275 Rules and regulations, Investment Advisers Act of 809 Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regula- Forms prescribed under the Investment Advisers Interpretative releases relating to corporate reor- ganizations under Chapter X of the Bankruptcy Rules and regulations pursuant to section 15(a) of the Bretton Woods Agreements Act General rules and regulations pursuant to section General rules and regulations pursuant to section. 11(a) of the Asian Development Bank Act General rules and regulations pursuant to section 9(a) of the African Development Bank Act .... General rules and regulations pursuant to section 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. 240.3a4-2 Exemption from the definition of "broker" for bank calculating compensation for effecting transactions in fiduciary accounts. 240.3a4-3 Exemption from the definition of "broker" for bank effecting transactions as an indenture trustee in a no-load money market fund. 240.3a4 4 Exemption from the definition of "broker" for small bank effecting transactions in investment company securities in a tax-deferred custody account. 240.3a4-5 Exemption from the definition of "broker" for banks effecting transactions in securities in a custody account. 240.3a4-6 Exemption from the definition of "broker" for banks that execute transactions in investment company securities through NSCC Mutual Fund Services. 240.3a5-1 Exemption from the definition of "dealer" for bank engaged in riskless principal transactions. 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 derivative 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). 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation. 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange. 240.3a40-1 Designation of financial responsibility rules. 240.3a43-1 Customer-related government se curities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission. 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. 240.3a51-1 Definition of "penny stock". 240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index. 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days. 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 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 Market Maker" and "Qualified Block Positioner". 240.3b-9 Definition of "bank" for purposes of section 3(a) (4) and (5) of the Act. 240.3b-10 [Reserved] 240.3b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) 15A(b)(12)–(13). and 240.3b-12 Definition of OTC derivatives dealer. 240.3b-13 Definition of eligible OTC deriva tive instrument. 240.3b-14 Definition of cash management securities activities. 240.3b-15 Definition of ancillary portfolio management securities activities. 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act. 240.3b-17 Definitions of terms used in Section 3(a)(4) of the Act. 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act. REGISTRATION AND EXEMPTION OF EXCHANGES 240.6a-1 Application for registration as a national securities exchange or exemption from registration based on limited volume. 240.6a-2 Amendments to application. 240.6a-3 Supplemental material to be filed by exchanges. 240.6a-4 Notice of registration under Sec tion 6(g) of the Act, amendment to such notice, and supplemental materials to be filed by exchanges registered under Section 6(g) of the Act. 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] 240.10b-3 Employment of manipulative and deceptive devices by brokers or dealers. 240.10b-4 [Reserved] ADOPTION OF FLOOR TRADING REGULATION (RULE 11A-1) 240.11a-1 Regulation of floor trading. 240.11a1-1(T) Transactions yielding priority, parity, and precedence. 240.11a1-2 Transactions for certain accounts of associated persons of members. 240.11a1-3(T) Bona fide hedge transactions in certain securities. 240.11a1-4(T) Bond transactions on national securities exchanges. 240.11a1-5 Transactions by registered competitive market makers and registered equity market makers. 240.11al-6 Transactions for certain accounts of OTC derivatives dealers. 240.11a2-2(T) Transactions effected by exchange members through other members. ADOPTION OF REGULATION ON CONDUCT OF SPECIALISTS 240.11b-1 Regulation of specialists. EXEMPTION OF CERTAIN SECURITIES FROM 240.11d1-1 Exemption of certain securities from section 11(d)(1). 240.11d1-2 Exemption from section 11(d)(1) for certain investment company securities held by broker-dealers as collateral in margin accounts. REGISTRATION OF SECURITIES INFORMATION PROCESSORS 240.11 Aa2-1 Designation of national market system securities. 240.11 Aa3-1 Dissemination of transaction reports and last sale data with respect to transactions in reported securities. 240.11Aa3-2 Filing and amendment of national market system plans. GENERAL REQUIREMENTS AS TO CONTENTS 240.12b-20 Additional information. 240.12b-21 Information unknown or not available. 240.12b-22 Disclaimer of control. 240.12b-23 Incorporation by reference. 240.12b-24 [Reserved] 240.12b-25 Notification of inability to timely file all or any required portion of a Form 10-K, 10-KSB, 20-F, 11-K, N-SAR, Form 10-Q or Form 10-QSB. EXHIBITS 240.12b 30 Additional exhibits. UNLISTED TRADING 240.12f-1 Applications for permission to reinstate unlisted trading privileges. 240.12f-2 Extending unlisted trading privileges to a security that is the subject of an initial public offering. 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-5 Exchange rules for securities to which unlisted trading privileges are extended. 240.12f-6 [Reserved] 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 under section 12(b) or 12(g). 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". 240.12g5-2 Definition of "total assets". 240.13e-100 Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder. 240.13e-101 [Reserved] 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. 240.14a-15 Differential and contingent compensation in connection with roll-up transactions. 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). 240.14a-104 Notice of Exempt Preliminary Roll-up Communication. Information regarding ownership interests and any potential conflicts of interest to be included in statements submitted by or on behalf of a person pursuant to §240.14a2(b)(4) and § 240.14a-6(n). 240.14b-1 Obligation of registered brokers and dealers in connection with the prompt forwarding of certain communications to beneficial owners. 240.14b-2 Obligation of banks, associations and other entities that exercise fiduciary powers in connection with the prompt forwarding of certain communications to beneficial owners. |