ZONE 1.-New York, New Jersey, Pennsylvania. Room 2006, Equitable Building, 120 Broadway, New York 5, N. Y. ZONE 2.-Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. Room 426, Shawmut Bank Building, 82 Devonshire Street, Boston 9, ZONE 3.-Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River. Room 415, Palmer Building, Forsyth and Marietta Streets, Atlanta 3, Ga. ZONE 4:-Michigan, Indiana, Ohio, Kentucky. Room 1608, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. ZONE 5.-Minnesota, Wisconsin, Iowa, Illinois, Missouri, Kansas City (Kansas). Room 630, Bankers Building, 105 West Adams Street, Chicago 3, Ill. ZONE 6.-Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City). United States Court House, Tenth and Lamar Streets, Fort Worth 2, ZONE 7.-Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Room 822, Midland Savings Building, 444 Seventeenth Street, Denver 2, ZONE 8.-California, Nevada, Arizona, Philippine Islands, Hawaii. Room 1301, 625 Market Street, San Francisco 5, Calif. ZONE 9.-Washington, Oregon, Idaho, Montana, Alaska. Room 810, 1411 Fourth Avenue Building, Seattle 1, Wash. Zone 10.-Virginia, West Virginia, Maryland, Delaware, District of Columbia. Room 2410, O'Sullivan Building, Baltimore and Light Streets, Baltimore 2, Md. II DEPOSITED BY THE IINITED STATES OF AMERICA 12-23-46 HG ·A 2 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 X-10A-1 relates to section 10 (a) of the Act. The "X" in the rule number designates the Act under which the rule was promulgated and the last numeral indicates rule sequence. The following system of pagination is used in this compilation. The first 100 series is assigned to rules under the caption "Rules of General Application." Each succeeding 100 series is assigned to rules under the corresponding section of the Act: For example, the rules under section 3 of the Act begin on page 301; those under section 12 of the Act begin on page 1201, and so on. III X-3A12-2. Exemption of certain securities, the income on which is sub- stantially guaranteed by states or political subdivisions X-3A12-3. Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19, 20, or 21 is authorized__ X-6B-1. Registration and exemption of exchanges__. X-6B-2. Amendments and supplements to registration statements of X-6B-3. Applicability of rules X-12A-1, X-12A-2, and X-12A-3 to securities listed on an exempted exchange which subse- quently becomes registered-Financial requirements for registration of such securities__. X-6B-4. Amendments and supplements to applications for exemption X-7C2-1. Exemption from section 7 (c) (2) of certain securities exempted V |