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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 Exchange
Act of 1934 will receive all proposed or adopted rule changes promul-
gated 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 Ex-
change Commission, Washington, D.C. 20549.
Name_

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GENERAL RULES AND REGULATIONS UNDER THE

SECURITIES EXCHANGE ACT OF 1934

(Cited as 17 CFR 240.-)

CONTENTS

Subject

Rules of General Application

Rule

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 defense or foreign policy----

0–7. Consent to service of process to be furnished by nonresident investment advisers and by nonresident

investment general partners or managing agents of investment advisers.--

0-8. Application of rules to registered broker-dealers..

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Miscellaneous Exemptions

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3a11-1. Definition of the term equity security-..

3a12–2. Exemption of certain securities, the income on which is substantially guaranteed by states or political

subdivisions thereof.

3a 12-3. Exemption from sections 14 and 16 for securities of certain foreign issuers--

Definitions

3b-1. Definition of "listed".

3b-2. Definition of "officer".

3b-3. Definition of "short sale”.

3b-4. Definition of "foreign government," "foreign issuer" and "foreign private issuer”.

36-5. Nonexempt securities issued under Government obligations--

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Registration and Exemption of Exchanges

6a-1. Form of application and amendments...

6a-2. Annual amendments to registration statement or exemption statements of exchanges.-

6a-3. Supplemental material.--

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Exemption of Certain Securities From the Operation of Section 7(c)(2)

7c2–1. Exemption from section 7(c) (2) of certain securities exempted from registration or admitted to trading

on exchanges exempted from registration.

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Hypothecation of Customers' Securities

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8c-1. Hypothecation of customers' securities.

Short Sales

10a-1. Short sales.----

10a-2. Requirements for covering purchases..

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Manipulative and Deceptive Devices and Contrivances

Rule

10b-1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities

exempted from registration.----

106–2. Solicitation of purchases on an exchange to facilitate a distribution of securities.

106-3. Employment of manipulative and deceptive devices.-

10b-4. Short tendering of securities.----

106-5. Employment of manipulative and deceptive devices ---

10b-6. Prohibitions against trading by persons interested in a distribution.

106-7. Stabilizing to facilitate a distribution.---

10b-8. Distributions through rights ----

106–9. Prohibited representations in connection with certain offerings-

10b-13. Prohibiting other purchases during tender offer or exchange offer...

10b-16. Disclosure of credit terms in margin transactions.---

Regulation of Floor Trading

11a-1. Regulation of floor trading ---

11b-1. Regulation of specialists.--

Exemption of Certain Securities from Section 11(a)(1)

11d1-1. Exemption of certain securities from section 11(d)(1)-----

Securities Exempted from Registration

12a-1. Temporary exemption from section 12(a) of certain securities of banks...

12a-2. Temporary exemption from section 12(a) of certain securities secured by property which, or a leasehold

interest in which, is owned by a person not the original issuer of such security-Prohibition of use of

manipulative or deceptive devices or contrivances with respect thereto...-

12a-3. Temporary exemption from section 12(a) of certain securities of issuers in bankruptcy or receivership or

in process of reorganization-Prohibition of use of manipulative or deceptive devices or contrivances

with respect thereto.----

12a-4. Exemption of certain warrants from section 12(a)---

12a-5. Temporary exemption of substituted or additional securities..

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Regulation 12B. Registrations and Reporting

Article 1. General

12b-1. Scope of regulation.--.

12b-2. Definitions

126-3. Title of securities---

12b-4. Interpretation of requirements

12b-5. Determination of affiliates of banks.

12b-6. When securities are deemed to be registered.---

Article 2. Formal Requirements

125–10. Requirements as to proper form....

12b-11. Number of copies-signatures-binding --

12b-12. Requirements as to paper, printing, and language.

126–13. Preparation of statement or report..

12b-14. Riders-inserts.---

12b--15. Amendments.--.

Article 3. General Requirements as to Contents

12b-20. Additional information ----

12b-21. Information unknown or not available.---

12b-22. Disclaimer of control.----

126–23. Incorporation by reference.--

12b-24. Summaries or outlines of documents ----

126–25. Extension of time for furnishing information.

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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.

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Article 5. Special Provisions

12b-35. (Rescinded)--

12b-36. Use of financial statements filed under other Acts -

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Rule

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Regulation 12D1. Effectiveness of Registration-Exchange Certification

12d1-1. Registration effective as to class or series.-

12d1-2. Acceleration of effectiveness of registration.--

12d1-3. Requirements as to certification..

12d1-4. Date of receipt of certification by Commission.----

12d1-5. Operation of certification on subsequent amendments..-

12d1-6. Withdrawal of certification --

Suspension of Trading

12d2–1. Suspension of trading -----

12d2–2. Removal from listing and registration.--

Unlisted Trading

12-1. Applications for permission to extended unlisted trading privileges.

12f-2. Changes in securities admitted to unlisted trading privileges..

12-3. Termination or suspension of unlisted trading privileges.--

12-4. Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16.

12-5. Repealed.--

12-6. Continuance of unlisted trading privileges on merged exchanges..

12–7. Temporary exemption from Rule 12f-1 application requirements.---

12g-1. Extensions of time for filing registration statements pursuant to section 12(g) and temporary exemptions

from section 14.-----

12g-2. Securities deemed to be registered pursuant to section 12(8) (1) upon termination of exemption pursuant

to section 12(g)(2)(A) or (B) ---

12g3-1. Temporary exemption of foreign securities from section 12(g) of the Act...

12g3–2. Exemptions for American depositary receipts and certain foreign securities--

12g5–1. Definition of securities "held of record”.

12g5–2. Definition of “total assets".

12h-1. A temporary exemption for insurance companies from compliance with the provisions of clause (ii) of

section 12(g) (2) (G).-

12h-2. Exemptions from registration under section 12(g) of the Act.----

12h-3. Exemption from section 16(b) of transactions prior to registration under section 12(g).

Regulation 13A. Reports of Issuers of Securities Registered Pursuant to Section 12 of the Act

Article 1. Annual Reports

13a-1. Requirement of annual reports...

13a-2. Annual reports of predecessors..

13a-3. Reports in case of new registration..--

13a-4. Incorporation of information contained in a prospectus..

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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..

Regulation 13D

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

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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.--

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