4929

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON 25, D. C.

DEC 20 1956

GENERAL RULES AND

REGULATIONS

UNDER THE

SECURITIES EXCHANGE ACT OF 1934

LIBRARY

This volume is bound without 1957

which is/are unavailable.

THE RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE
ACT OF 1934 ARE PUBLISHED IN THE CODE OF FEDERAL REGU-
LATIONS AS TITLE 17, PART 240. THUS $240.0-1 SHOULD BE CITED
AS 17 CFR 240.0-1

UNITED STATES

GOVERNMENT PRINTING OFFICE

WASHINGTON: 1956

For sale by the Superintendent of Documents, U. S. Government Printing Office, Washington 25, D. C.

COMMISSIONERS

J. SINCLAIR ARMSTRONG, Chairman
A. DOWNEY ORRICK
HAROLD C. PATTERSON

EARL F. HASTINGS

JAMES C. SARGENT

SECRETARY

ORVAL L. DUBOIS

PRINCIPAL OFFICE OF THE COMMISSION

Washington 25, D. C., Phone, Sterling 3-7600

Mail should be addressed as follows:

Securities and Exchange Commission, Washington 25, D. C.

REGIONAL AND BRANCH OFFICES

REGION 1.-New York, New Jersey.

225 Broadway, New York 7, N. Y. Phone, Rector 2-6363.

REGION 2.-Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine.

Phone, Liberty 2-5600.

U. S. Post Office and Courthouse, Post Office Square, Boston 9, Mass. REGION 3.-Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River.

Room 350, Peachtree-Seventh Building, Atlanta 23, Ga. Phone, Trinity 4-7191.

REGION 4.-Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin. Room 630, Bankers Building, 105 West Adams Street, Chicago 3, Ill. Phone, Central 6-7390.

Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. Phone, Tower 1-5939. Room 1074, Federal Building, Detroit 26, Mich. Phone, Woodward 3-9330. Room 1027, Main Post Office and Customhouse, 180 East Kellogg Boulevard, St. Paul 1, Minn. Phone, Capital 2–8011. REGION 5.-Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City).

Room 301, United States Courthouse, Tenth and Lamar Streets, Fort Worth 2, Tex. Phone, Edison 2–4463. REGION 6.-Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah.

Room 573, New Customhouse, Nineteenth and Stout Streets, Denver 2, Colo. Phone, Keystone 4-4151.
Branch, Room 201 Boston Building, Salt Lake City, Utah. Phone, Empire 4-2552, Ext. 203-204.

REGION 7.-California, Nevada, Arizona, Hawaii.

Room 339, Pacific Building, 4th and Market Streets, San Francisco 3, Calif. Phone, Yukon 6-3111.
Branch, Room 1737, United States Post Office and Courthouse, 312 North Spring Street, Los Angeles 12,
Calif. Phone, Madison 5-7411.

REGION 8.-Washington, Oregon, Idaho, Montana, Alaska.

Room 304, 905 Second Avenue Building, Seattle 4, Wash. Phone, Main 7760. REGION 9.-Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia. Room 105, 425 Second Street NW., Washington 25, D. C. Phone, Sterling 3-7600.

UNITED STATES OF AMERICA

PREFACE

This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934. The rules are designated "sections" and are numbered to conform with the numbering system used in the Code of Federal Regulations. Except for the rules under the caption "Rules of General Application", each rule relates to a particular section of the Act: For example, section 240.10a-1 relates to section 10(a) of the Act.

IMPORTANT NOTICE

The Rules and Regulations promulgated under the Securities Exchange Act of 1934 may be amended, repealed or superseded by action of this Commission. In order to insure that you will receive all notices of such changes, please fill in this coupon and forward promptly to the Securities and Exchange Commission, Washington 25, D. C.