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QUALITY CONTROL MARK

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GENERAL RULES AND REGULATIONS UNDER THE

SECURITIES EXCHANGE ACT OF 1934

§ 240.0-1. References to rules and regulations and to the Act, or to portions thereof.

§ 240.0-2. Business hours of the Commission....

§ 240.0-3. Filing of material with the Commission...

§ 240.0-4. Nondisclosure of information obtained in the course of examinations and investigations..

§ 240.0-5. Reference to rule by obsolete designation____

§ 240.0-6. Disclosure detrimental to the national security..

§ 240.0-7. Consent to service of process by non-resident investment advisers.

MISCELLANEOUS EXEMPTIONS

§ 240.3a12-2. Exemption of certain securities, the income on which is substantially guaranteed by States or

political subdivisions thereof..

§ 240.3a12-3. Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19,

20, or 21 is authorized..

§ 240.3b-1. Definition of "listed".

DEFINITIONS

§ 240.3b-2. Definition of "officer".

§ 240.3b-3. Definition of "short sale".

REGISTRATION AND EXEMPTION OF EXCHANGES

§ 240.6a-1. Form of application and amendments...

§ 240.6a-2. Annual amendments to registration statement or exemption statements of exchanges.

§ 240.6a-3. Supplemental material_

EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2)

§ 240.7c2-1. 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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§ 240.10b-1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain

securities exempted from registration_ - - -

§ 240.10b-2. Solicitation of purchases on an exchange to facilitate a distribution of securities.

§ 240.10b-3. Employment of manipulative and deceptive devices. - -

§ 240.10b-5. Employment of manipulative and deceptive devices.

§ 240.10b-6. Prohibitions against trading by persons interested in a distribution..

§ 240.10b-7. Stabilizing to facilitate a distribution..

§ 240.10b-8. Distributions through rights.

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§ 240.12a-1. Temporary exemption from section 12 (a) of certain securities of banks.

§ 240.12a-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-Pro-

hibition of use of manipulative or deceptive devices or contrivances with respect thereto.____

§ 240.12a-3. Temporary exemption from section 12 (a) of certain securities of issuers in bankruptcy or receiver-

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

contrivances with respect thereto..

§ 240.12a-4. Exemption of certain warrants from section 12 (a).

§ 240.12a-5. Temporary exemption of substituted or additional securities___

REGULATION X-12B. APPLICATIONS AND REPORTS

Article 1. General

§ 240.12b-1. Scope of regulation.......

§ 240.12b-2. Definitions...

§ 240.12b-3. Title of securities___.

§ 240.12b-4. Interpretation of requirements..

§ 240.12b-5. Determination of affiliates of banks..

Article 2. Formal Requirements

§ 240.12b-10. Requirements as to proper form___.

§ 240.12b-11. Number of copies-signatures-binding-

§ 240.12b-12. Requirements as to paper, printing, and language__

§ 240.12b-13. Preparation of application or report - -

§ 240.12b-14. Riders-inserts...

§ 240.12b-15. Amendments.

Article 3. General Requirements as to Contents

REGULATION X-12D1. EFFECTIVENESS OF RegistratioN-EXCHANGE CERTIFICATION

SUSPENSION OF TRADING WITHDRAWAL STRIKING FROM LISTING AND REGISTRATION

Section

§ 240.12d2-1. Suspension of trading, withdrawal, and striking from listing and registration....

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§ 240.12d2-2. Removal from listing and registration of maturing securities and securities redeemed or retired.. 29

UNLISTED TRADING

§ 240.12f-1. Applications for permission to extend unlisted trading privileges.---

§ 240.12f-2. Changes in securities admitted to unlisted trading privileges___.

§ 240.12f-3. Termination or suspension of unlisted trading privileges-----

§ 240.12f-4. Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16.............

§ 240.12f-5. Differentiation on ticker between transactions in listed and unlisted securities.

§ 240.12f-6. Continuance of unlisted trading privileges on merged exchanges----

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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 § 240.14A–11(c)

Item 1. Issuer...............

Section

2. Identity and background............

3. Interests in securities of the issuer..

4. Further matters....

5. Signature...

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (a)

§ 240.15a-1. Exemption of individual notes or bonds secured by lien on real estate from section 15 (a).

§ 240.15a-2. Exemption of certain securities of cooperative apartment houses from section 15 (a).

REGISTRATION OF BROKERS AND DEALERS

§ 240.15b-1. Application for registration of broker or dealer.........

§ 240.15b-2. Supplements and amendments to applications....

§ 240.15b-3. Adoption of application filed by predecessor.

§ 240.15b-4. Registration of successor to registered broker or dealer...

§ 240.15b-5. Registration of fiduciaries..

§ 240.15b-6. Withdrawal from registration_..

§ 240.15b-7. 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...

§ 240.15b-8. Statement of financial condition to be filed with application for registration as a broker or dealer.

§ 240.15b-9. Proceedings under sections 15(b), 15A(1)(2) and 19(a)(3) of the Act...

§ 240.15c1-1. Definitions.....

RULES RELATING TO OVER-the-Counter MARKETS

§ 240.15c1-2. Fraud and misrepresentation.....

§ 240.15c1-3. Misrepresentation by brokers and dealers as to registration....

§ 240.15c1-4. Confirmation of transactions___

§ 240.15c1-5. Disclosure of control___.

§ 240.15c1-6. Disclosure of interest in distributions.

§ 240.15c1. 7. Discretionary accounts..

§ 240.15c1-8. Sales at the market..........

§ 240.15c1-9. Use of pro forma balance sheets..

§ 240.15c2-1. Hypothecation of customers' securities

REGULATION X-15D. REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933

Article 1. Annual Reports

§ 240.15c2-2. Prohibition of trading during suspension of trading on a national securities exchange..

§ 240.15c2-3. Prohibiting trading in German securities unless validated......

§ 240.15c3-1. Ratio of aggregate indebtedness to net capital..........

§ 240.15aa-1. Registration of a national or an affiliated securities association__.

§ 240.15ab-1. Relief from statutory disqualifications....

§ 240.15ag-1. Application pursuant to section 15A (g) of the Act for review of disciplinary action or denial of mem-

bership by registered securities association_-_-

§ 240.15aj-1. Amendments and supplements to registration statements of securities associations.

§ 240.15al2-1. Proceedings under section 15A (1) (2) of the Act...