Rule

3. Source and amount of funds or other consideration...

4. Purpose of transaction.....

5. Interest in securities of the issuer.......

6. Contracts, arrangements, or understandings with respect to securities of the issuer.

7. Persons retained, employed or to be compensated....

8. Material to be filed as exhibits.---

13e-1. Purchase of securities by issuer thereof ...----

Rule

Regulation 14A. Solicitation of Proxies

5

14a-1. Definitions....

14a-2. Solicitations to which rules apply.

14a-3. Information to be furnished security holders.

14a-4. Requirements as to proxy----

14a-5. Presentation of information in proxy statement...

14a-6. Material required to be filed............

14a-7. Mailing communications for security holders..

14a-8. Proposals of security holders..........

14a-9. False or misleading statements..

14a-10. Prohibition of certain solicitations...

14a-11. Special provisions applicable to election contests...

14a-12. Solicitation prior to furnishing required proxy statement. -

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Schedule 14B. Information to be Included in Statements Filed by or on Behalf of a Participant (Other Than

the Issuer) in a Proxy Solicitation Pursuant to Rule 14a-11(c)

14c-6. False or misleading statements..

14c-7. Providing copies of material for certain beneficial owners-------

Schedule 14C. Information Required in Information Statement

Item 1. Information required by items of schedule 14A..

2. Statement that proxies are not solicited.....

3. Date, time and place of meeting----

4. Interest of certain persons in or opposition to matters to be acted upon...

5. Proposals by security holders...

Regulation 14D

Rule

14d-1. Filing of schedule 13D and furnishing of information to security holders...

14d-2. Certain communications to which rules do not apply_-_

15a-1. Exemption of individual notes or bonds secured by lien on real estate from section 15(a)-

15a-2. Exemption of certain securities of cooperative apartment houses from section 15(a)_ _

15a-3. Exemption of specialist's block purchases and sales..

Registration of Brokers and Dealers

15b1-1. Application for registration of broker or dealer....

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15b1-2. Statement of financial condition to be filed with application for registration as a broker or dealer__

15b1-3. Registration of successor to registered broker or dealer_

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15b1-4. Registration of fiduciaries____

89

15b1-5. Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general

partners or managing agents of brokers or dealers..

89

15b8-1. Qualifications and fees relating to brokers or dealers who are not members of a national securities

association_-_-

92

15b8-2. (Rescinded)__

93

15b9-2. Annual fees for registered brokers and dealers not members of a registered national securities association_

15b10-1. Definitions____.

15b9-1. Initial fees for registered brokers or dealers not members of a registered national securities association

and their associated persons----

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15c2-3. Prohibiting trading in German securities unless validated...............

15c2-4. Transmission or maintenance of payments received in connection with underwritings.- - - -

15c2-5. Disclosure and other requirements when extending or arranging credit in certain transactions_

15c2-7. Identification of quotations.....

15c3-1. Net capital requirements for brokers and dealers..

15c3-2. Customers' free credit balances....

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15Ag-1. Application pursuant to section 15A(g) of the Act for review of disciplinary action or denial of member-

ship by a registered securities association...

112

15Aj-1. Amendments and supplements to registration statements of securities associations..

15Aj 2. Rules of a national securities association relating to a system of securities quotations__

15A/2-1. Proceedings under section 15A (I) (2) of the Act...

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16a-5. Exemption from section 16 of securities purchased or sold by odd-lot dealers.

16a-10. Exemption from section 16(b) of transactions which need not be reported under section 16(a)------

Exemption of Certain Transactions From Section 16(b) of the Act

119

16b-4. Exemption from section 16(b) of certain transactions by public utility holding companies and subsidiaries

thereof....

16b-1. Exemption from section 16(b) of certain transactions by registered investment companies.--.

16b-2. Exemption from section 16(b) of certain transactions effected in connection with a distribution___.

16b-3. Exemption from section 16(b) of acquisitions of shares of stock and stock options under certain stock

bonus, stock option or similar plans---

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16b-5. Exemption from section 16(b) of certain transactions in which securities are received by redeeming

other securities....

16b-6. Exemption of long-term profits incident to sales within six months of the exercise of an option----

16b-7. Exemption from section 16(b) of certain acquisitions and dispositions of securities pursuant to mergers

or consolidations____

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16b-8. Exemption from section 16(b) of transactions involving the deposit or withdrawal of equity securities

under a voting trust or deposit agreement...

16b-9. Exemption from section 16(b) of transactions involving the conversion of equity securities__

16b-10. Exemption from section 16(b) of certain transactions of exchange by railroads incident to unifications,

mergers and acquisitions of control approval by the Interstate Commerce Commission....

16b-11. Exemption from section 16(b) of certain transactions involving the sale of subscription rights... –

Exemption of Certain Securities From Section 16(c) of the Act

16c-1. Exemption of certain securities from section 16(c) -----

160-2. Exemption from section 16(c) of certain transactions effected in connection with a distribution----

16c-3. Exemption of sales of securities to be acquired..

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Rule

ARBITRAGE TRANSACTIONS

16e-1. Arbitrage transactions under section 16 of the Act.

Preservation of Records and Reports of Certain Stabilizing Activities

17a-2. Reports on stabilizing activities. -

17a-3. Records to be made by certain exchange members, brokers and dealers___

17a-4. Records to be preserved by certain exchange members, brokers and dealers..

17a-5. Reports to be made by certain exchange members, brokers and dealers...____

17a-6. Right of a National Securities Exchange to destroy or dispose of applications, reports, and documents

filed with it pursuant to sections 12, 13, 14 and 16...

17a-7. Records of nonresident brokers and dealers..

17a-8. Reports of proposed rule changes by exchanges.---

17a-9. Reports of market makers and other registered broker-dealers in securities traded on national securities

exchanges....

17a-10. Report of income and expenses__-

17a-12. Reports to be filed by market makers in o-t-c margin securities.

19a3-1. Proceedings under section 19(a)(3) of the Act...

19b-1. Qualified nonmember market-makers.............

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134

135

136

137

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138

Inspection and Publication of Information Filed Under the Act

24b-1. Documents to be kept public by exchanges__

141

24b-2. Nondisclosure of information filed with the Commission and with any exchange.......

24b-3. Information filed by issuers and others under sections 12, 13, 14 and 16..........

APPENDIX

Forms prescribed under the Securities Exchange Act of 1934.---.

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