ÆäÀÌÁö À̹ÌÁö
PDF
ePub
[ocr errors]

OCT 15 '38

HG
4929

• A 2
A53
1938

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.

III

[blocks in formation]

X-1. References to Rules and Regulations and to the Act, or to

[blocks in formation]

X-4. Nondisclosure of information obtained in the course of exami-
nations and investigations___

X-5. Reference to rule by obsolete designation____

102

102

RULES UNDER SECTION 3 OF THE ACT

X-3A12-2. Exemption of certain securities, the income on which is sub

MISCELLANEOUS EXEMPTIONS

X-3A12-1. Temporary exemption of certain pass-books and assignments of claims traded on the Cleveland Stock Exchange from sections 7, 8, 12, and 13..

stantially guaranteed by states or political subdivisions
thereof..

301

301

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..

301

[blocks in formation]

X-6B-1. Registration and exemption of exchanges__
X-6B-2. Amendments and supplements to registration statements of
exchanges.

501

501

X-6B-3. Applicability of rules X-12A-1, X-12A-2, and X-12A-3 to securities listed on an exempted exchange which subsequently becomes registered-Financial requirements for registration of such securities____

X-6B-4. Amendments and supplements to applications for exemption from registration as a national securities exchange...

RULES UNDER SECTION 7 OF THE ACT

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

X-7C2-1. Exemption from section 7 (c) (2) of certain securities ex-
empted from registration or admitted to trading on ex-
changes exempted from registration___

502

502

701

[blocks in formation]

MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES

X-10B-1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration_

Page

1001

1002

1002

X-10B-2. Solicitation of purchases on an exchange to facilitate a distribution of securities__

1002

1003

X-10B-3. Employment of manipulative and deceptive devices
X-10B-4. Prohibition of use of manipulative or deceptive devices or
contrivances with respect to securities not registered on a
national securities exchange.........

RULES UNDER SECTION 11 OF THE ACT

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 (d) (1)

1004

X-11D1-1. Exemption of certain securities from section 11 (d), (1) ----
RULES UNDER SECTION 12 OF THE ACT

1101

SECURITIES EXEMPTED FROM REGISTRATION

X-12A-1. Temporary exemption from section 12 (a) of certain securities of banks and bank holding companies-Prohibition of use of manipulative or deceptive devices or contrivances with respect thereto _ _ _ .

X-12A-2. Temporary exemption from section 12 (a) of certain securities secured by property which, or a leasehold interest in which, is owned by a person not the original issuer of such securityProhibition of use of manipulative or deceptive devices or contrivances with respect thereto...

X-12A-3. Temporary exemption from section 12 (a) of certain securities of issuers in bankruptcy or receivership or in process of reorganization-Prohibition of use of manipulative or deceptive devices or contrivances with respect thereto.... X-12A-4. Exemption of certain warrants from section 12 (a)-----X-12A-5. Temporary exemption from section 12 (a) of certain securities resulting from modification of listed securities, and certain additional securities evidenced by the same instrument as a listed security-Prohibition of use of manipulative or deceptive devices or contrivances with respect thereto ----- . X-12A-6. Temporary exemption from section 12 (a) of certain securities evidenced by the same instrument as a listed securityProhibition of use of manipulative or deceptive devices or contrivances with respect thereto.--

X-12A-7. Temporary exemption from section 12 (a) of certain evidences

of indebtedness of certain foreign states-Prohibition of use
of manipulative or deceptive devices or contrivances with
respect thereto.__.

1201

1201

1203

1204

1206

1207

1208

[blocks in formation]

X-12A-8. Temporary exemption from section 12 (a) of securities of certain issuers resulting from statutory consolidation-Prohibition of use of manipulative or deceptive devices or contrivances with respect thereto..

REGISTRATION OF SECURITIES

X-12B-1. Forms for permanent registration of securities..
X-12B-2. Provisional applications for registration__

Page

1208

1209

1215

X-12B-3. Amendments to applications for registration__
X-12B-4. Incorporation by reference__ _

1217

1217

X-12B-5. Reservation of constitutional rights..

1218

X-12B-6. Certification of reports of other persons_

1219

X-12B-7. Procedure for termination of registration upon failure to file
omitted financial statements or other information___
X-12B-8. Extension of time for filing financial statements pursuant to
agreements contained in applications for registration_----

1219

1219

CERTIFICATION BY EXCHANGES

X-12D1-1. Certification by an exchange—Amendments--

1220

SUSPENSION OF TRADING-WITHDRAWAL-STRIKING FROM LISTING AND

REGISTRATION

X-12D2-1. Suspension of trading, withdrawal, and striking from listing and registration____

1220

X-12D2-2. Withdrawal from listing and registration of maturing securities and securities redeemed or retired__.

[blocks in formation]

X-12D3-3. Application for registration of an unissued warrant_.

X-12D3-4. Registration of an unissued security other than a warrant____
X-12D3-5. Application for registration of an unissued security other than

1225

1225

a warrant__.

X-12D3-6. Effective and expiration dates__

X-12D3-7. Amendments-Withdrawal of certification_

X-12D3-8. Denial of registration____

X-12D3-9. Suspension and revocation of registration__.

UNLISTED TRADING

1226

1226

1227

1227

1228

X-12F-1. Applications for permission to continue or extend unlisted

trading privileges.

X-12F-2. Changes in securities admitted to unlisted trading privileges.
X-12F-3. Termination or suspension of unlisted trading privileges____.
X-12F-4. Exemption of securities admitted to unlisted trading privileges

from sections 13, 14, and 16.............

1228

1230

1230

1231

X-12F-5. Differentiation on ticker between transactions in listed and unlisted securities__.

1232

X-12F-6. Continuance of unlisted trading privileges on merged ex

changes.

1232

« ÀÌÀü°è¼Ó »