expire at midnight May 31, 1936, or, after due notice, at such earlier date as the Commission may at any time by rules or regulations or by order prescribe as to any or all securities included in the application. Permission granted pursuant to this rule upon application under rule JF2 shall expire at midnight June 30, 1935, or, after due notice, at such earlier date as the Commission may at any time by rules or regulations or by order prescribe as to any or all securities included in the application. (c) Except as may be otherwise specifically provided by rules or regulations or by order of the Commission, the granting of permission to continue or extend unlisted trading privileges upon application pursuant to rule JF1 or JF2 shall in no way limit the right of a national securities exchange to terminate such privileges pursuant to the rules of the exchange. RULE JF4. (a) Exemption of unlisted securities from sections 12 and 13. Any security as to which permission to continue or extend unlisted trading privileges on a national securities exchange is effective pursuant to the rules of the Commission, the issuer of which has no security registered as a listed security on the same exchange, shall, while such permission is effective be exempt from the provisions of sections 12 and 13 with respect to the filing of reports or statements by the issuer with such exchange, and, unless the issuer also has a security registered as a listed security on any other national securities exchange, with respect to such filing with the Commission. (b) Exemption of unlisted securities from section 16.-(1) If an issuer has no equity security registered as a listed security on a national securities exchange, any equity security of such issuer as to which permission to continue or extend unlisted trading privileges on a national securities exchange is effective pursuant to the rules of the Commission, shall, while such permission is effective, be exempt from the provisions of section 16. (2) If an issuer has any equity security registered as a listed security on a national securities exchange and also has an equity security which is not so registered but as to which permission to continue or extend unlisted trading privileges on such or any other national securities exchange is effective pursuant to the rules of the Commission, such unlisted security shall be exempt from the provisions of section 16 insofar as those provisions would otherwise apply to any person who is directly or indirectly the beneficial owner of more than 10 percent of such unlisted security and is neither a director nor officer of the issuer thereof not directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security of such issuer which is registered as a listed security. RULE JF5. Quotations of transactions in unlisted securities.-All quotations of transactions in securities admitted to unlisted trading privileges on an exchange which are published or reported by such exchange or by any person directly or indirectly controlled by such exchange, shall clearly indicate the difference between such transactions and transactions in listed securities. In the case of quotations made by such exchange or such controlled person by ticker, such difference shall be indicated by adding the letter "L" to quotations of transactions in securities listed on such exchange. In the case of such quotations reported or published by such exchange or such controlled person otherwise than by ticker, reports of transactions shall be grouped separately under headings indicating whether they concern listed securities or securities admitted to unlisted trading privileges. RULE JF6. This rule as promulgated August 29, 1934, was repealed as of January 21, 1935. RULE JF7. Continuance of unlisted trading privileges on merged exchanges.—(a) A national securities exchange which has absorbed another exchange theretofore granted permission to continue unlisted trading privileges in a security under rule JF1, may continue such unlisted trading privileges in such security without further order of the Commission subject to section 12 (f) and the rules and regulations thereunder. (b) Unlisted trading privileges continued pursuant to this rule shall expire at midnight, May 31, 1936, or, after due notice, at such earlier date as the Commission may, by rules and regulations or by order prescribe as to any or all of the securities for which unlisted trading privileges have been continued under this rule. APPENDIX III REGISTERED NATIONAL SECURITIES EXCHANGES ON WHICH UNLISTED TRADING IS PERMITTED Baltimore Stock Exchange. (December 15, 1935) New York Curb Exchange. Board of Trade of the City of Chicago. New York Real Estate Securities Ex REGISTERED NATIONAL SECURITIES EXCHANGES ON WHICH UNLISTED TRADING IS NOT PERMITTED Chicago Stock Exchange. Cincinnati Stock Exchange. Cleveland Stock Exchange. New York Stock Exchange. St. Louis Stock Exchange. Unlisted securities on registered national securities exchanges as of Dec. 15, 1935 (unduplicated) 1 Information relative to number of shares or other securities issued, excepting bonds, is not available for 19 out of the 1,370 issues. * Information relative to number of shares or other securities issued, excepting bonds, is not available for 11 out of the 753 issues. • Information relative to number of shares or other securities issued, excepting bonds, is not available for 5 out of the 691 issues. 4 Information relative to par value of bonds issued is not available for 20 out of the 564 issues. • Information relative to par value of bonds issued is not available for 19 out of the 522 issues. • Information relative to par value of bonds issued is not available for 10 out of the 499 issues. Listed securities on registered national securities exchanges as of Dec. 1, 1935 1 Plus bonds, 37,492,740 pounds sterling, listed on the New York Stock Exchange. Plus bonds, 65,353,000 francs, listed on the Boston Stock Exchange. 2 Plus bonds, 37,492,740 pounds sterling. Plus bonds, 37,492,740 pounds sterling, listed exclusively on the New York Stock Exchange. |