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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 : 1963

For sale by the Superintendent of Documents, U.S. Government Printing omice, Washington, D.C. 20402

Price 50 cents

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REGIONAL AND BRANCH OFFICES REGION 1-New York, New Jersey.

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, Ni. 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

2-4463.
Branch, Room 2226 Federal Office and Courts Bldg., 515 Rusk Avenue, Houston, Texas. 77002. 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, Colo. 80202. Phone, 534–4151.

Branch, Room 1119 Newhouse Bldg., 10 Exchange Place, Salt Lake City, Utah. 81000. Phone, Davis 8–2911. REGION 7-California, Nevada, Arizona, Hawaii, Guam.

Room 339, Pacific Bldg., 821 Market St., San Francisco, Calif. 94103. Phone, 986–3300.

Branch, Room 309 Guaranty Bldg., 6331 Hollywood Blvd., Los Angeles, Calif. 90028. Phone, 462–0701. REGION & 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.

Room 300, Courts Bldg., 310 Sixth Street, vw., Washington, D.C. 20519. Phone, Worth 3–3151.

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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.
Name.

(Please typo or print)
Address

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GENERAL RULES AND REGULATIONS UNDER THE
SECURITIES EXCHANGE ACT OF 1934

(Cited as 17 CFR 240.-)

CONTENTS

Subject

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