ZONE 1. New York, New Jersey, Pennsylvania. Room 2006, 120 Broadway, New York City. ZONE 2. Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. 82 Devonshire St., Boston, Mass. ZONE 3. Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River. Palmer Building, Atlanta, Ga. ZONE 4. Minnesota, Wisconsin, Michigan, Iowa, Illinois, Indiana, Ohio, Missouri, Kentucky, Kansas City (Kans.). 105 West Adams St., Chicago, Ill. ZONE 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City). New Federal Building, Fort Worth, Tex. ZONE 6. Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah. Patterson Building, Denver, Colo. ZONE 7. California, Nevada, Arizona, Philippine Islands, Hawaii. 625 Market St., San Francisco, Calif. ZONE 8. Washington, Oregon, Idaho, Montana, Alaska. Exchange Building, Seattle, Wash. WASHINGTON FIELD.-Virginia, West Virginia, Maryland, Delaware, District of Columbia. 1778 Pennsylvania Avenue, NW., Washington, D. C. OCT 15 '38 HG 4929 • A 2 PREFACE This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934. Except for the rules under the caption "Rules of General Application," each rule relates to a particular section of the Act: For example, Rule X-10A-1 relates to section 10 (a) of the Act. The "X" in the rule number designates the Act under which the rule was promulgated and the last numeral indicates rule sequence. The following system of pagination is used in this compilation. The first 100 series is assigned to rules under the caption "Rules of General Application." Each succeeding 100 series is assigned to rules under the corresponding section of the Act: For example, the rules under section 3 of the Act begin on page 301; those under section 6 of the Act begin on page 601, and so on. X-4. Nondisclosure of information obtained in the course of exami- X-5. Reference to rule by obsolete designation____ 102 X-3A12-1. Temporary exemption of certain pass-books and assignments of claims traded on the Cleveland Stock Exchange from X-3A12-2. Exemption of certain securities, the income on which is sub- X-3A12-3. Exemption from sections 14 (a) and 16 of securities for which filing of applications on form 18, 19, 20, or 21 is authorized__ X-6B-1. Registration and exemption of exchanges.. X-6B-2. Amendments and supplements to registration statements of X-6B-3. Applicability of rules X-12A-1, X-12A-2, and X-12A-3 to securities listed on an exempted exchange which subse- quently becomes registered-Financial requirements for registration of such securities___ X-6B-4. Amendments and supplements to applications for exemption X-7C2-1. Exemption from section 7 (c) (2) of certain securities ex- 701 |