汁 ズ PREFACE The rules comprising this compilation have been grouped according to subject matter under broad classifications, designated regulations, and subdivisions called articles. The sequence in which articles and rules have been arranged is based in general on the chronological order of steps involved in the registration of securities. Rules relating to the same subject matter have been assigned numbers in the same 100 series so far as practicable. In accordance with this plan, and in order that any additional rule adopted in the future may be assigned a number at the point appropriate to the subject matter, no attempt has been made. to number the rules consecutively. IMPORTANT NOTICE Individuals or firms REGISTERED under the Securities Act of 1933 will receive all proposed or adopted rule changes promulgated under this Act--which affects their registration. Others who wish to receive all adopted changes under this Act are requested to fill in this coupon and forward promptly to the Securities and Exchange Commission, Washington 25, D. C. GENERAL RULES AND REGULATIONS UNDER THE Inspection of registration statements.... Nondisclosure of information obtained in the course of examinations and investigations. Definition of "rules and regulations" as used in certain sections of the act... Definition for purposes of section 5 of "sale," "offer," "offer to sell," and "offer for sale" in relation to certain transactions of foreign governments for war purposes. Definition of "exchanged" in section 3 (a) (9), for certain transactions.. Definition of "commission or other remuneration" in section 3 (a) (9), for certain transactions. Definition of certain terms used in section 4 (1) of the act... Definition of certain terms used in section 4 (2)............ Definition of "transactions by an issuer not involving any public offering". Prospectus for employees' savings, profit sharing or pension plans....... Prospectuses supplementing preliminary material supplied previously. Application of amendments to rules governing contents of prospectuses.. Prospectus for use prior to effective date.. |