature of a political subdivision, except a State, province, county, or municipality or similar body politic, may, at its option, use form 21 in lieu of this form.

Form 19 for American certificates against foreign issues and for the underlying securities.-This form shall be used for applications filed on or after July 15, 1935, for the permanent registration of American certificates (for example, so-called American depositary receipts for foreign shares or American participation certificates in foreign bonds or notes) issued against securities of foreign issuers deposited with an American depositary (whether physically held by such depositary in America or abroad) and of the foreign securities so deposited.

Form 20 for securities other than bonds of foreign private issuers. This form shall be used for applications filed on or after July 15, 1935, for the permanent registration of securities other than bonds or other evidences of indebtedness (1) issued by a national of a foreign country other than a North American country or Cuba, or (2) issued by any corporation or unincorporated association, foreign or domestic, which is directly or indirectly owned or controlled by any foreign government.

Form 21 for bonds of foreign private issuers.-This form shall be used for applications filed on or after July 15, 1935, for the permanent registration of bonds or other evidences of indebtedness (1) issued by a national of a foreign country other than a North American country or Cuba, (2) issued by a national of a North American country or Cuba which are guaranteed by any foreign government, (3) issued by any corporation or unincorporated association, foreign or domestic, which is directly or indirectly owned or controlled by any foreign government, or (4) issued by any public corporation or other autonomous entity in the nature of a political subdivision which shall at its option elect to use this form in lieu of form 18, except that this form is not to be used by a State, province, county, or municipality or similar body politic.

Form 22 for issuers reorganized in insolvency proceedings or which have succeeded to a person in insolvency proceedings.This form shall be used for applications for registration of securities of any issuer which, pursuant to a plan

(a) Has been or is being reorganized in insolvency proceedings; or

(b) Has acquired or is to acquire, directly or indirectly, substantially all of its business and assets (other than cash) from a person in insolvency proceedings or from such person and one or more of its subsidiaries, and is continuing or is to continue the business so acquired; or

(c) Being a subsidiary of a person in insolvency proceedings, has acquired or is to acquire, directly or indirectly, substantially all of its assets (other than cash and other than assets owned by it prior to such acquisition) from such person or from such person and one or more of its subsidiaries,

if the securities are, or are to be, outstanding or issued pursuant to with the exchange after the expiration of a full fiscal year of the plan: Provided, That this form shall not be used by issuers for which form 8-A, 12 or 12-A is prescribed, or for applications filed with the exchange after the expiration of a full fiscal year of the issuer commencing on or after the date on which the transfer or opening of accounts was made.

Form 23 for successor issuers.-This form shall be used for applications for registration of securities of any issuer which has acquired, or is presently to acquire, directly or indirectly (through the acquisition of securities or otherwise), the major portion of its business and assets (other than cash) by acquiring all or a part of the business and assets of one or more other persons, and is continuing or

is to continue, the business so acquired: Provided, however, That this form shall not be used by issuers for which either form 8-A, 8-B, 12, 12-A, 20, 21, or 22 is prescribed, or for applications filed with the exchange after the expiration of a full fiscal year of the issuer commencing on or after the date of succession.

Form 24 for bank holding companies.-This form shall be used for applications for the registration of securities of any person which is engaged, either directly or through subsidiaries, primarily in the business of owning securities of banks, for the purpose or with the effect of exercising control.

In the case of any security for which form 10 for corporations is authorized, a provisional application may be made on form 7 pursuant to rule X-12B-2 until May 15, 1935. Where the form for permanent registration of any other particular class of security has not yet been authorized under this rule, and for a period of 90 days after the filing of applications on such form is authorized, a provisional application for registration of a security of such class may be filed on form 7 pursuant to rule X-12B-2.

Rule X-12B-2. Provisional Applications for Registration.

(a) A provisional application for registration of a security on an exchange may be filed on form 7, where such provisional application is permitted by rule X-12B-1. The application, including a registration statement conforming with the requirements of rule X-2, shall be filed with the exchange and in triplicate with the Commission. At least one application filed with the Commission and one filed with the exchange shall be signed. The issuer shall submit to the exchange such further applications, information, or documents as the exchange may require. Unless otherwise specifically provided in the rules and regulations any number of different securities of the same issuer may be included in the same application. The registration statement included in the application shall contain information as to the issuer with respect to the following as of a stated date within 20 days prior to the filing of the application, but no prescribed arrangement for such statement need be followed:

(1) Name of issuer.

(2) Principal business office of issuer.

(3) Form of organization (corporation, trust, etc.).

(4) Names, and addresses of, and positions in issuer's organization held by, officers and directors or persons performing similar functions.

(5) Nature of business engaged in or to be engaged in.

(6) Titles and amounts of securities of issuer which are (a) outstanding (not in treasury) and (b) in treasury.