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GENERAL RULES AND REGULATIONS UNDER THE

SECURITIES EXCHANGE ACT OF 1934

(Cited as 17 CFR 240.—)

CONTENTS

Subject

RULES OF GENERAL APPLICATION

References to rules and regulations and to the Act, or to portions thereof..

Business hours of the Commission.........

Filing of material with the Commission...

Nondisclosure of information obtained in the course of examinations and investigations.......
Reference to rule by obsolete designation.......

Disclosure detrimental to the national security..

Consent to service of process by non-resident investment advisers..

MISCELLANEOUS EXEMPTIONS

Exemption of certain securities, the income on which is substantially guaranteed by States or political
subdivisions thereof...
Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19, 20, or
21 is authorized___

Definition of "listed".

Definition of "officer".

DEFINITIONS

Definition of "short sale".

REGISTRATION AND EXEMPTION OF EXCHANGES

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Form of application and amendments....

Annual amendments to registration statement or exemption statements of exchanges...
Supplemental material.......

EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 (c) (2) 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

Hypothecation of customers' securities.

SHORT SALES

hort sales..........

tequirements for covering purchases...

MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES

'rohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration..

ɔlicitation of purchases on an exchange to facilitate a distribution of securities__.

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12a-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,
leasehold interest in which, is owned by a person not the original issuer of such security-
hibition 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 re
ship or in process of reorganization-Prohibition of use of manipulative or deceptive device
contrivances with respect thereto....

12a-4. Exemption of certain warrants from section 12 (a).......
12a-5. Temporary exemption of substituted or additional securities.__.

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REGULATION 12B. APPLICATIONS AND REPORTS

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Article 1. General

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SUSPENSION Of Trading-Withdrawal—STRIKING FRỌm Listing and REGISTRATION

Suspension of trading, withdrawal, and striking from listing and registration....

Removal from listing and registration of maturing securities and securities redeemed or retired_____

UNLISTED TRADING

Applications for permission to extend unlisted trading privileges..
Changes in securities admitted to unlisted trading privileges..
Termination or suspension of unlisted trading privileges...-

Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16..
Differentiation on ticker between transactions in listed and unlisted securities___.

Continuance of unlisted trading privileges on merged exchanges___

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REGULATION 14. SOLICITATION OF PROXIES

Definitions__

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SCHEDULE 14B. INFORMATION TO BE INCLuded in StateMENTS FILED BY OR ON BEHALF OF A PARTICIPANT " THAN THE ISSUER) IN A PROXY SOLICITATION PURSUANT TO RULE 14a-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 (8)

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 geze 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(I) (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..................

1501-3. 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..

15c3-1. Ratio of aggregate indebtedness to net capital.............

REGULATION 15D. REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933

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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 membest

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................

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