GENERAL RULES AND REGULATIONS UNDER THE (Cited as 17 CFR 240.-) CONTENTS Subject RULES OF GENERAL APPLICATION References to rules and regulations and to the Act, or to portions thereof......... Business hours of the Commission... Niling of material with the Commission.. Nondisclosure of information obtained in the course of examinations and investigations.-- Disclosure detrimental to the national security... Consent to service of process by non-resident investment advisers... – MISCELLANEOUS EXEMPTIONS xemption of certain securities, the income on which is substantially guaranteed by States or political Definition of "listed". Definition of "officer". Definition of "short sale". DEFINITIONS REGISTRATION AND EXEMPTION OF EXCHANGES orm of application and amendments.... nnual amendments to registration statement or exemption statements of exchanges.--ipplemental material.... EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2) xemption from section 7 (c) (2) of certain securities exempted from registration or admitted to trading on exchanges exempted from registration_-_ HYPOTHECATION OF CUSTOMERS' SECURITIES ypothecation of customers' securities.. SHORT SALES ort sales.... quirements for covering purchases.. MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES ohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration____ Licitation of purchases on an exchange to facilitate a distribution of securities__ Rule EXEMPTION OF Certain SecurITIES FROM SECTION 11 (d) (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 1 leasehold interest in which, is owned by a person not the original issuer of such security—Pr hibition 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 receive ship or in process of reorganization-Prohibition of use of manipulative or deceptive devices contrivances with respect thereto.___. 12a-4. Exemption of certain warrants from section 12 (a)__ 12a-5. Temporary exemption of substituted or additional securities. REGULATION 12B. APPLICATIONS AND REPORTS Article 1. General SUSPENSION OF TRADING-WITHDRAWAL STRIKING FROM LISTING AND REGISTRATION 1 Suspension of trading, withdrawal, and striking from listing and registration...-- Page 28 30 . Removal from listing and registration of maturing securities and securities redeemed or retired............. UNLISTED TRADING . Applications for permission to extend unlisted trading privileges. Changes in securities admitted to unlisted trading privileges... . Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16............... . Differentiation on ticker between transactions in listed and unlisted securities____ Continuance of unlisted trading privileges on merged exchanges.... REGULATION 13A. REPORTS OF ISSUERS OF LISTED SECURITIES Article 1. Annual Report 30 30 31 32 32 32 REGULATION 14. SOLICITATION OF PROXIES 35 36 36 37 37 38 39 39 40 41 41 INFORMATION REQUIRED IN PROXY STATEMENT 2. Dissenters' rights of appraisal___ 3. Persons making the solicitation____ 43 4. Interest of certain persons in matters to be acted upon.. 5. Voting securities and principal holders thereof____ 6. Nominees and directors___ 7. Remuneration and other transactions with management and others.. 8. Selection of auditors... 44 44 45 45 47 SCHEDULE 14B. INFORMATION TO BE INCLUDed in StatemeNTS FILED BY Or on Behalf of a PARTICIPAN THAN THE ISSUER) IN A PROXY SOLICITATION PURSUANT TO RULE 148-11(c) EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (s) 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... 15b-1. Application for registration of broker or dealer............. 15b-2. Supplements and amendments to applications......-- 15b-3. Adoption of application filed by predecessor.. 15b-4. Registration of successor to registered broker or dealer... partners or managing agents of brokers or dealers... 15b-9. Proceedings under sections 15(b), 15A() (2) and 19(a)(3) of the of the Act...-- 1501-2. Fraud and misrepresentation.......... 1501-3. Misrepresentation by brokers and dealers as to registration......... 15c1-4. Confirmation of transactions.... 15c1-5. Disclosure of control............ 1501-6. Disclosure of interest in distributions.... 15c1. 7. Discretionary accounts. 15c1-8. Sales at the market.......... 1501-9. 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............ 15c3-1. Ratio of aggregate indebtedness to net capital.......... REGULATION 15D. REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933 REPORTS OF DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS Reports under section 16 (a). Ownership of more than 10 percent of an equity security..... Manner of reporting holdings and changes in ownership under rule 16a-1------ Exemption from section 16 of securities purchased or sold by odd-lot dealers_--- Exemption from section 16 (a) of securities as to which reports are required under Holding Company Act... 70 នននននន 70 71 Exemption for small transactions... 72 Exemption from section 16 (b) of transactions which need not be reported under section 16 (a) – 72 EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16 (b) Exemption from section 16 (b) of certain transactions by registered investment companies. - Exemption from section 16 (b) of certain transactions effected in connection with a distribution.. Exemption from section 16 (b) of acquisitions of shares of stock and restricted stock options under certain stock bonus, stock option or similar plans. . Exemption from section 16 (b) of certain transactions by public utility holding companies and subsidiaries thereof.. Exemption from section 16 (b) of certain transactions in which securities are received by redeeming other securities... Exemption of long-term profits incident to sales within 6 months of the exercise of an option... Exemption from section 16 (b) of certain acquisitions and dispositions of securities pursuant to mergers or consolidations............... Exemption from section 16 (b) of certain securities received upon surrender of similar equity securities... EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16 (c) Exemption of certain securities from section 16 (c)................... 76 Exemption from section 16 (c) of certain transactions effected in connection with a distribution.. 76 76 Records to be preserved by certain exchange members, brokers and dealers... 79 Reports to be made by certain exchange members, brokers and dealers.. Documents to be kept public by exchanges.. Nondisclosure of information filed with the Commission and with an exchange.... |