OCT 15 '38 HG • 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. III X-1. References to Rules and Regulations and to the Act, or to X-4. Nondisclosure of information obtained in the course of exami- 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 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 X-6B-1. Registration and exemption 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 X-7C2-1. Exemption from section 7 (c) (2) of certain securities ex- 502 502 701 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 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) ---- 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 1201 1201 1203 1204 1206 1207 1208 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.. Page 1208 1209 1215 X-12B-3. Amendments to applications for registration__ 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 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__. X-12D3-3. Application for registration of an unissued warrant_. X-12D3-4. Registration of an unissued security other than a warrant____ 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. 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 |