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CHAPTER 11-SECURITIES AND EXCHANGE

COMMISSION (CONTINUED)

Page

Part 240

5

241

242 243 248

491 496 513

515 533

249 249a

550

.....

249b 250

551

251

General rules and regulations, Securities Exchange

Act of 1934 ...
Interpretative releases relating to the Securities

Exchange Act of 1934 and general rules and regu

lations thereunder
Regulations M and ATS
Regulation FD
Regulation S-P: Privacy of consumer financial in-

formation
Forms, Securities Exchange Act of 1934
Forms, Securities Investor Protection Act of 1970

[Reserved]
Further forms, Securities Exchange Act of 1934
General rules and regulations, Public Utility Hold-

ing Company Act of 1935
Interpretative releases relating to the Public Util-

ity Holding Company Act of 1935 and general

rules and regulations thereunder .....
Uniform system of accounts for mutual service

companies and subsidiary service companies,

Public Utility Holding Company Act of 1935
Preservation and destruction of records of reg-

istered public utility holding companies and of

mutual and subsidiary service companies
Forms prescribed under the Public Utility Holding

Company Act of 1935 ........
General rules and regulations, Trust Indenture Act

of 1939
Interpretative releases relating to the Trust Inden-

ture Act of 1939 and general rules and regulations

thereunder
Forms prescribed under the Trust Indenture Act of

1939 ....
Rules and regulations, Investment Company Act of

1940

596

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597

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615

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622

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626

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644

269

644

270

647

PART 240—GENERAL RULES AND

REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

240.3a11-1 Definition of the term "equity se

curity".

Subpart A-Rules and Regulations Under

the Securities Exchange Act of 1934

RULES OF GENERAL APPLICATION Sec. 240.0_1 Definitions. 240.0-2 Business hours of the Commission. 240.0-3 Filing of material with the Commis

sion. 240.04 Nondisclosure of information ob

tained in examinations and investiga

tions. 240.0–5 Reference to rule by obsolete des

ignation. 240.0 6 Disclosure detrimental to the na

tional defense or foreign policy. 240.0_8 Application of rules to registered

broker-dealers. 240.0-9 Payment of fees. 240.0-10 Small entities under the Securities

Exchange Act for purposes of the Regu

latory Flexibility Act. 240.0–11 Filing fees for certain acquisitions,

dispositions and similar transactions. 240.0_12 Commission procedures for filing

applications for orders for exemptive relief under Section 36 of the Exchange

Act. 240.3al-1 Exemption from the definition of

"Exchange" under Section 3(a)(1) of the Act.

MISCELLANEOUS EXEMPTIONS 240.3a12-1 Exemption of certain mortgages

and interests in mortgages. 240.3a 12-2 (Reserved] 240.3a 12–3 Exemption from sections 14(a),

14(b), 14(c), 14(f), and 16 for securities of

certain foreign issuers. 240.3a124 Exemptions from sections 15(a)

and 15(c)(3) for certain mortgage securi

ties. 240.3a 12–5 Exemption of certain investment

contract securities from sections 7(c) and

11(d)(1). 240.3a 12-6 Definition of "common trust

fund" as used in section 3(a)(12) of the

Act. 240.3a 12–7 Exemption for certain derivative

securities traded otherwise than on a na

tional securities exchange. 240.3a 12–8 Exemption for designated foreign

government securities for purposes of fu

tures trading. 240.3a 12-9 Exemption of certain direct par

ticipation program securities from the arranging provisions of sections 7(c) and

11(d)(1). 240.3a 12-10 Exemption of certain securities

issued by the Resolution Funding Cor

poration. 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 responsi

bility 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 Commis

sion. 240.3a44-1 Proprietary government securi

ties transactions incidental to the futures-related business of a CFTC-regu

as

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 fidu

ciary accounts. 240.3a43 Exemption from the definition of “broker” for bank effecting transactions

an indenture trustee in a no-load money market fund. 240.3a44 Exemption from the definition of

"broker" for small bank effecting transactions in investment company securi

ties in a tax-deferred custody account. 240.3a4-5 Exemption from the definition of

"broker" for banks effecting transactions in securities in a custody ac

count. 240.3a 4-6 Exemption from the definition of

"broker" for banks that execute transactions in investment company securities through NSCC Mutual Fund Serv

ices. 240.3a5-1 Exemption from the definition of

"dealer" for bank engaged in riskless principal transactions.

lated 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 con

tracts trading for fewer than 30 days. 240.3a55-3 Futures contracts on security in

dexes trading on or subject to the rules of a foreign board of trade.

DEFINITIONS 240.35-1 Definition of "listed". 240.36–2 Definition of “officer". 240.36–3 Definition of “short sale". 240.3b-4 Definition of “foreign govern

ment," "foreign issuer” and “foreign private issuer”.

240.3b-5 Non-exempt securities issued under

governmental obligations. 240.3b-6 Liability for certain statements by

issuers. 240.36–7 Definition of "executive officer". 240.3b-8 Definitions of “Qualified OTC Mar

ket Maker, Qualified Third Market Maker" and "Qualified Block Posi

tioner". 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) and

15A(b)(12)13). 240.36–12 Definition of OTC derivatives deal

240.106-5 Employment of manipulative and

deceptive devices. 240.10b5-1 Trading “on the basis of mate

rial nonpublic information in insider

trading cases. 240.10b5-2 Duties of trust or confidence in

misappropriation insider trading cases. 240.106-6240.10b-8 (Reserved] 240.10b-9 Prohibited representations in con

nection with certain offerings. 240.105–10 Confirmation of transactions. 240.106-13 [Reserved) 240.10b-16 Disclosure of credit terms in mar

gin transactions. 240.106–17 Untimely announcements of

record dates. 240.10b-18 Purchases of certain equity secu

rities by the issuer and others. 240.10b-21 (Reserved)

er.

REPORTS UNDER SECTION 10A

240.10A-1 Notice to the Commission Pursu

ant to Section 10A of the Act.

240.36–13 Definition of eligible OTC deriva

tive instrument. 240.3b-14 Definition of cash management se

curities activities. 240.36–15 Definition of ancillary portfolio

management securities activities. 240.3b-16 Definitions of terms used in Sec

tion 3(a)(1) of the Act. 240.3b-17 Definitions of terms used in Sec

tion 3(a)(4) of the Act. 240.36–18 Definitions of terms used in Sec

tion 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 Sec

tion 6(g) of the Act. 240.7c2-1 (Reserved]

ADOPTION OF FLOOR TRADING REGULATION

(RULE 11A-1) 240.11a-1 Regulation of floor trading. 240.11al-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 com

petitive 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 ex

change members through other members.

HYPOTHECATION OF CUSTOMERS" SECURITIES 240.80-1 Hypothecation of customers' secu

rities. 240.96-1 Options disclosure document.

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.

SHORT SALES

240.10a-1 Short sales. 240.10a-2 Requirements for covering pur

chases.

REGISTRATION OF SECURITIES INFORMATION

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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. 240.106-2 (Reserved) 240.106-3 Employment of manipulative and

deceptive devices by brokers or dealers. 240.10b-4 (Reserved]

PROCESSORS

240.11Aa2-1 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 na

tional market system plans.

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