ITED STATES OF AMERICA GENERAL RULES AND REGULATIONS UNDER THE (Cited as 17 CFR 240.—) CONTENTS Subject RULES OF GENERAL APPLICATION 1. References to rules and regulations and to the Act, or to portions thereof. 2. Business hours of the Commission.......... 3. Filing of material with the Commission.. 1. Nondisclosure of information obtained in the course of examinations and investigations. 5. Reference to rule by obsolete designation.......... 3. Disclosure detrimental to the national security.... 7. Consent to service of process by non-resident investment advisers......... MISCELLANEOUS EXEMPTIONS 2. Exemption of certain securities, the income on which is substantially guaranteed by States or political subdivisions thereof... 3. Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19, 20, or 21 is authorized.. 1. Definition of "listed". 2. Definition of "officer". 3. Definition of "short sale". DEFINITIONS REGISTRATION AND EXEMPTION OF EXCHANGES Page 1 1 1 222 1. Form of application and amendments..... 2. Annual amendments to registration statement or exemption statements of exchanges.-3. Supplemental material... EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2) 1. 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 1. Hypothecation of customers' securities____ SHORT SALES 1. Short sales.___. 2. Requirements for covering purchases... MANIPULATIVE and DECEPTIVE DEVICES AND CONTRIVANCES 3 3 4 4 4 4 4 1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration____ 2. Solicitation of purchases on an exchange to facilitate a distribution of securities.. 3. Employment of manipulative and deceptive devices... 5. Employment of manipulative and deceptive devices. 3. Prohibitions against trading by persons interested in a distribution___ 7. Stabilizing to facilitate a distribution.. 3. Distributions through rights.. 5 5 78 8 8 9 9 10 11 14 Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 (d) (1) 11d1-1. Exemption of certain securities from section 11 (d) (1)............ SECURITIES EXEMPTED FROM Registration 128-1. Temporary exemption from section 12 (a) of certain securities of banks... 12a-2. Temporary exemption from section 12 (a) of certain securities secured by property which, a leasehold interest in which, is owned by a person not the original issuer of such securityhibition of use of manipulative or deceptive devices or contrivances with respect thereto.........│ 12a-3. Temporary exemption from section 12 (a) of certain securities of issuers in bankruptcy or receive ship or in process of reorganization-Prohibition of use of manipulative or deceptive devies contrivances with respect thereto.__ 12a-4. Exemption of certain warrants from section 12 (a).......... 128-5. Temporary exemption of substituted or additional securities___ 1 1 Article 2. Formal Requirements 1 12b-10. Requirements as to proper form.. 12b-14. Riders-inserts.. 12b-15. Amendments... Article 3. General Requirements as to Contents 12b-20. Additional information_____ 12b-21. Information unknown or not available... 12b-22. Disclaimer of control____. 12b-23. Incorporation by reference... 12b-24. Summaries or outlines of documents.. 12b-25. Extension of time for furnishing information.......... Article 4. Exhibits 12b-30. Additional exhibits.. 12b-31. Omission of substantially identical documents... Article 5. Special Provisions 12b-35. Use of registration statement under Securities Act of 1933. 12b-36. Use of financial statements filed under other Acts.. REGULATION 12D1. EFFECTIVENESS OF REGISTRATION-EXCHANGE CERTIFICATION 12d1-1. Registration effective as to class or series... 12d1-2. Acceleration of effectiveness of registration. 12d1-3. Requirements as to certification_-__ 12d1-4. Date of receipt of certification by Commission.... 12d1-5. Operation of certification on subsequent amendments.. 12d1-6. Withdrawal of certification... SUSPENSION OF TRADING-WITHDRAWAL-Striking From Listing AND REGISTRATION Suspension of trading, withdrawal, and striking from listing and registration............. 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 13A. REPORTS OF ISSUERS OF LISTED SECURITIES Article 1. Annual Report SCHEDULE 14B. INFORMATION TO BE Included in Statements Filed by or on Behalf of a Participat THAN THE ISSUER) IN A PROXY SOLICITATION PURSUANT TO RULE 148-11(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 (a) 15a-1. Exemption of individual notes or bonds secured by lien on real estate from section 15 (a). 15a-2. Exemption of certain securities of cooperative apartment houses from section 15 (a). 15a-3. Exemption of specialist's block purchases and sales... 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 gener 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(/) (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.. 15c1-3. 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....... 15c2-4. Transmission or maintenance of payments received in connection with underwritings.. REGULATION 15D. REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933 15d-1. Requirements of annual reports... 15d-2. Special financial report... 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 membert 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..--- |