Lapas attēli
[blocks in formation]

GENERAL 240.126-1 Scope of regulation. 240.125-2 Definitions. 240.12b-3 Title of securities. 240.1264 Supplemental information. 240.12b-5 Determination of affiliates of

banks. 240.12b-6 When securities are deemed to be

registered. 240.12b-7 (Reserved)

FORMAL REQUIREMENTS 240.12b-10 Requirements as to proper form. 240.12b-11 Number of copies; signatures;

binding. 240.12b-12 Requirements as to paper, print

ing and language. 240.125-13 Preparation of statement or re

port. 240.12b-14 Riders; inserts. 240.125-15 Amendments.

UNLISTED TRADING 240.12f-1 Applications for permission to re

GENERAL REQUIREMENTS AS TO CONTENTS 240.12b-20 Additional information. 240.125-21 Information unknown or not

instate unlisted trading privileges. 240.128-2 Extending unlisted trading privi

leges to a security that is the subject of

an initial public offering. 240.12–3 Termination or suspension of un

listed trading privileges. 240.12f-4 Exemption of securities admitted

to unlisted trading privileges from sec

tions 13, 14, and 16. 240.128-5 Exchange rules for securities to

which unlisted trading privileges are ex

240.121-6 (Reserved)



available. 240.12b-22 Disclaimer of control. 240.12b-23 Incorporation by reference. 240.125-24 [Reserved) 240.125-25 Notification of inability to time

ly 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.

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 suc

cessor.issuers under section 12(b) or 12(g). 240.12g3-2 Exemptions for American deposi

tary receipts and certain foreign securi

ties. 240.12g 4 Certifications of termination of

registration under section 12(g).
240.12g5–1 Definition of securities "held of

240.12g5–2 Definition of total assets''.

EXHIBITS 240.126-30 Additional exhibits.

240.12h-1 Exemptions from registration

under section 12(g) of the Act. 240.12h-2 (Reserved) 240.12h-3 Suspension of duty to file reports

under section 15(d). 240.12h 4 Exemption from duty to file re

ports under section 15(d). 240.12h-5 Exemption for subsidiary issuers

of guaranteed securities and subsidiary



240.13e-100 Schedule 13E-3, Transaction

statement under section 13(e) of the Securities Exchange Act of 1934 and Rule

13e-3 (9240.13e-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 invest

ment managers of information with respect to accounts over which they exercise investment discretion.



240.13a-1 Requirements of annual reports. 240.13a-2 [Reserved] 240.13a-3 Reporting by Form 40-F reg


OTHER REPORTS 240.13a-10 Transition reports. 240.13a-11 Current reports on Form 8-K

($ 249.308 of this chapter). 240.13a-13 Quarterly reports on Form 10-Q

and Form 10-QSB (249.308a and $249.308b

of this chapter). 240.13a-16 Reports of foreign private issuers

on Form 6-K (17 CFR 249.306). 240.13a-17 (Reserved]


AND PREPARATION OF REQUIRED REPORTS 240.1352-1 Falsification of accounting

240.14a-1 Definitions. 240.14a-2 Solicitations to which $240.14a-3

to $ 240.14a-15 apply. 240.14a-3 Information to be furnished to se

curity holders. 240.14a4 Requirements as to proxy. 240.14a-5 Presentation of information in

proxy statement. 240.14a-6 Filing requirements. 240.14a-7 Obligations of registrants to pro

vide a list of, or mail soliciting material

to, security holders. 240.14a-8 Shareholder proposals. 240.14a-9 False or misleading statements. 240.14a-10 Prohibition of certain solicita

tions. 240.14a-11 (Reserved) 240.14a-12 Solicitation before furnishing a

proxy statement. 240.14a-13 Obligation of registrants in com

municating with beneficial owners. 240.14a-14 Modified or superseded docu

ments. 240.14a-15 Differential and contingent com

pensation 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 $ 240.14a

records. 240.13b2-2 Issuers representations in connec

tion with the preparation of required reports and documents.


2(b)(4) and $ 240.14a-6(n). 240.145-1 Obligation of registered brokers

and dealers in connection with the prompt forwarding of certain commu

nications 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.

240.13d-1 Filing of Schedules 13D and 13G. 240.13d-2 Filing of amendments to Sched

ules 13D or 13G. 240.13d-3 Determination of beneficial owner. 240.13d-4 Disclaimer of beneficial owner

ship. 240.13d-5 Acquisition of securities. 240.13d-6 Exemption of certain acquisitions. 240.13d-7 Dissemination. 240.13d-101 Schedule 13D-Information to be

included in statements filed pursuant to $ 240.13d-1(a) and amendments thereto

filed pursuant to $240.13d-2(a). 240.13d-102 Schedule 13G--Information to be

included in statements filed pursuant to $240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to $240.13d

2(b). 240.13e-1 Purchase of securities by the

issuer during a third-party tender offer. 240.13e-2 (Reserved) 240.13e-3 Going private transactions by cer

tain issuers or their affiliates. 240.13e-4 Tender offers by issuers.

240.14e-7 Unlawful tender offer practices in

connection with roll-ups. 240.14e8 Prohibited conduct in connection

with pre-commencement communica

tions. 240.141-1 Change in majority of directors.

REGULATION 14C: DISTRIBUTION OF INFORMATION PURSUANT TO SECTION 14(C) 240.140-1 Definitions. 240.14c-2 Distribution of information state

ment. 240.140-3 Annual report to be furnished se

curity holders. 240.140-4 Presentation of information in in

formation statement. 240.140-5 Filing requirements. 240.140-6 False or misleading statements. 240.14c-7 Providing copies of material for

certain beneficial owners. 240.14c-101 Schedule 14C. Information re

quired in information statement.



240.15a-1 Securities activities of OTC de

rivatives dealers.


SECTION 15(A) 240.15a-2 Exemption of certain securities of

cooperative apartment houses from sec

tion 15(a). 240.15a-3 (Reserved) 240.15a-4 Forty-five day exemption from

registration for certain members of na

tional securities exchanges. 240.15a-5 Exemption of certain nonbank


REGULATION 14D 240.14d-1 Scope of and definitions applicable

to Regulations 14D and 14E. 240.14d-2 Commencement of a tender offer. 240.14d-3 Filing and transmission of tender

offer statement. 240.14d-4 Dissemination of tender offers to

security holders. 240.14d-5 Dissemination of certain tender

offers by the use of stockholder lists and

security position listings. 240.14d-6 Disclosure of tender offer informa

tion to security holders. 240.14d-7 Additional withdrawal rights. 240.14d-8 Exemption from statutory pro

rata requirements. 240.14d-9 Recommendation or solicitation

by the subject company and others. 240.14d-10 Equal treatment of security hold

ers. 240.14d-11 Subsequent offering period. 240.14d-100 Schedule TO. Tender offer state

ment under section 14(d)(1) or 13(e)(1) of

the Securities Exchange Act of 1934. 240.14d-101 Schedule 14D-9. 240.14d-102 Schedule 14D-1F. Tender offer

statement pursuant rule 14d-1(b) under the Securities Exchange Act of

1934. 240.14d-103 Schedule 14D-9F. Solicitation/

recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder.


REGISTRATION OF BROKERS AND DEALERS 240.15a-6 Exemption of certain foreign bro

kers or dealers. 240.15a-7 Exemption from the definitions of

"broker” or “dealer" for banks for lim

ited period of time. 240.15a-8 Exemption for banks from Section

29 liability. 240.15a-9 Exemption from the definitions of

“broker" and "dealer" for savings asso

ciations and savings banks. 240.15a-10 Exemption of certain brokers or

dealers with respect to security futures

products. 240.15b1-1 Application for registration of

brokers or dealers. 240.15b1-2 (Reserved) 240.15b1-3 Registration of successor to reg

istered broker or dealer. 240.15b1-4 Registration of fiduciaries. 240.15b1-5 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. 240.15b2-2 Inspection of newly registered

brokers and dealers. 240.15b3-1 Amendments to application. 240.15b5-1 Extension of registration for pur

poses of the Securities Investor Protection Act of 1970 after cancellation or rev

ocation. 240.15b6-1 Withdrawal from registration. 240.15b7-1 Compliance with qualification re

quirements of self-regulatory organiza

tions. 240.15b7–3T Operational capability in a Year

2000 environment. 240.15b9–1 Exemption for certain exchange

members. 240.15b9-2 Exemption from SRO membership

for OTC derivatives dealers.

[ocr errors]

REGULATION 14E 240.14e-1 Unlawful tender offer practices. 240.14e-2 Position of subject company with

respect to a tender offer. 240.14e3 Transactions in securities on the

basis of material, nonpublic information

in the context of tender offers. 240.14e 4 Prohibited transactions in connec

tion with partial tender offers. 240.14e-5 Prohibiting purchases outside of a

tender offer. 240.14e-6 Repurchase offers by certain

closed-end registered investment companies.

240.15b11-1 Registration by notice of secu

rity futures product broker-dealers.

240.150-2 Special financial report. 240.150-3 Reports for depositary shares reg

istered on Form F-6. 240.15d-4 Reporting by Form 40-F Reg

istrants. 240.15d-5 Reporting by successor issuers. 240.15d-6 Suspension of duty to file reports.


MARKETS 240.15c1-1 Definitions. 240.15c1-2 Fraud and misrepresentation. 240.15c1-3 Misrepresentation by brokers,

dealers and municipal securities dealers

as to registration. 240.15c1-4 [Reserved] 240.15c1-5 Disclosure of control. 240.15c1-6 Disclosure of interest in distribu

tion. 240.15c1-7 Discretionary accounts. 240.15c1-8 Sales at the market. 240.15c1-9 Use of pro forma balance sheets. 240.1502-1 Hypothecation of customers' se

curities. 240.15c2–3 (Reserved] 240.15024 Transmission or maintenance of

payments received in connection with

underwritings. 240.15c2-5 Disclosure and other require

ments when extending or arranging cred

it in certain transactions. 240.1502-6 (Reserved) 240.15c2-7 Identification of quotations. 240.15c2-8 Delivery of prospectus. 240.15c2–11 Initiation or resumption of

quotations without specific information. 240.1502-12 Municipal securities disclosure. 240.1503-1 Net capital requirements for bro

kers or dealers. 240.1503-1a Options (Appendix A to 17 CFR

240.1503-1). 240.1503-1b Adjustments to net worth and

aggregate indebtedness for certain commodities transactions (Appendix B to 17

CFR 240.1503-1). 240.15c3-lc Consolidated computations of

net capital and aggregate indebtedness for certain subsidiaries and affiliates

(Appendix C to 17 CFR 240.1503-1). 240.1503-1d Satisfactory Subordination

Agreements (Appendix D to 17 CFR

240.1503-1). 240.15c3-le Temporary Minimum Require

ments (Appendix E to 17 CFR 240.15c3-le). 240.1503-1f Optional market and credit risk

requirements for OTC derivatives dealers

(Appendix F to 17 CFR 240.1503-1) 240.1503-2 Customers' free credit balances, 240.15c3-3 Customer protection-reserves

and custody of securities. 240.15c3-3a Exhibit A-formula for deter

mination reserve requirement of brokers

and dealers under $240.15c3–3. 240.1503-4 Internal risk management con

trol systems for OTC derivatives dealers. 240.15c6-1 Settlement cycle.

OTHER REPORTS 240.150-10 Transition reports. 240.150-11 Current reports on Form 8-K

($ 249.308 of this chapter). 240.150-13 Quarterly reports on Form 10-Q

and Form 10-QSB ($ 249.308a and § 249.308b

of this chapter). 240.150-16 Reports of foreign private issuers

on Form 6-K [17 CFR 249.306). 240.15d-17 (Reserved) EXEMPTION OF CERTAIN ISSUERS FROM

SECTION 15(D) OF THE ACT 240.150-21 Reports for employee stock pur

chase, savings and similar plans. 240.15g-1 Exemptions for certain trans

actions. 240.150-2 Risk disclosure document relating

to the penny stock market. 240.150-3 Broker or dealer disclosure of

quotations and other information relat

ing to the penny stock market. 240.15g4 Disclosure of compensation to bro

kers or dealers. 240.159-5 Disclosure of compensation of as

sociated persons in connection with

penny stock transactions. 240.15g-6 Account statements for penny

stock customers. 240.15g8 Sales of escrowed securities of

blank check companies. 240.15g-9 Sales practice requirements for

certain low-priced securities. 240.15g-100 Schedule 15G-Information to be

included in the document distributed
pursuant to 17 CFR 240.150-2.

ASSOCIATIONS 240.15Aa-1 Registration of a national or an

affiliated securities association. 240.15Aj-1 Amendments and supplements to

registration statements of securities as

sociations. 240.15A12-1 (Reserved] 240.15Ba2–1 Application for registration of

municipal securities dealers which are banks or separately identifiable depart

ments or divisions of banks. 240.15Ba2-2 Application for registration of

non-bank municipal securities dealers

whose business is exclusively intrastate. 240.15Ba24 Registration of successor to reg

istered municipal securities dealer. 240.15Ba2-5 Registration of fiduciaries. 240.15Ba2-6 (Reserved] 240.15Bc3-1 Withdrawal from registration of

municipal securities dealers.




240.150-1 Requirement of annual reports.

240.15Bc7-1 Availability of examination re


240.16c-2 Transactions effected in connec

tion with a distribution. 240.160-3 Exemption of sales of securities to

be acquired. 240.16c-4 Derivative securities.



ARBITRAGE TRANSACTIONS 240.16e-1 Arbitrage transactions under sec

tion 16.

240.15Cal-1 Notice of government securities

broker-dealer activities. 240.15Ca2-1 Application for registration as a

government securities broker or govern

ment securities dealer. 240.15Ca 2-2 (Reserved) 240.15Ca2–3 Registration of successor to reg

istered government securities broker or

government securities dealer. 240.15Ca24 Registration of fiduciaries. 240.15Ca2-5 Consent to service of process to

be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government

securities dealers. 240.15Ccl-1 Withdrawal from registration of

government securities brokers or government securities dealers.


PRINCIPAL SHAREHOLDERS 240.16a-1 Definition of terms. 240.16a-2 Persons and transactions subject

to section 16. 240.16a-3 Reporting transactions and hold

ings. 240.16a-4 Derivative securities. 240.16a-5 Odd-lot dealers. 240.16a-6 Small acquisitions. 240.16a-7 Transactions effected in connec

tion with a distribution. 240.16a8 Trusts. 240.16a-9 Stock splits, stock dividends, and

pro rata rights. 240.16a-10 Exemptions under section 16(a). 240.16a-11 Dividend or interest reinvestment

plans. 240.16a-12 Domestic relations orders. 240.16a-13 Change in form of beneficial own



CERTAIN STABILIZING ACTIVITIES 240.17a-1 Recordkeeping rule for national

securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rule

making Board. 240.17a-2 Recordkeeping requirements relat

ing to stabilizing activities. 240.17a-3 Records to be made by certain ex

change members, brokers and dealers. 240.17a-4 Records to be preserved by certain

exchange members, brokers and dealers. 240.17a-5 Reports to be made by certain bro

kers and dealers. 240.17a-6 Right of national securities ex

change, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to de

stroy or dispose of documents. 240.17a-7 Records of non-resident brokers

and dealers. 240.17a-8 Financial recordkeeping and re

porting of currency and foreign trans

actions. 240.17a-9T Records to be made and retained

by certain exchange members, brokers

and dealers. 240.17a-10 Report of revenue and expenses. 240.17a-11 Notification provisions for bro

kers and dealers. 240.17a-12 Reports to be made by certain

OTC derivatives dealers. 240.17a-13 Quarterly security counts to be

made by certain exchange members, bro

kers, and dealers. 240.17a-18 (Reserved] 240.17a-19 Form X-17A-19 Report by na


SECTION 16(B) 240.16b-1 Transactions approved by a regu

tional securities exchanges and registered national securities associations of changes in the membership status of

any of their members. 240.17a-21 Reports of the Municipal Securi

ties Rulemaking Board. 240.17a-22 Supplemental material of reg

istered clearing agencies. 240.17a-23 Recordkeeping and reporting re

quirements relating to broker-dealer

trading systems. 240.17a-25 Electronic submission of securi

ties transaction information by exchange

members, brokers, and dealers. 240.17d-1 Examination for compliance with

applicable financial responsibility rules. 240.17d-2 Program for allocation of regu

latory responsibility.

latory authority. 240.166-2 (Reserved] 240.166-3 Transactions between an issuer

and its officers or directors. 240.166-4 (Reserved) 240.166-5 Bona fide gifts and inheritance. 240.16b-6 Derivative securities. 240.166-7 Mergers, reclassifications, and

consolidations. 240.16b-8 Voting trusts.


SECTION 16(C) 240.16c-1 Brokers.

« iepriekšējāTurpināt »