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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.

IMPORTANT NOTICE

The Rules and Regulations promulgated under the Securities Exchange Act of 1934 may be amended, repealed or superseded by action of this Commission. In order to insure that you will receive all notices of such changes, please fill in this

coupon and forward promptly to the Securities and Exchange Commission, Washington 25, V. C.

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REGULATION X-9A6. PEGGING, FIXING, AND STABILIZING PRICES OF

SECURITIES TO FACILITATE OFFERING AT THE MARKET

X-9A6–1. Scope of regulation...

X-9A6–2. Definitions.--

X-9A6–3. Notice of intention to stabilize.

X-9A6–4. Transactions while stabilizing-

X-9A6-5. Requirements for disclosure..

X-9A6–6. Reports...

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Gerco co co ao
devices or contrivances with respect thereto.---

X-12A-3. Temporary exemption from section 12 (a) of certain secu-

rities 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 of substituted or additional securities.

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REGULATION X-12B. APPLICATIONS AND REPORTS

Article 1. General

X-12B-1. Scope of regulation...

X-12B-2. Definitions...

X-12B-3. Title of securities...

X-12B-4. Interpretation of requirements..

X-12B-5. Determination of affiliates of banks.

Article 2. Formal Requirements

X-12B-10. Requirements as to proper form.--

X-12B-11. Number of copies—signatures—binding---

X-12B-12. Requirements as to paper, printing, and language..

X-12B-13. Preparation of application or report_

X-12B-14. Riders—inserts..

X-12B-15. Amendments.

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- a whirl

VII

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