Rule GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Cited as 17 CFR 240.-) CONTENTS Subject RULES OF GENERAL APPLICATION Page 1 1 1 1 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 security... 0-7. Consent to service of process by non-resident investment advisers. MISCELLANEOUS EXEMPTIONS 3a12-2. Exemption of certain securities, the income on which is substantially guaranteed by States or political subdivisions thereof.. 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... 3b-1. Definition of "listed". 3b-2. Definition of "officer". DEFINITIONS 3b-3. Definition of "short sale". REGISTRATION AND EXEMPTION OF EXCHANGES 222 6a-1. Form of application and amendments.......... 6a-2. Annual amendments to registration statement or exemption statements of exchanges... 6a-3. Supplemental material___ 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... HYPOTHECATION OF CUSTOMERS' SECURITIES 8c-1. Hypothecation of customers' securities... SHORT SALES 10a-1. Short sales.. 10a-2. Requirements for covering purchases.. MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES 3 3 4 4 4 4 4 4 5 5 78 8 8 9 9 10 11 14 10b-1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.... 10b-2. Solicitation of purchases on an exchange to facilitate a distribution of securities.. 10b-3. Employment of manipulative and deceptive devices___ 10b-5. Employment of manipulative and deceptive devices.. 10b-6. Prohibitions against trading by persons interested in a distribution___ 10b-7. Stabilizing to facilitate a distribution___. 10b-8. Distributions through rights.. SUSPENSION OF TRADING-WITHDRAWAL-STRIKING FROM LISTING AND REGISTRATION 12d2-1. Suspension of trading, withdrawal, and striking from listing and registration.......... Rule UNLISTED TRADING 12f-1. Applications for permission to extend unlisted trading privileges.. 12f-2. Changes in securities admitted to unlisted trading privileges.--12f-3. Termination or suspension of unlisted trading privileges___ 12f-4. Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16.. 12f-5. Differentiation on ticker between transactions in listed and unlisted securities... 12f-6. Continuance of unlisted trading privileges on merged exchanges____ Ba-11. Current reports on form 8-K.. 34 SCHEDULE 14B. INFORMATION TO BE INCLUded in StatemENTS FILED BY OR ON BEHALF of a ParticiPANT (OTELI Than the IssueR) IN A PROXY SOLICITATION PURSUANT TO RULE 14a-11(c) 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... partners or managing agents of brokers or dealers.... 15b-9. Proceedings under sections 15(b), 15A(1)(2) and 19(a) (3) of the Act---- 15c1-2. Fraud and misrepresentation__ 15c1-3. Misrepresentation by brokers and dealers as to registration_-_- 15c1-4. Confirmation of transactions....... 15c1-5. Disclosure of control............ 15c1-6. Disclosure of interest in distributions.. 15c1. 7. Discretionary accounts... 15c1-8. Sales at the market.......... 15c1-9. Use of pro forma balance sheets....... 15c2-1. Hypothecation of customers' securities. 15c2-2. Prohibition of trading during suspension of trading on a national securities exchange.... 15c2-3. Prohibiting trading in German securities unless validated....... |