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THE RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE
ACT OF 1934 ARE PUBLISHED IN THE CODE OF FEDERAL REGU.
LATIONS AS TITLE 17, PART 240. THUS RULE 0-1 SHOULD BE CITED

AS 17 CFR 240.0-1

UNITED STATES

GOVERNMENT PRINTING OFFICE

WASHINGTON : 1962

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington 25, D.C.

Price 50 cents

COMMISSIONERS

WILLIAM L. CARY, Chairman
BYRON D. WOODSIDE
J. ALLEN FREAR, JR.
MANUEL F. COHEN
JACK M. WHITNEY II

SECRETARY

ORVAL L. DuBois

PRINCIPAL OFFICE OF THE COMMISSION
Washington 25, D.C., Phone Worth 3-1110

Mail should be addressed as follows:
Securities and Exchange Commission, Washington 25, D.C.

REGIONAL AND BRANCH OFFICES

REGION 1-New York, New Jersey.

225 Broadway, New York 7, N.Y. Phone, Rector 2-6363. REGION 2—Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine.

Federal Building, Post Office Square, Boston 9, Mass. Phone, Capital 3-2721.
REGION 3—Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Lou-

isiana lying east of the Atchafalaya River.
Suite 138, 1371 Peachtree Street, NE., Atlanta 9, Ga. Phone, Trinity 3-3714.

Branch, Room 440, Plaza Bldg., 245 SE. First Street, Miami 32, Fla. Phone, Franklin 1-1651.
REGION 4 Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin.

Room 630, Bankers Building, 105 West Adams St., Chicago 3, Ill. Phone, Central 6–7390.
Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. Phone, Tower 1-5939.
Room 1074, Federal Bldg., Detroit 26, Mich. Phone, Woodward 3-9330.
Room 1027, Main Post Office and Customhouse, 180 East Kellogg Boulevard, St. Paul 1, Minn. Phone,

Capital 2–8011.

Room 4266A, Federal Bldg., 1520 Market St., St. Louis 3, Mo. Phone, Main 1-8100.
REGION 5-Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (ex-

cept Kansas City).
Room 301, United States Courthouse, Tenth and Lamar Sts., Ft. Worth 2, Texas. Phone, Edison 2–4463.

Branch, Room 717, Bettes Bldg., 201 Main St., Houston 2, Tex. Phone, Capital 4_9731.
REGION 6–Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah.

Room 802, Midland Savings Bldg., 444 17th St., Denver 2, Colorado. Phone, Keystone 44151.

Branch, Room 1119 Newhouse Bldg., 10 Exchange Place, Salt Lake City 7, Utah. Phone, Davis 8-2911. REGION 7–California, Nevada, Arizona, Hawaii.

Room 339, Pacific Bldg., 821 Market St., San Francisco 3, Calif. Phone, Yukon 6–3500.

Branch, Room 309, Guaranty Bldg., 6331 Hollywood Blvd., Los Angeles 28, Calif. Phone, Hollywood 2–0701. REGION & Washington, Oregon, Idaho, Montana, Alaska.

9th Floor, Hoge Bldg., 701–5 Second Ave., Seattle 4, Wash. Phone, Main 2–7760. REGION 9 Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia.

Room 300, Courts Bldg., 310 Sixth St., NW., Washington 25, D.C. Phone, Worth 3_3151.

II

PREFACE

This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934. Except for the rules under the caption "Rules of General Application”, each rule relates to a particular section of the Act. For example, Rule 10a-1 relates to section 10 (a) of the Act.

IMPORTANT NOTICE
Individuals or firms REGISTERED under the Securities Ex-
change Act of 1934 will receive all proposed or adopted rule changes
promulgated under this Act - which affects their registration.
Others who wish to receive all adopted changes under this Act are
requested to fill in this coupon and forward promptly to the
Securities and Exchange Commission, Washington 25, D. C.
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GENERAL RULES AND REGULATIONS UNDER THE
SECURITIES EXCHANGE ACT OF 1934

(Cited as 17 CFR 240.-)

CONTENTS

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