Rule

Manipulative and Deceptive Devices and Contrivances

10b-1. Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities

exempted from registration_-_-

10b-3. Employment of manipulative and deceptive devices___

10b-2. Solicitation of purchases on an exchange to facilitate a distribution of securities

Page

12a-1. Temporary exemption from section 12(a) of certain securities of banks......

12a-2. Temporary exemption from section 12(a). of certain securities secured by property which, or a leasehold

interest in which, is owned by a person not the original issuer of such security-Prohibition of use of

manipulative or deceptive devices or contrivances with respect thereto --

12a-3. Temporary exemption from section 12(a) of certain securities of issuers in bankruptcy or receivership or

in process of reorganization-Prohibition of use of manipulative or deceptive devices or contrivances

with respect thereto...

12a-4. Exemption of certain warrants from section 12(a)..._

12a-5. Temporary exemption of substituted or additional securities_

Regulation 12B. Registrations and Reporting

Article 1. General

12f-1. Applications for permission to extend unlisted trading privileges...

12f-2. Changes in securities admitted to unlisted trading privileges...

12f-3. Termination or suspension of unlisted trading privileges. ---

12f-4. Exemption of securities admitted to unlisted trading privileges from sections 13, 14, and 16..

12f-5. Repealed.............

12f-6. Continuance of unlisted trading privileges on merged exchanges..

12f-7. Temporary exemption from Rule 12f-1 application requirements..

12g-1. Extensions of time for filing registration statements pursuant to section 12(g) and temporary exemptions

from section 14...

12g3-1. Temporary exemption of foreign securities from section 12(g) of the Act...

12g5-1. Definition of securities "held of record".

12g5-2. Definition of "total assets"..

12h-1. A temporary exemption for insurance companies from compliance with the provisions of clause (ii) of

section 12(g) (2) (G) - - - - .

12h-2. Exemptions from registration under section 12(g) of the act.........--

12h-3. Exemption from section 16(b) of transactions prior to registration under section 12(g).

Regulation 13A. Reports of Issuers of Securities Registered Pursuant to Section 12 of the Act

Schedule 14B. Information to be Included in Statements Filed by or on Behalf of a Participant (Other

Than the Issuer) in a Proxy Solicitation Pursuant to Rule 14a-11(c)

Item 1. Issuer.......

17. Restatement of accounts...

18. Action with respect to reports...

19. Matters not required to be submitted___.

21. Other proposed action.......

2. Identity and background..........

3. Interests in securities of the issuer.

4. Further matters..

5. Signature_..

Exemption of Certain Securities From Section 15(a)

Rule

15a-1. Exemption of individual notes or bonds secured by lien on real estate from section 15(a).

15a-2. Exemption of certain securities of cooperative apartment houses from section 15(a)..

15a-3. Exemption of specialist's block purchases and sales.......

Registration of Brokers and Dealers

15b1-1. Application for registration of broker or dealer.....

15b1-2. Statement of financial condition to be filed with application for registration as a broker or dealer.

15b1-3. Registration of successor to registered broker or dealer..

15b1-4. Registration of fiduciaries_ -

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...

15b2-1. Adoption of application filed by predecessor_

15b3-1. Amendments to applications.

15b6-1. Withdrawal from registration..

15b7-1. Proceedings under sections 15(b), 15A(l) (2) and 19(a) (3) of the Act......--

Rules Relating to Over-the-Counter Markets

15c1-1. Definitions__

15c1-2. Fraud and misrepresentation...

15c1-3. Misrepresentation by brokers and dealers as to registration_

15c1-4. Confirmation of transactions..

15c1-5. Disclosure of control____

15c1-6. Disclosure of interest in distributions_

15c1-7. Discretionary accounts..

15c1-8. Sales at the market___.

15c1-9. Use of pro forma balance sheets--

15e2 1. Hypothecation of customers' securities.

Rule

Page

15c2-2. Repealed......

15c2-3. Prohibiting trading in German securities unless validated__

15c2-4. Transmission or maintenance of payments received in connection with underwritings__.

15c2-5. Disclosure and other requirements when extending or arranging credit in certain transactions.

15c2-7. Identification of quotations..

15c3-1. Net capital requirements for brokers and dealers..

15c3-2. Customers' free credit balances____

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15 Aa-1. Registration of a national or an affiliated securities association..

15Ab-1. Relief from statutory disqualifications__.

15 Ag-1. Application pursuant to section 15A(g) of the Act for review of disciplinary action or denial of member-

ship by a registered securities association.....

15Aj-1. Amendments and supplements to registration statements of securities associations..

15A/2-1. Proceedings under section 15A(l) (2) of the Act...

Reports of Directors, Officers, and Principal Stockholders

16a-1. Filing of statements..

16a-2. Ownership of more than ten per cent of an equity security___

16a-3. Disclaimer of beneficial ownership...............

16a-4. Exemptions from sections 16(a) and 16(b) of the Act----

16a-5. Exemption from section 16 of securities purchased or sold by odd-lot dealers...

16a-6. Certain transactions subject to section 16(a).

16a-7. Statements filed under more than one Act.

16a-8. Ownership of securities held in trust_

16a-9. Exemption for small transactions..

16a-10. Exemption from section 16(b) of transactions which need not be reported under section 16(a)-

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72

72

73

73

74

Exemption of Certain Transactions From Section 16(b) of the Act

16b-1. Exemption from section 16(b) of certain transactions by registered investment companies

16b-2. Exemption from section 16(b) of certain transactions effected in connection with a distribution...---

16b-3. Exemption from section 16(b) of acquisitions of shares of stock and stock options under certain stock

bonus, stock option or similar plans.............

16b-4. Exemption from section 16(b) of certain transactions by public utility holding companies and subsidiaries

thereof....

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16b-5. Exemption from section 16(b) of certain transactions in which securities are received by redeeming other

securities

16b-6. Exemption of long-term profits incident to sales within six months of the exercise of an option..

16b-7. Exemption from section 16(b) of certain acquisitions and dispositions of securities pursuant to mergers

or consolidations_

16b-8. Exemption from section 16(b) of certain securities received upon surrender of similar equity securities _ _
16b-9. Exemption from section 16(b) of certain transactions involving an exchange of similar securities__

16b-10. Exemption from section 16(b) of certain transactions of exchange by railroads incident to unifications,

mergers and acquisitions of control approval by the Interstate Commerce Commission.

Rule

Exemption of Certain Securities From Section 16(c) of the Act

16e-1. Exemption of certain securities from section 16(c) ----

16c-2. Exemption from section 16(c) of certain transactions effected in connection with a distribution..

16c-3. Exemption of sales of securities to be acquired _ _

Arbitrage Transactions

16e-1. Arbitrage transactions under section 16 of the Act__

Preservation of Records and Reports of Certain Stabilizing Activities

17a-2. Reports on stabilizing activities.

17a-3. Records to be made by certain exchange members, brokers and dealers..........

17a-4. Records to be preserved by certain exchange members, brokers and dealers.

17a-5. Reports to be made by certain exchange members, brokers and dealers_-_-

17a-6. Right of a National Securities Exchange to destroy or dispose of applications, reports and documents filed

with it pursuant to sections 12, 13, 14 and 16....

17a-7. Records of non-resident brokers and dealers.__.

17a-8. Reports of proposed rule changes by exchanges.

17a-9. Reports of market makers and other registered broker-dealers in securities traded on national securities

exchanges...

19a3-1. Proceedings under section 19(a)(3) of the Act.

Inspection and Publication of Information Filed Under the Act

24b-1. Documents to be kept public by exchanges _ _

24b-2. Nondisclosure of information filed with the Commission and with any exchange.

24b-3. Information filed by issuers and others under sections 12, 13, 14 and 16..

APPENDIX

Forms prescribed under the Securities Exchange Act of 1934__