§ 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to §240.13d2(b). 240.13e-1 Purchase of securities by the issuer during a third-party tender offer. 240.13e-2 [Reserved] 240.13e-3 Going private transactions by certain issuers or their affiliates. 240.13e-4 Tender offers by issuers. 240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder. 240.14a-102 [Reserved] 240.14a-103 Notice of Exempt Solicitation. Information to be included in statements submitted by or on behalf of a person pursuant to §240.14a-6(g). 240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be inIcluded in statements submitted by or on behalf of a person pursuant to §240.14a2(b)(4) and § 240.14a-6(n). 240.14b-1 Obligation of registered brokers and dealers in connection with the 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E. 240.14d-2 Commencement of a tender offer. 240.14d-3 Filing and transmission of tender offer statement. 240.14d-4 Dissemination of tender offers to security holders. 240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings. 240.14d-6 Disclosure of tender offer information to security holders. 240.14d-7 Additional withdrawal rights. 240.14d-8 Exemption from statutory pro rata requirements. 240.14d-9 Recommendation or solicitation by the subject company and others. 240.14d-10 Equal treatment of security hold ers. 240.14d-11 Subsequent offering period. 240.14d-100 Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934. 240.14d-101 Schedule 14D-9. 240.14d-102 Schedule 14D-1F. Tender offer statement pursuant to rule 14d-1(b) under the Securities Exchange Act of 1934. 240.14d-103 Schedule 14D-9F. Solicitation/ recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder. REGULATION 14E 240.14e-1 Unlawful tender offer practices. 240.14e-2 Position of subject company with respect to a tender offer. 240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers. 240.15a-4 Forty-five day exemption from registration for certain members of national securities exchanges. 240.15a-5 Exemption of certain nonbank lenders. REGISTRATION OF BROKERS AND DEALERS 240.15a-6 Exemption of certain foreign brokers or dealers. 240.15b1-1 Application for registration of brokers or dealers. 240.15b1-2 [Reserved] 240.15b1-3 Registration of successor to registered broker or dealer. 240.15b1-4 Registration of fiduciaries. 240.15b1-5 Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general partners or managing agents of brokers or dealers. 240.15b2-2 Inspection of newly registered brokers and dealers. 240.15b3-1 Amendments to application. 240.15b5-1 Extension of registration for purposes of the Securities Investor Protection Act of 1970 after cancellation or revocation. 240.15b6-1 Withdrawal from registration. 240.15b7-1 Compliance with qualification requirements of self-regulatory organizations. 240.15b7-3T Operational capability in a Year 2000 environment. 240.15b9-1 Exemption for certain exchange members. 240.15b9-2 Exemption from SRO membership for OTC derivatives dealers. RULES RELATING TO OVER-THE-COUNTER MARKETS 240.15c1-1 Definitions. 240.15c2-6 [Reserved] 240.15c2-7 Identification of quotations. 240.15c2-8 Delivery of prospectus. 240.15c2-11 Initiation or resumption of quotations without specific information. 240.15c2-12 Municipal securities disclosure. 240.15c3-1 Net capital requirements for brokers or dealers. 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1). 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to 17 CFR 240.15c3-1). 240.15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (Appendix C to 17 CFR 240.15c3-1). 240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1). 240.15c3-1e Temporary Minimum Require ments (Appendix E to 17 CFR 240.15c3-1e). 240.15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1) 240.15c3-2 Customers' free credit balances. 240.15c3-3 Customer protection-reserves and custody of securities. 240.15c3-3a Exhibit A-formula for determination reserve requirement of brokers and dealers under § 240.15c3-3. 240.15c3-4 Internal risk management control systems for OTC derivatives dealers. 240.15c6-1 Settlement cycle. REGULATION 15D: REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933 ANNUAL REPORTS 240.15d-1 Requirement of annual reports. 240.15d-2 Special financial report. 240.15d-3 Reports for depositary shares registered on Form F-6. 240.15d-4 Reporting by Form 40-F Registrants. 240.15d-5 Reporting by successor issuers. Part 274 275 276 279 281 285 286 287 288 289 Forms prescribed under the Investment Company Rules and regulations, Investment Advisers Act of Interpretative releases relating to corporate reor- Rules and regulations pursuant to section 15(a) of General rules and regulations pursuant to section Page R REG 738 CHA 746 775 776 777 777 779 781 783 290 300 301 Rules of the Securities Investor Protection Cor- Forms, Securities Investor Protection Corporation General rules and regulations pursuant to section 785 787 789 796 240.0-1 Definitions. 240.0-2 Business hours of the Commission. 240.0-3 Filing of material with the Commission. 240.0-4 Nondisclosure of information obtained in examinations and investigations. 240.0-5 Reference to rule by obsolete designation. 240.0-6 Disclosure detrimental to the national defense or foreign policy. 240.0-8 Application of rules to registered broker-dealers. 240.0-9 Payment of fees. 240.0-10 Small entities under the Securities 240.0-11 Filing fees for certain acquisitions, DEFINITION OF "EQUITY SECURITY” AS USED IN 240.3a4-1 Associated persons of an issuer 240.3a11-1 Definition of the term "equity security". MISCELLANEOUS EXEMPTIONS 240.3a12-1 Exemption of certain mortgages 240.3a12-3 Exemption from sections 14(a), 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 240.3a12-6 Definition of "common trust 240.3a12-7 Exemption for certain derivative ticipation program securities from the 240.3a12-10 Exemption of certain securities 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange. 240.3a40-1 Designation of financial responsibility rules. 240.3a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission. 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. 240.3a51-1 Definition of "penny stock". DEFINITIONS 240.3b-1 Definition of "listed". of "foreign govern ment," "foreign issuer" and "foreign private issuer". 240.3b-5 Non-exempt securities issued under governmental obligations. 240.3b-6 Liability for certain statements by issuers. 240.3b-7 Definition of "executive officer". 240.3b-8 Definitions of "Qualified OTC Mar ket Maker, Qualified Third Market 240.3b-9 Definition of "bank" for purposes 240.3b-11 Definitions relating 6(b)(9), to limited 14(h) and partnership roll-up transactions for pur- 240.3b-12 Definition of OTC derivatives deal REPORTS UNDER SECTION 10A 240.10A-1 Notice to the Commission Pursuant to Section 10A of the Act. ADOPTION OF FLOOR TRADING REGULATION 240.11a-1 Regulation of floor trading. 240.11a1-1(T) Transactions yielding priority, parity, and precedence. 240.11al-2 Transactions for certain accounts of associated persons of members. 240.11a1-3(T) Bona fide hedge transactions in certain securities. 240.11a1-4(T) Bond transactions on national securities exchanges. 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers. 240.11al-6 Transactions for certain accounts of OTC derivatives dealers. 240.11a2-2(T) Transactions effected by exchange members through other members. ADOPTION OF REGULATION ON CONDUCT OF 240.11b-1 Regulation of specialists. 17 CFR Ch. II (4-1-00 Edition) EXEMPTION OF CERTAIN SECURITIES FROM 240.11d1-1 Exemption of certain securities 240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts. REGISTRATION OF SECURITIES INFORMATION 240.11Aa2-1 Designation of national market of transaction reports and last sale data with respect to transactions in reported securities. 240.11Aa3-2 Filing and amendment of na tional market system plans. 240.11Ab2-1 Registration of securities infor mation processors: Form of application and amendments. 240.11Ac1-1 Dissemination of quotations. 240.11 Ac1-2 Display of transaction reports, last sale data and quotation information. 240.11Ac1-3 Customer account statements. 240.11Ac1-4 Display of customer limit orders. SECURITIES EXEMPTED FROM REGISTRATION 240.12a-4 Exemption of certain warrants from section 12(a). 240.12a-5 Temporary exemption of substituted or additional securities. 240.12a-6 Exemption of securities underlying certain options from section 12(a). 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act. 240.12a-8 Exemption of depositary shares. |