Securities and Exchange Commission-Continued Regulations under various acts-Continued Securities Exchange Act of 1934 Continued Rules and regulations, 17 Part 240—Continued Directors, officers, and principal stockholders, of issuer of registered Arbitrage transactions by directors or officer, 17 § 240.16d-1 Securities admitted to unlisted trading privileges, 17 Securities for which filing of application on Forms 18, 19, Securities, profit from sale of which to inure to issuer, Securities sold by broker for account in which he has no Securities sold by dealer in connection with certain dis- Reports of, 17 §§ 240.1a-1-240.16a-10 Distributing transactions, certain: Exemptions from provisions of section 16, 17 §§ 240.16b-2, Under section 10 (b), 17 §§ 240.10b-6-240.10b-8 Exchanges. See National securities exchanges. Exemption of exchanges. See National securities exchanges. From specific sections of the act: Section 7 (c) (2) (margin requirements, exceptions under Section 11 (d) (1) (segregation and limitation of functions Section 12 (d) (registration of unissued securities), 17 Section 13 (periodical and other reports), 17 § 240.12f-4 Section 14 (a) (proxies, solicitation of in contravention of Section 15 (a) (over-the-counter markets; creating mar- Section 16 (directors, officers, and principal stockholders), Section 16 (a) (directors ,officers, and principal stock- Section 16 (b) (directors, officers, and principal stock- Section 16 (c) (directors, officers, and principal stock- Filing of material with Commission; place, date, etc., 17 § 240.0-3 Foreign states, evidences of indebtedness of; temporary exemption Fraud and misrepresentation with respect to over-the-counter Securities and Exchange Commission-Continued Regulations under various acts-Continued Securities Exchange Act of 1934-Continued Rules and regulations, 17 Part 240-Continued German securities; trading in, by over-the-counter markets, 17 Hypothecation of customers' securities, 17 §§ 240.8c-1, 240.15c2–1 Disclosures detrimental to national security, 17 § 240.6 Filed under the act, instruction and publication of, 17 Obtained in examinations and investigations, nondisclosure of, Investment Company Act form; use for reports of directors, officers Listing; striking and withdrawal from, 17 §§ 240.12d2–1, 240.12d2-2 Maturing securities, withdrawal from listing and registration, Misrepresentation. See Fraud and misrepresentation. National and affiliated securities associations, registration of, 17 National securities exchanges and members: Certification by, 17 §§ 240.12d1-1-240.12d1-6 Hypothecation of customers' securities by exchange members, Members; suspension or expulsion, 17 § 140.19a3–1 Merged exchanges, continuance of unlisted trading privileges, Segregation and limitation of functions of members, brokers Stabilizing prices; preservation of records and reports of ac- Suspension of trading, withdrawal, and striking of securities Over-the-counter markets (brokers, dealers, and associations): Registration of, 17 §§ 240.15aa-1, 240.15aj-1 Brokers and dealers: See also Exemptions. Registration of, 17 §§ 240.15b-1-240.15b-9 Exemptions of certain securities from requirements respecting German securities, trading in, 17 § 240.15c2-3 Rules relating to control, accounts, transactions by, etc., 17 §§ 240.15cl-1-240.15c3-1 Prices; records and reports of stabilizing activities, 17 §§ 240.17a- Securities and Exchange Commission-Continued Regulations under various acts-Continued Securities Exchange Act of 1934-Continued Rules and regulations, 17 Part 240—Continued Proxies, solicitation of, 17 §§ 240.14a-1-240.14a-10 Exemptions of securities under section 14 of act, respecting: Securities for which filing of applications on Forms 18, Public utility holding companies and subsidiaries, exemption of Purchase and sale of securities, various practices: Arbitrage transactions under section 16, 17 § 140.16d-1 Real estate: Apartment houses, cooperative, exemption of certain securities Notes and bonds secured by lien on; exemptions under section Securities secured by property owned by other than issuer; Redeemed or retired securities, withdrawal from listing and regis- Registration: Brokers and dealers, 17 §§ 240.15b-1-240.15b-9 National or affiliated securities associations, 17 §§ 240.15aa-1, National securities exchanges; registration, 17 §§ 240.6- 240.6a-3 Securities: Applications and reports respecting, 17 §§ 240.12b-1— Exemptions from section 12 (a) of the act, 17 §§ 240.12a- 1-240.12a-5 Striking and withdrawal from listing and registration, 17 §§ 240.12d2-1, 240.12d2-2 Reorganization, issuers in process of; temporary exemption of cer- Reports: Canadian banks reports by, 17 § 240.15d-14 Directors, officers and principal stockholders, 17 §§ 240.16a-1- 240.16a-10 Form, content, exhibits, etc., 17 §§ 240.12b-1-240.12b-36 Periodical and other reports by issuers of securities registered Registrants under Securities Act of 1933, 17 §§ 240.15d-1— Stabilizing activities, preservation of records and reports, 17 Retired securities; withdrawal from listing and registration, 17 Rules, reference to obsolete designation of, 17 § 240.0-5 Securities and Exchange Commission-Continued Regulations under various acts-Continued Securities Exchange Act of 1934-Continued Rules and regulations, 17 Part 240-Continued Sale of securities, various practices in connection with. See Pur- Securities Act of 1933: Reports of registrants under, 17 §§ 240.15d-1-240.15d-14 Short sales, 17 §§ 240.10a-1, 240.10a-2 Definition of, 17 § 240.3b-3 Exemption of certain securities from section 16 (c) of act re- Stabilizing prices. See Prices. States or political subdivisions, guarantee of income of securities Stock-option plan; exemption of certain transactions from section Stockholders of issuer of registered equity security. See Directors, Striking from listing and registration, 17 §§ 240.12d2–1, 240.12d2-2 Trading: Suspension of. See Suspension of trading. Unlisted, 17 §§ 240.12f-1-240.12f-6 Underwriting transactions, certain; exemption from provisions of Unlisted trading, 17 §§ 240.12f-1-240.12f-6 Warrants; temporary exemption of certain warrants from registra- Withdrawal from listing and registration, 17 §§ 240.12d2-1, Trust Indenture Act of 1939: Forms prescribed, 17 Part 269 Exemption, applications for, 17 § 269.4 Indentures, applications for qualification of, 17 § 269.3 Trustees, statements of eligibility and qualification, 17 §§ 269.1, Interpretative releases under the act and general rules and regulations Rules and regulations, general, 17 Part 260 Agent for service named in application for qualification of inden- Applications: See also Documents to be filed with Commission. Form and content of. See Form and content of applications, Business hours of Commission, 17 § 260.0-5 Claims against obligor, preferential collection of; definitions of "Cash transaction”, 17 § 260.11b-4 "Self-liquidating paper", 17 § 260.11b-6 Definitions: Application of definitions contained in act, 17 § 260.0-1 Section 303; "commission from underwriter or dealer", §§ 260.3(4)-1-260.3(4)-3 Securities and Exchange Commission-Continued Regulations under various acts-Continued Trust Indenture Act of 1939—Continued Rules and regulations, general, 17 Part 260-Continued Terms used in certain sections of act-Continued Section 311; "cash transaction" and "self-liquidating pa- Terms used in rules and regulations, 17 § 260.0-2 Applications: Exempted securities and transactions, 17 §§ 260.4c-1- Indentures, qualification of, 17 §§ 260.7a-1-260.7a-8 Form and content of applications, statements and reports, Reports of obligor, 17 § 260.14a-1 Statements of eligibility and qualification of trustees, 17 Exempted securities and transactions; application of issuer for Form and content of applications, statements and reports, 17 Amendments, 17 §§ 260.7a-35, 260.7a-36 Contents, general requirements as to, 17 §§ 260.7a-21- 260.7a-27 Exhibits, 17 §§ 260.7a-33, 260.7a-34 Formal requirements, 17 §§ 260.7a-16-260.7a-19 Inspection and publication of applications, statements and reports, 17 § 260.7a-37 Reference, incorporation by, 17 §§ 260.7a-28-260.7a-32 Indentures, qualification of: Covering securities not required to be registered: Applications, 17 §§ 260.7a-1-260.7a-8 Statement of eligibility and qualification of trustee, 17 §§ 260.5a-1-260.5a-3 Covering securities required to be registered; statements of Information: Contained in applications, statements and reports, inspection Obtained in course of examinations and investigations, non- Unknown or not reasonably available, requirements as to ap- Office of Commission, 17 §§ 260.0-5, 260.0-6, 260.0-9, 260.0-10 Reports: Annual reports by obligor, 17 § 260.14a-1 Form and content of. See Form and content of applications, Rules under certain sections of act: Section 303 (definitions), 17 §§ 260.3 (4)-1-260.3 (4)-3 Section 305 (securities required to be registered under Securi- |