General Rules and Regulations Under the Securities Exchange Act of 1934, as Amended

and others.

8. Selection of auditors..

9. Bonus, profit-sharing, and other remuneration plans..

10. Pension and retirement plans.

11. Options, warrants, or rights.---

12. Authorization or issuance of securities otherwise than for

exchange..

13. Modification or exchange of securities--

14. Mergers, consolidations, acquisitions, and similar matters..

15. Financial statements..

16. Acquisition or disposition of property.

17. Restatement of accounts.

18. Action with respect to reports...

19. Matters not required to be submitted...

20. Amendment of charter, by-laws, or other documents..

21. Other proposed action...

Page

Subject

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (a)

X-15A-1. Exemption of individual notes or bonds secured by lien on

real estate from section 15 (a)----

X-15A-2. Exemption of certain securities of cooperative apartment

houses from section 15 (a)-----

REGISTRATION OF BROKERS AND DEALERS

X-15B-1. Application for registration of broker or dealer.....

X-15B-2. Supplements and amendments to applications..

X-15B-3. Adoption of application filed by predecessor.

X-15B-4. Registration of successor to registered broker or dealer...

X-15B-5. Registration of fiduciaries...

X-15B-6. Withdrawal from registration.....

X-15B-7. Consent to service of process to be furnished by nonresident

brokers or dealers and by nonresident general partners or

managing agents of brokers or dealers.--.

X-15B-8. Statement of financial condition to be filed with application

for registration as a broker or dealer....

RULES RELATING TO OVER-THE-COUNTER MARKETS

X-15C1-1. Definitions.--

X-15C1-2. Fraud and misrepresentation...-

X-15C1-3. Misrepresentation by brokers and dealers as to registration.

X-15C1-4. Confirmation of transactions....

X-15C1-5. Disclosure of control.--.

X-15C1-6. Disclosure of interest in distributions...

X-15C1-7. Discretionary accounts.

X-15C1-8. Sales at the market...

X-15C1-9. Use of pro forma balance sheets....

X-15C2–1. Hypothecation of customers' securities...

X-15C2–2. Prohibition of trading during suspension of trading on a

national securities exchange...-

X-15C2-3. Prohibiting trading in German securities unless validated...

X-15C3–1. Ratio of aggregate indebtedness to net capital.---..

REGULATION X-15D. REPORTS OF REGISTRANTS UNDER THE

SECURITIES ACT OF 1933

Article 1. Annual Reports

X-15D-1. Requirements of annual reports

X-15D-2. Special financial report.--.

X-15D-3. Reports in case of new registration...

X-15D-4. Incorporation of information contained in a prospectus.---

Article 2. Other Reports

f investment companies.

86
86

REGISTRATION OF NATIONAL AND AFFILIATED SECURITIES ASSOCIATIONS

X-15AA-1. Registration of a national or an affiliated securities associa-

tion..---

X-15AJ-1. Amendments and supplements to registration statements of

securities associations....

REPORTS OF DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS

X-16A-1. Reports under section 16 (a).

X-16A-2. Ownership of more than 10 percent of an equity security--

X-16A-3. Manner of reporting holdings and changes in ownership

under rule X-16A-1...

X-16A-4. Exemptions from sections 16 (a) and 16 (b)----

X-16A-5. Exemption from section 16 of securities purchased or sold

by odd-lot dealers.---

100

X-16A-6. Exemption from section 16 (a) of securities as to which

reports are required under Holding Company Act... 100

X-16A-7. Use of Investment Company Act form...

100

X-16A-8. Ownership of securities held in trust..

101

X-16A-9. Exemption for small transactions.---

102

X-16A-10. Exemption from section 16 (b) of transactions which need

not be reported under section 16 (a).

103

EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16 (b)

X-16B-1. Exemption from section 16 (b) of certain transactions by

registered investment companies.----

103

X-16B-2. Exemption from section 16 (b) of certain distributing

transactions....

103

X-16B-3. Exemption from section 16 (b) of certain acquisitions of

securities under stock bonus or similar plans...

104

X-16B-4. Exemption from section 16 (b) of certain transactions by

public utility holding companies and subsidiaries thereof. 105

X-16B-5. Exemption from section 16 (b) of certain transactions in

which securities are received by redeeming other securi-

ties..

105

X-16B-6. Exemption of long-term profits incident to sales within six

months of the exercise of an option.---

106

X-16B-7. Exemption from section 16 (b) of certain acquisitions and

dispositions of securities pursuant to mergers or consoli-

dations.

107

EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16 (c)

X-16C-1. Exemption of certain securities from section 16 (c)---

108

X-16C-2. Exemption from section 16 (c) of certain distributing and

underwriting transactions...

108

X-16C-3. Exemption of sales of securities to be acquired...

109

ARBITRAGE TRANSACTIONS

X-16D-1. Arbitrage transactions under section 16.....

PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING

ACTIVITIES

X-17A-2. Reports of certain stabilizing activities..----

X-17A-3. Records to be made by certain exchange members, brokers,

and dealers.-

X-17A-4. Records to be preserved by certain exchange members,

brokers, and dealers....

X-17A-5. Reports to be made by certain exchange members, brokers,

and dealers.--

X-17A-6. Right of a National Securities Exchange to destroy or dis-

pose of applications, reports, and documents filed with

it pursuant to sections 12, 13, 14, and 16.-.-.

INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER

THE ACT

X-24B-1. Documents to be kept public by exchanges ---

X-24B-2. Nondisclosure of information filed with the Commission and

with an exchange.--

X-24B-3. Information filed by issuers and others under sections 12, 13,

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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...