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REGULATION X-13A. REPORTS OF ISSUERS OF LISTED SECURITIES
Article 1. Annual Reports
X-13A-1. Requirement of annual reports_-
X-13A-2. Annual reports of predecessors_
X-13A-3. Reports in case of new registration_-_-
X-13A-4. Incorporation of information contained in a prospectus___
Article 2. Other Reports
X-13A-10. Interim reports__-
X-13A-11. Current reports on form 8-K..
X-13A-12. Quarterly reports of investment companies___
X-13B- 1. Carriers and other persons subject to Federal regulation.......
REGULATION X-14. SOLICITATION OF PROXIES
X-14A-1. Definitions___
X-14A-2. Solicitations to which rules apply--
X-14A-3. Information to be furnished security holders_
X-14A-4. Requirements as to proxy--
X-14A-5. Presentation of information in proxy statement..
X-14A-6. Material required to be filed__
X-14A-7. Mailing communications for security holders..
X-14A-8. Proposals of security holders_
X-14A-9. False or misleading statements..
X-14A-10. Prohibition of certain solicitations_.
SCHEDULE 14A. INFORMATION REQUIRED IN PROXY STATEMENT
Item
1. Revocability of proxy.
2. Dissenters' rights of appraisal___.
3. Persons making the solicitation__
4. Interest of certain persons in matters to be acted upon____
5. Voting securities and principal holders thereof.
6. Nominees and directors_-_.
7. Remuneration and other transactions with management
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__ 73
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..
EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 (8)
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__
Page
78
79
X-15B-4. Registration of successor to registered broker or dealer...
X-15B-5. Registration of fiduciaries.......
X-15B-6. Withdrawal from registration__--
80
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- - - -
83
X-15C1-2. Fraud and misrepresentation.---
84
X-15C1-3. Misrepresentation by brokers and dealers as to registration_
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
90
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----
X-15D-10. Interim reports_-_-
X-15D-11. Current reports on form 8-K...
X-15D-12. Quarterly reports of investment companies..
X-15D-14. Reports by Canadian banks
Rule
Subject
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_.
95
96
97
99
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......-
X-16A-10. Exemption from section 16 (b) of transactions which need
103
not be reported under section 16 (a)----
EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16 (b)
X-16B-1. Exemption from section 16 (b) of certain transactions by
registered investment companies...---.
X-16B-2. Exemption from section 16 (b) of certain distributing
transactions--
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.
X-16B-5. Exemption from section 16 (b) of certain transactions in
105
which securities are received by redeeming other securi-
ties____
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)-----
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..........
ACTIVITIES
PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING
X-17A-2. Reports of certain stabilizing activities...............
X-17A-3. Records to be made by certain exchange members, brokers,
and dealers.__.
110
111
X-17A-4. Records to be preserved by certain exchange members,
brokers, and dealers.......
113
X-17A-5. Reports to be made by certain exchange members, brokers,
and dealers.__
114
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
118
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................
119
X-24B-3. Information filed by issuers and others under sections 12, 13,
14, and 16.............
122