GENERAL RULES AND REGULATIONS UNDER THE (Cited as 17 CFR 240.—) CONTENTS Subject RULES OF GENERAL APPLICATION -1. References to rules and regulations and to the Act, or to portions thereof___ -2. Business hours of the Commission.......... -3. Filing of material with the Commission.......... -4. Nondisclosure of information obtained in the course of examinations and investigations.... -5. Reference to rule by obsolete designation... -7. Consent to service of process by non-resident investment advisers.. -6. Disclosure detrimental to the national security............. MISCELLANEOUS EXEMPTIONS -2. Exemption of certain securities, the income on which is substantially guaranteed by States or political subdivisions thereof.. -3. Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19, 20, or 21 is authorized. 3 3 -1. Definition of "listed”. -2. Definition of "officer". 3. Definition of "short sale". DEFINITIONS REGISTRATION AND EXEMPTION OF EXCHANGES -1. Form of application and amendments___ −2. Annual amendments to registration statement or exemption statements of exchanges.--3. Supplemental material__ EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2) -1. Exemption from section 7 (c) (2) of certain securities exempted from registration or admitted to trading on exchanges exempted from registration_-_ HYPOTHECATION OF CUSTOMERS' SECURITIES -1. Hypothecation of customers' securities___. 1. Short sales... SHORT SALES —2. Requirements for covering purchases _ _ MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES -1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration___. -2. Solicitation of purchases on an exchange to facilitate a distribution of securities- —3. Employment of manipulative and deceptive devices___ -5. Employment of manipulative and deceptive devices___ -6. Prohibitions against trading by persons interested in a distribution......... -7. Stabilizing to facilitate a distribution... -8. Distributions through rights.. (2) Upon the lapse of sixty days after the dispatch of notice by registered mail of the finding and determination of the Commission, if the statement described in subparagraph (1) immediately above shall have been filed and if a petition for review shall not have been filed within such sixty days; or (3) If such petition for review shall have been filed within such sixty days, upon final disposition, adverse to the person, of the judicial proceedings. (j) If the confidential portion is made available to the public, one copy thereof shall be attached to each copy of the application, report, or document filed with the Commission and with each exchange. § 240.24b-3. Information Filed by Issuers and Others Under Sections 12, 13, 14, and 16. (a) Except as otherwise provided in this rule and in § 240.17a-6, each exchange shall keep avail O able to the public, under reasonable regulations i to the manner of inspection, during reasonabl office hours, all information regarding a securi registered on such exchange which is filed with pursuant to sections 12, 13, 14, or 16, or any rule or regulations thereunder. This requirement shal not apply to any information to the disclosure e which objection has been filed pursuant to §2 24b-2, which objection shall not have been ove ruled by the Commission pursuant to section: (b). The making of such information availab pursuant to this section shall not be deemed representation by any exchange as to the accurac completeness, or genuineness thereof. (b) In the case of an application for registratio of a security pursuant to section 12 an exchang may delay making available the information cơ tained therein until it has certified to the Commi sion its approval of such security for listing ar registration. 4957 1759 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON 25, D. C. OF MICHIGAN FEB 90 100 LIBRARY THE RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON: 1958 For sale by the Superintendent of Documents, U. S. Government Printing Office, Washington 25, D. C. COMMISSIONERS EDWORD N. GADSET, Chairman A. DOWNEY ORRICK HAROLD C. PATTERSON EARL F. HASTINGS JAMES C. SARGENT SECRETARY ORVAL L. DUBOIS PRINCIPAL Office of thE COMMISSION Washington 25, D. C., Phone, Sterling 3-7600 Mail should be addressed as follows: Becurities and Exchange Commission, Washington 25, D. C. REGIONAL AND BRANCH OFFICES Itmotos 1. New York, New Jersey. 225 Broadway, New York 7, N. Y. Phone, Rector 2-6363. Itmoron 2. Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. U. B. Port Office and Courthouse, Post Office Square, Boston 9, Mass. Phone, Liberty 2–5600. Imoto 3. Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that p Louisiana lying east of the Atchafalaya River. Room 350, Peachtree-Seventh Building, Atlanta 23, Ga. Phone, Trinity 4–7191. Reoros 4. Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wis Room 630, Bankers Building, 105 West Adams Street, Chicago 3, Ill. Phone, Central 6–7390. Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. Phone, Tower 1 Room 1074, Federal Building, Detroit 26, Mich. Phone, Woodward 3-9330. Room 1027, Ma Office and Customhouse, 180 East Kellogg Boulevard, St. Paul 1, Minn. Phone, Capital 2-8011. Imaton 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas Kansas City). Room 301, United States Courthouse, Tenth and Lamar Streets, Fort Worth 2, Tex. Phone, Edison R■GTON 6. Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah. Room 822, Midland Savings Building, 444 17th Street, Denver 2, Colo. Phone, Keystone 4-4151. Branch, Room 201 Boston Building, Salt Lake City, Utah. Phone, Empire 4-2552, Ext. 203-204. REGION 7. California, Nevada, Arizona, Hawaii. Room 339, Pacific Building, 821 Market Street, San Francisco 3, Calif. Phone, Yukon 6-3111. REGION 8. Washington, Oregon, Idaho, Montana, Alaska. Room 304, 905 Second Avenue Building, Seattle 4, Wash. Phone, Main 7760. RotoN 9. Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia. Room 105, 425 Second Street NW., Washington 25, D. C. Phone, Sterling 3-7600. |