GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 (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......... Filing 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 Exemption of certain securities, the income on which is substantially guaranteed by States or political Definition of "listed". Definition of "officer". DEFINITIONS Definition of "short sale". REGISTRATION AND EXEMPTION OF EXCHANGES Page 1 1 1 1 Form of application and amendments.... Annual amendments to registration statement or exemption statements of exchanges... EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2) 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 Hypothecation of customers' securities. SHORT SALES hort sales.......... tequirements for covering purchases... MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES 'rohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.. ɔlicitation of purchases on an exchange to facilitate a distribution of securities__. 222 3 3 444 4 4 4 5 5 78 8 8 9 9 10 11 14 12a-1. Temporary exemption from section 12 (a) of certain securities of banks.-- 12a-4. Exemption of certain warrants from section 12 (a)....... REGULATION 12B. APPLICATIONS AND REPORTS 13 13 Article 1. General 13 SUSPENSION Of Trading-Withdrawal—STRIKING FRỌm Listing and REGISTRATION Suspension of trading, withdrawal, and striking from listing and registration.... Removal from listing and registration of maturing securities and securities redeemed or retired_____ UNLISTED TRADING Applications for permission to extend unlisted trading privileges.. Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16.. Continuance of unlisted trading privileges on merged exchanges___ REGULATION 14. SOLICITATION OF PROXIES Definitions__ 35 SCHEDULE 14B. INFORMATION TO BE INCLuded in StateMENTS FILED BY OR ON BEHALF OF A PARTICIPANT " THAN THE ISSUER) IN A PROXY SOLICITATION PURSUANT TO RULE 14a-11(c) Rule Item 1. Issuer__ 2. Identity and background............... 3. Interests in securities of the issuer....... 4. Further matters.... 5. Signature... EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (8) 15a-1. Exemption of individual notes or bonds secured by lien on real estate from section 15 (a). REGISTRATION OF BROKERS And Dealers 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......... 15b-5. Registration of fiduciaries... 15b-6. Withdrawal from registration. 15b-7. Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident geze partners or managing agents of brokers or dealers.... 15b-8. Statement of financial condition to be filed with application for registration as a broker or dealer.... 15b-9. Proceedings under sections 15(b), 15A(I) (2) and 19(a)(3) of the of the Act.. 15c1-1. Definitions......... RULES RELATING TO OVER-THE-COUNTER MARKETS 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............ 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.. 15c3-1. Ratio of aggregate indebtedness to net capital............. REGULATION 15D. REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933 15aa-1. Registration of a national or an affiliated securities association....... 15ab-1. Relief from statutory disqualifications..... 15ag-1. Application pursuant to section 15A (g) of the Act for review of disciplinary action or denial of membest by registered securities association.......... 15aj-1. Amendments and supplements to registration statements of securities associations.. 15a12-1. Proceedings under section 15A(l) (2) of the Act................ |