For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C., 20402 UNITED STATES OF AMERICA PREFACE This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934. Except for the rules under the caption "Rules of General Application," each rule relates to a particular section of the Act. For example, Rule 10a-1 relates to section 10(a) of the Act. IMPORTANT NOTICE Individuals or firms REGISTERED under the Securities Exchange Act of 1934 will receive all proposed or adopted rule changes promulgated under this Act-which affects their registration. Others who wish to receive all adopted changes under this Act are requested to fill in this coupon and forward promptly to the Securities and Exchange Commission, Washington, D.C., 20549. GENERAL RULES AND REGULATIONS UNDER THE (Cited as 17 CFR 240.—) CONTENTS Subject 0-1. References to rules and regulations and to the Act, or to portions thereof.. 0-2. Business hours of the Commission.... 0-3. Filing of material with the Commission _ _ _ 0-4. Nondisclosure of information obtained in the course of examinations and investigations. 6a-1. Form of application and amendments... 6a-2. Annual amendments to registration statement or exemption statements of exchanges. 7c2-1. Exemption from section 7(c)(2) of certain securities exempted from registration or admitted to trading |