----------

1002

X-10B-1. Prohibition of use of manipulative or deceptive devices or

contrivances with respect to certain securities exempted

from registration.---

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

tribution of securities--

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-----

1002

1003

---

1004

Rules UNDER SECTION 11 OF THE ACT

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

X-1101-1. Exemption of certain securities from section 11 (d) (1)-------

1101

RULES UNDER SECTION 12 OF THE ACT

SECURITIES EXEMPTED FROM REGISTRATION

1201

1201

X-12A-1. Temporary exeinption 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 security-

Prohibition 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 de-

ceptive 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 de-

ceptive devices or contrivances with respect thereto.----.

X-12A-6. Temporary exemption from section 12 (a) of certain securi-

ties evidenced by the same instrument as a listed security-

Prohibition of use of manipulative or deceptive devices or con-

trivances 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..

1203

1204

1206

1207

1208
Rule

Subject

Page

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--------

1208

REGISTRATION OF SECURITIES

1209

X-12B-1. Forms for permanent registration of securities.--

X-12B-2. Provisional applications for registration ---

X-12B-3. Amendments to applications for registration.--

X-12B-4. Incorporation by reference-----

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

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

X-123–7. 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 ------

1215

1217

1217

1218

1219

1219

1219

CERTIFICATION BY EXCHANGES

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

1220

------------

SUSPENSION OF TRADING-WITHDRAWAL-STRIKING FROM LISTING AND

REGISTRATION

1220

-

-

-

-

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

registration.--------------------------

--ocena

X-12D2–2. Withdrawal from listing and registration of maturing securi-

ties and securities redeemed or retired..

1222

REGULATION X-12D3

REGISTRATION OF UNISSUED SECURITIES FOR “WHEN ISSUED” DEALING

1223

1224

1225

1225

X-12D3-1. Definitions --------

X-12D3–2. Registration of an unissued warrant-----

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

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

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.

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

unlisted securities.---

----

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

changes.-

-------

1938

COMMISSIONERS

WILLIAM O. DOUGLAS, Chairman
GEORGE C. MATHEWS
ROBERT E. HEALY
JEROME N. FRANK

SECRETARY

FRANCIS P. BRASSOR

PRINCIPAL OFFICE OF THE COMMISSION

1778 Pennsylvania Avenue, NW.

Washington, D. C.

REGIONAL OFFICES OF THE COMMISSION

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, Missis

sippi, Florida, and that part of Louisiana lying east of the Atchafa

laya 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 Da

kota, 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.