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For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 - Price $1.29
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.
Individuals or firms REGISTERED under the Securities Exchange
GENERAL RULES AND REGULATIONS UNDER THE
SECURITIES EXCHANGE ACT OF 1934
(Cited as 17 CFR 240.-)
8c-1. Hypothecation of customers' securities.
10a-1. Short sales.----
10a-2. Requirements for covering purchases..
Article 4. Exhibits
12b-30. Additional exhibits.--
126–31. Omission of substantially identical documents..
126–32. Incorporation of exhibits by reference.
12b-33. Annual reports to other Federal agencies.
Article 2. Other Reports
13a-10. Interim reports.---
13a-11. Current reports on form 8-K.----
13a-12. Quarterly reports of investment companies.
13a-13. Semi-annual reports on form 9-K..
13a-15. Quarterly reports of certain real estate companies...
13a-16. Reports of foreign private issuers on form 6-K.-
136–1. Carriers and other persons subject to Federal regulations..
13d-1. Filing of schedule 13D...
13d-2. Filing of amendments.--
13d-3. Determination of ownership of specified percentages of a class of equity securities.--
13d-4. Exemption of acquisitions pursuant to pre-emptive rights
Schedule 13D—Information To Be Included in Statements Filed Pursuant to Rule 13d-1 or 14d-1
Item 1. Security and issuer ----
2. Identity and background.--