DEFINITION OF "EQUITY SECURITY" AS USED IN SECTIONS 12(g) AND 16 240.3a4-1 Associated persons of an issuer deemed not to be brokers. 240.3a11-1 Definition of the term "equity security". MISCELLANEOUS EXEMPTIONS 240.3a12-1 Exemption of certain mortgages and interests in mortgages. 240.3a12-2 [Reserved] 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f), and 16 for securities of certain foreign issuers. 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities. 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1). 240.3a12-6 Definition of "common trust fund" as used in section 3(a)(12) of the Act. 240.3a12-7 Exemption for certain deriva tive securities traded otherwise than on a national securities exchange. 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading. 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1). 240.3b-1 Definition of "listed." 240.3b-2 Definition of "officer." 240.3b-3 Definition of "short sale." 240.3b-4 Definition of "foreign government," "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 Market Maker," "Qualified Third 240.3b-9 Definition of "bank" for purposes of section 3(a) (4) and (5) of the Act. REGISTRATION AND EXEMPTION OF EXCHANGES 240.6a-1 Form of application and amendments. 240.6a-2 Periodic amendments to registration statements or exemption statements of exchanges. 240.6a-3 Supplemental material. 240.7c2-1 [Reserved] HYPOTHECATION OF CUSTOMERS' SECURITIES 240.8c-1 Hypothecation of customers' securities. 240.9b-1 Options disclosure document. SHORT SALES 240.10a-1 Short sales. 240.10a-2 Requirements for covering purchases. MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES 240.10b-1 Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration. 240.10b-2 'Reserved] 240.11Aa3-1 Dissemination of transaction reports and last sale data with respect to transactions in reported securities. 240.11Aa3-2 Filing and amendment of na- 240.11Ab2-1 Registration of securities in- formation processors: Form of applica- 240.11Ac1-1 Dissemination of quotations 240.11Ac1-2 Display of transaction reports, last sale data and quotation informa- SECURITIES EXEMPTED FROM REGISTRATION 240.12a-4 Exemption of certain warrants 240.12a-5 Temporary exemption of substi- tuted or additional securities. 240.12a-6 Exemption of Securities underly- ing certain options from section 12(a). 240.12a-7 Exemption of stock contained in REGISTRATION OF SECURITIES INFORMATION PROCESSORS timely file all or any required portion of 240.12f-1 Applications for permission to extend unlisted trading privileges. 240.12f-2 Changes in securities admitted to unlisted trading privileges. 240.12f-3 Termination or suspension of unlisted trading privileges. 240.12f-4 Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16. 240.12f-6 Continuance of unlisted trading privileges on merged exchanges. EXTENSIONS AND TEMPORARY EXEMPTIONS; DEFINITIONS 240.12g-1 Exemption from section 12(g). 240.12g-2 Securities deemed to be registered pursuant to section 12(g)(1) upon termination of exemption pursuant to section 12(g)(2) (A) or (B). 240.12g-3 Registration of securities of successor issuers. 240.12g3-2 Exemptions for American depositary receipts and certain foreign securities. 240.12g-4 Certifications of termination of registration under section 12(g). 240.12g5-1 Definition of securities "held of record". Sec. 240.12g5-2 Definition of "total assets". 240.12h-1 Exemptions from registration under section 12(g) of the Act. 240.12h-2 [Reserved] 240.12h-3 Suspension of duty to file reports under section 15(d). 240.12h-4 Exemption from duty to file reports under section 15(d). REGULATION 13A: REPORTS OF ISSUERS OF SECURITIES REGISTERED PURSUANT TO SECTION 12 ANNUAL REPORTS 240.13a-1 Requirements of annual reports. 240.13a-2 Annual reports of predecessors. 240.13a-3 Reporting by Form 40-F registrant. OTHER REPORTS 240.13a-10 Transition reports. 240.13a-11 Current reports on Form 8-K (§ 249.308 of this chapter). 240.13a-13 Quarterly reports on Form 10Q and Form 10-QSB (§ 249.308a of this chapter). 240.13a-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306). 240.13a-17 Reports on Form 10-C by issuers of securities quoted on the NASDAQ interdealer quotation system. REGULATION 13b-2: MAINTENANCE OF RECORDS AND PREPARATION OF REQUIRED REPORTS 240.13b2-1 Falsification of accounting records. 240.13d-5 Acquisition of securities. 240.13d-6 Exemption of certain acquisitions. 240.13d-7 Fees for filing Schedules 13D or 13G. 240.13d-101 Schedule 13D-Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a). 240.13d-102 Schedule 13G-Information to be included in statements filed pursuant to § 240.13d-1(b) and (c) and amendments thereto filed pursuant to § 240.13d-2(b). Sec. 240.13e-1 Purchase of securities by issuer thereof. 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 pursuant to section 13(e) of the Securities Exchange Act of 1934 and rule 13e-3 (§ 240.13e-3) thereunder. 240.13e-101 Schedule 13E-4. Tender offer statement pursuant to section 13(e)(1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder. 240.13e-102 Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder. 240.13f-1 Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion. 240.13f-2(T) EDGAR Filing of Form 13F Reports by Institutional Money Manag ers. REGULATION 14A: SOLICITATIONS OF PROXIES 240.14a-1 Definitions. 240.14a-2 Solicitations to which §§ 240.14a3 to 240.14a-14 apply. 240.14a-3 Information to be furnished to security holders. 240.14a-4 Requirements as to proxy. 240.14a-5 Presentation of information in proxy statement. 240.14a-6 Filing requirements. 240.14a-7 Obligations of registrants to provide a list of, or mail soliciting material to, security holders. 240.14a-8 Proposals of security holders. 240.14a-9 False or misleading statements. 240.14a-10 Prohibition of certain solicitations. 240.14a-11 Special provisions applicable to election contests. in 240.14a-12 Solicitation prior to furnishing required proxy statement. 240.14a-13 Obligation of registrants communicating with beneficial owners. 240.14a-14 Modified or superseded documents. 240.14a-101 Schedule 14A. Information required in proxy statement. 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). 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners. 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E. 240.14d-2 Date of commencement of a tender offer. 240.14d-3 Filing and transmission of tender offer statement. 240.14d-4 Dissemination of certain tender offers. 240.14d-5 Dissemination of certain tender offers by the use of stockholder lists and security position listings. 240.14d-6 Disclosure requirements with respect to tender offers. 240.14d-7 Additional withdrawal rights. 240.14d-8 Exemption from statutory pro rata requirements. 240.14d-9 Solicitation/recommendation statements with respect to certain tender offers. 240.14d-10 Equal treatment of security holders. 240.14d-100 Schedule 14D-1. Tender offer statement pursuant to section 14(d)(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 14d1(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. 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. Sec. 240.14e-4 Prohibited transactions in connection with partial tender offers. 240.14e-6 Repurchase offers by certain closed-end registered investment companies. 240.14f-1 Change in majority of directors. EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15(a) 240.15a-2 Exemption of certain securities of cooperative apartment houses from section 15(a). 240.15a-3 [Reserved] 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. 240.15b9-1 Exemption for certain exchange members. 240.15c2-4 Transmission or maintenance of payments received in connection with underwritings. 240.15c2-5 Disclosure and other requirements when extending or arranging credit in certain transactions. 240.15c2-6 Sales practice requirements for certain low-priced securities. 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 Requirements (Appendix E to 17 CFR 240.15c3le). 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. 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 depository shares registered on Form F-6. 240.15d-4 Reporting by Form 40-F Registrants. 240.15d-5 Reporting by successor issuers. 240.15d-6 Suspension of duty to file reports. OTHER REPORTS 240.15d-10 Transition reports. 240.15d-11 Current reports on Form 8-K (§ 249.308 of this chapter). 240.15d-13 Quarterly reports on Form 10Q and Form 10-QSB (§ 249.308a of this chapter). 240.15d-16 Reports of foreign private issuers on Form 6-K (17 CFR 249.306). 240.15d-17 Reports on Forms 10-C by issuers of securities quoted on the NASDAQ interdealer quotation system. |