THE RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON: 1963 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 225 Broadway, New York, N.Y. 10007. Phone, 732-6363. REGION 2-Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. Federal Building, Post Office Square, Boston, Mass. 02109. Phone, Capital 3–2721. REGION 3-Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River; Virgin Islands, Puerto Rico. Suite 138, 1371 Peachtree Street, NE., Atlanta, Ga. 30309. Phone, Trinity 3–3714. Branch, Suite 1112 Ainsley Bldg., 14 NE., First Avenue, Miami, Fla. 33132. 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, Ill. 60603. Phone, Central 6-7390. Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland, Ohio. 44113. Phone, 861-5939. Room 1503, Washington Boulevard Building, 234 State St., Detroit, Mich. 48226. Phone, 226–6070. Room 1027, Main Post Office and Customhouse, 180 East Kellogg Boulevard, St. Paul, Minn. 55101. Phone, Capital 2-8011. Room 4266A, Federal Bldg., 1520 Market St., St. Louis, Mo. 63103. Phone, 621-8100. REGION 5 Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City). Room 301, United States Courthouse, Tenth and Lamar Sts., Ft. Worth, Texas. 76102. Phone, Edison Branch, Room 2226 Federal Office and Courts Bldg., 515 Rusk Avenue, Houston, Texas. 77002. Phone, REGION 6-Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah. Room 802, Midland Savings Bldg., 444 17th St., Denver, Colo. 80202. Phone, 534-4151. Branch, Room 1119 Newhouse Bldg., 10 Exchange Place, Salt Lake City, Utah. 84000. Phone, Davis 8-2911. REGION 7-California, Nevada, Arizona, Hawaii, Guam. Room 339, Pacific Bldg., 821 Market St., San Francisco, Calif. 94103. Phone, 986–3500. Branch, Room 309 Guaranty Bldg., 6331 Hollywood Blvd., Los Angeles, Calif. 90028. Phone, 462-0701. REGION 8-Washington, Oregon, Idaho, Montana, Alaska. 9th Floor, Hoge Bldg., 705 Second Ave., Seattle, Wash. 98104. Phone, Mutual 2-8200. REGION 9-Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia. II Room 300, Courts Bldg., 310 Sixth Street, NW., Washington, D.C. 20549. Phone, Worth 3–3151. 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 Exchange 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. Rule GENERAL RULES AND REGULATIONS UNDER THE 0-1. References to rules and regulations and to the Act, or to portions thereof__ 0-2. Business hours of the Commission___ 0-3. Filing of material with the Commission____ 0-4. Nondisclosure of information obtained in the course of examinations and investigations. 0-5. Reference to rule by obsolete designation____ 0-6. Disclosure detrimental to the national security___. 0-7. Consent to service of process by non-resident investment advisers.. 6a-1. Form of application and amendments____ 6a-2. Annual amendments to registration statement or exemption statements of exchanges--- EXEMPTION OF Certain SECURITIES FROM THE OPERATion of Section 7 (c) (2) MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES ties exempted from registration.. 10b-2. Solicitation of purchases on an exchange to facilitate a distribution of securities. - 10b-3. Employment of manipulative and deceptive devices - - - |