applications filed on or after April 10, 1935, for the permanent registration of securities of companies making annual reports under Section 20 of the Interstate Commerce Act, as amended, or under Section 219 of the Communications Act of 1934, except such companies in receivership or in process of reorganization pursuant to Section 77 of the Bankruptcy Act.

Form 12-A. For companies in receivership or bankruptcy and making annual reports under Section 20 of the Interstate Commerce Act, as amended, or under Section 219 of the Communications Act of 1934. This form shall be used for applications filed on or after June 17, 1935, for the permanent registration of securities of companies making annual reports under Section 20 of the Interstate Commerce Act, as amended, or under Section 219 of the Communications Act of 1934, and in receivership or in bankruptcy (including proceedings under Sections 77 or 77B of the Bankruptcy Act).

Form 13. For insurance companies other than life and title insurance companies.-This form shall be used for applications filed on or after May 7, 1935, for permanent registration of securities of corporations engaged, directly or through subsidiaries, primarily in the insurance business, except corporations engaged primarily in the life- or title-insurance business. This form shall not be used by corporations engaged primarily in the business of guaranteeing mortgages or mortgage-participation certificates.

Pending the authorization of a form for registration of securities of corporations engaged primarily in the life-insurance business, and for a period of 30 days after the filing of applications on such form is authorized, such corporations may file application on Form 13 for Insurance Companies other than life and title insurance companies.

Insofar as Form 13 may be inappropriate to the life-insurance business, a corporation engaged in the life-insurance business filing on Form 13, pursuant to this rule, shall furnish information comparable to that required by Form 13; and, in lieu of financial statements required under the Instructions as to Financial Statements in the Instruction Book for Form 13, such corporation may file a copy of its last annual statement filed with its State regulatory authority.

Form 14. For certificates of deposit issued by a committee.―This form shall be used for applications on or after May 10, 1935, for the permanent registration of certificates of deposit issued by a committee. Form 15. For incorporated investment companies. This form shall be used for applications filed on or after May 15, 1935, for the permanent registration of securities of any corporation which is engaged, either directly or through subsidiaries, primarily in the business of investing and reinvesting, or trading in securities, for the purpose of revenue and for profit, and not in general for the purpose, or with the effect, of exercising control; except securities

f such corporations in process of reorganization pursuant to SecB of the Bankruptcy Act or securities of such corporations I bankruptcy or receivership.

Form 16. For voting trust certificates and underlying securities.This form shall be used for applications filed on or after May 18, 35, for the permanent registration of voting trust certificates and derlying securities.

Form 17. For unincorporated issuers engaged primarily in the ness of investing or trading in securities.-This form shall be used for applications filed on or after May 31, 1935, for the permanent regstration of securities of any unincorporated issuer which is engaged, either directly or through subsidiaries, primarily in the business of vesting and reinvesting, or trading, in securities, for the purpose of revenue and for profit, and not in general for the purpose, or with the effect, of exercising control; except securities of such issuers in process of reorganization pursuant to Section 77B of the Bankruptcy Act or urities of such issuers in bankruptcy or receivership.

Form 18. For foreign governments and political subdivisions thereof. This form shall be used for applications for the permanent registration of securities of foreign governments and political subdivisons thereof, filed on or after July 1, 1935: Provided, however, That any public corporation or other autonomous entity in the nature of a olitical subdivision, except a state, province, county, or municipality similar body politic,may, at its option, use Form 21 in lieu of this form. Form 19. For American certificates against foreign issues and for the underlying securities.-This form shall be used for applications filed on or after July 15, 1935, for the permanent registration of Ameran certificates (for example, so-called American Depositary Receipts for foreign shares or American participation certificates in foreign Fonds or notes) issued against securities of foreign issuers deposited with an American depositary (whether physically held by such depositary in America or abroad) and of the foreign securities so deposited. Form 20. For securities other than bonds of foreign private issu-This form shall be used for applications filed on or after July 15, 1935, for the permanent registration of securities other than bonds or other evidences of indebtedness (1) issued by a national of a foreign country other than a North American country or Cuba, or (2) issued by any corporation or unincorporated association, foreign or domestic, which is directly or indirectly owned or controlled by any foreign

government.

Form 21. For bonds of foreign private issuers.—This form shall be sel for applications filed on or after July 15, 1935, for the permanent registration of bonds or other evidences of indebtedness (1) issued by a national of a foreign country other than a North American country or Cuba; (2) issued by a national of a North American country or

Cuba which are guaranteed by any foreign government; (3) issued by any corporation or unincorporated association, foreign or domestic, which is directly or indirectly owned or controlled by any foreign government; or (4) issued by any public corporation or other autonomous entity in the nature of a political subdivision which shall at its option el ct to use this form in lieu of Form 18, except that this form is not to be used by a state, province, county, or municipality or similar body politic.

Form 22. For issuers reorganized in insolvency proceedings or which have succeeded to a person in insolvency proceedings.-This Form shall be used for applications for registration of securities of any issuer which, pursuant to a plan—

(a) Has been or is being reorganized in insolvency proceedings; or

(b) Has acquired or is to acquire, directly or indirectly, substantially all of its business and assets (other than cash) from a person in insolvency proceedings or from such person and one or more of its subsidiaries, and is continuing or is to continue the business so acquired; or

(c) Being a subsidiary of a person in insolvency proceedings, has acquired or is to acquire directly or indirectly substantially all of its assets (other than cash and other than assets owned by it prior to such acquisition) from such person or from such person and one or more of its subsidiaries;

if the securities are, or are to be, outstanding or issued pursuant to the plan, or were or are to be issued after the consummation of the plan; provided that this form shall not be used by issuers for which Form 8-A, 12, or 12-A is prescribed, or for applications filed with the exchange after the expiration of a full fiscal year of the issuer commencing on or after the date on which the transfer or opening of accounts was made.

Form 1-J.-This form is to be used for applications for registration of unissued warrants or certificates pursuant to Section 12 (d) of the Securities Exchange Act of 1934 for "when issued" dealing on a national securities exchange.

Form 2-J.-This form is to be used for applications for registration of unissued securities, other than unissued warrants or certificates, pursuant to Section 12 (d) of the Securities Exchange Act of 1934 for "when issued" dealing on a national securities exchange.

Form 3-J.-Form 3-J must be used to report any inaccuracy, omission, or other deficiency in the information contained in the application for registration on Form 1-J or Form 2-J or in any supplemental statement filed by an issuer or an exchange and to report changes which have occurred since the filing of the application for registration or the last supplemental statement and which render no longer accurate the information contained therein.

Form 4-This form is to be used for statements in respect of exemption of issued warrants or certificates pursuant to Section 3 4)(12) of the Securities Exchange Act of 1934.

Form 5-J-Form 5-J must be used to report any inaccuracy, omission, or other deficiency in the information contained in the statement filed on Form 4-J or in any supplemental statement filed by an ister or an exchange and to report changes which have occurred since the filing of Form 4-J or the last supplemental statement and which render no longer accurate the information contained therein.

FOR REPORTS TO BE FILED BY OFFICERS, DIRECTORS, AND SECURITY HOLDERS

Form 4. For reporting changes in ownership of equity securities.— Every person who at any time during any month has been directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which s listed on a national securities exchange, or a director or an officer of the issuer of such security, shall, if there has been any change during such month in his ownership of any equity security of such Issuer, whether registered or not, file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 4 (and a single duplicate original thereof with the Comision) indicating his ownership at the close of the calendar month and such changes in his ownership as have occurred during such alendar month. Such statements must be received by the Commission and the exchange on or before the 10th day of the month. following that which they cover.

Form 5. For reporting ownership of equity securities. In the ase of an equity security (other than an exempted security) which is listed subsequent to February 15, 1935, on a national securities exchange, every person who at the time such registration becomes fective is directly or indirectly the beneficial owner of more than 10 percent of any class of such security or a director or an officer of the suer of such security, shall file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 5 (and a single duplicate original thereof with the Commission) of the amount of all equity securities of such issuer, whether registered or not, so beneficially owned by him at the time such registration became effective. Such statement must be received by the Commission and the exchange on or before the 10th day of the following calendar month. If such person files a statement on Form 4 for the same calendar month in respect of the same securities, he need not file an additional statement pursuant to this paragraph. Form 6. For reports by persons who have just become officers or directors or security holders of more than 10 percent of any class of

equity security.-Every person who becomes directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security), which is listed on a national securities exchange, or becomes a director or an officer of the issuer of such security, shall file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 6 (and a single duplicate original thereof with the Commission) of the amount of all equity securities of such issuer, whether registered or not, so beneficially owned by him immediately after becoming such beneficial owner, director, or officer. Such statement must be received by the Commission and the exchange on or before the 10th day following the day on which such person became such beneficial owner, director, or officer. Such person need not file the statement required by this paragraph, if prior to such 10th day and during the calendar month in which he has become such beneficial owner, director, or officer, there has been a change in his beneficial ownership which will require him to file a statement on Form 4 with respect to the same securities.

FOR REGISTRATION OF BROKERS AND DEALERS TRANSACTING BUSINESS ON OVER-THE-COUNTER MARKETS

Form 3-M.-This form is to be used for applications filed on or after July 1, 1936, for the registration of brokers and dealers pursuant to Section 15 (b) of the Securities Exchange Act of 1934 as amended, except applications for which Form 4-M is authorized to be used.

Form 4-M.-This form is to be used (a) for applications filed by a registered partnership on or after July 1, 1936, pursuant to Section 15 (b) of the Securities Exchange Act of 1934, as amended, for the registration of a partnership to be formed as the successor to the applicant by the withdrawal or admission of one or more partners in the applicant; and (b) for applications filed on or after October 10, 1936, pursuant to said Section 15 (b) and Rule MB4, for the registration of a partnership formed as the successor to a registered partnership which has been dissolved by the death, withdrawal, or admission of one or more partners, provided that the application is filed within 30 days after such dissolution.

Form 5-M.-This form is to be used by a broker or dealer in adopting as its own, pursuant to Section 15 (b) of the Securities Exchange Act of 1934 as amended, an application for registration previously filed on Form 3-M or 4-M by a broker or dealer to which it is the successor.

Form 6-M.-This form is to be used for supplemental statements reporting changes which render inaccurate information contained in previously filed applications, adoptions or supplemental statements.