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
SECTION 11(D)(1)

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.