Sec. REGULATION 14A: SOLICITATIONS OF PROXIES 240.14a-2 Solicitations to which §§ 240.14a- 240.14a-3 Information to be furnished to 240.14a-4 Requirements as to proxy. 240.14a-5 Presentation of information in 240.14a-6 Material required to be filed. 240.14a-7 Mailing communications for se- 240.14a-8 Proposals of security holders. 240.14a-9 False or misleading statements. 240.14a-10 Prohibition of certain solicita- 240.14a-11 Special provisions applicable to 240.14a-12 Solicitation prior to furnishing 240.14a-101 Schedule 14A. Information re- 240.14a-102 Schedule 14B. Information to be included in statements filed by or on behalf of a participant (other than the issuer) pursuant to § 240.14a-11(c) (Rule 240.14a-103 Appendix A (to Schedule 14A 240.14b-1 Obligation of registered brokers in connection with the prompt forward- 240.14d-100 Schedule 14D-1. Tender offer statement pursuant to section 14(d)(1) of the Securities Exchange Act of 1934. 240.14e-1 Unlawful tender offer practices. 240.14e-2 Position of subject company with 240.14e-3 Transactions in securities on the basis of material, nonpublic information in the context of tender offers. 240.14f-1 Change in majority of directors. EXEMPTION OF CERTAIN SECURITIES FROM 240.15a-2 Exemption of certain securities of cooperative apartment houses from 240.15a-3 Exemption of specialist's block 240.15a-4 Forty-five day exemption from registration for certain members of na- REGISTRATION OF BROKERS AND DEALERS 240.15b1-1 Application for registration of 240.15b1-2 Statements to be filed with ap- plication for registration as a broker or 240.15b1-3 Registration of successor to reg- 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 part- ners or managing agents of brokers or 240.15b2-1 Adoption of application filed by 240.15b2B-1 Application for registration of separately identifiable department or di- 240.15b3-1 Amendments to application. 240.15b5-1 Extension of registration for purposes of the Securities Investor Pro- Sec. 240.15c2-8 Delivery of prospectus. 240.15c2-11 Initiation or resumption of quotations without specific information. 240.15c3-1 Net capital requirements for brokers or dealers. 240.15c3-1a Options (Appendix A to 17 CFR 240.15c3-1). 240.15c3-1b Adjustments to net worth and aggregate indebtedness for certain commodities transactions (Appendix B to 17 CFR 240.15c3-1. 240.15c3-1c Consolidated Computations of Net Capital and Aggregate Indebtedness for Certain Subsidiaries and Affiliates (Appendix C to 17 CFR 240.15c3-1). 240.15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1). 240.15c3-2 Customers' free credit balances. 240.15c3-3 Customer protection-reserves and custody of securities. 240.15c3-3a Exhibit A-formula for determination reserve requirement of brokers and dealers under § 240.15c3-3. REGULATION 15D: REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933 under dividend reinvestment plans. EXEMPTION OF CERTAIN TRANSACTIONS FROM SECTION 16(b) 240.16b-1 Exemption from section 16(b) of certain transactions by registered investment companies. 240.16b-2 Exemption from section 16(b) of certain transactions effected in connection with a distribution. 240.16b-3 Exemption from section 16(b) of certain transactions occuring under employee benefit plans. 240.16b-4 Exemption from section 16(b) of certain transactions by public utility holding companies and subsidiaries thereof. 240.16b-5 Exemption from section 16(b) of certain transactions in which securities are received by redeeming other securities. Sec. 240.16b-6 Exemption of long term profits incident to sales within six months of the exercise of an option. 240.16b-7 Exemption from section 16(b) of certain acquisitions and dispositions of securities pursuant to mergers or consolidations. 240.16b-8 Exemption from section 16(b) of transactions involving the deposit or withdrawal of equity securities under a voting trust or deposit agreement. 240.16b-9 Exemption from section 16(b) of transactions involving the conversion of equity securities. 240.16b-10 Exemption from section 16(b) of certain transactions of exchange by railroads incident to unifications, mergers and acquisitions of control approved by the Interstate Commerce Commission. 240.16b-11 Exemption from section 16(b) of certain transactions involving the sale of subscription rights. EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16(c) 240.16c-1 Exemption of certain securities from section 16(c). 240.16c-2 Exemption from section 16(c) of certain transactions effected in connection with a distribution. 240.16c-3 Exemption of sales of securities to be acquired. ARBITRAGE TRANSACTIONS 240.16e-1 Arbitrage transactions under section 16. PRESERVATION OF RECORDS AND REPORTS OF CERTAIN STABILIZING ACTIVITIES 240.17a-1 Recordkeeping rule for national securities exchanges, national securities associations, registered clearing agencies and the Municipal Securities Rulemaking Board. 240.17a-2 Presentation of records and reports of certain stabilizing activities. 240.17a-3 Records to be made by certain exchange members, brokers and dealers. 240.17a-4 Records to be preserved by cer tain exchange members, brokers and dealers. 240.17a-5 Reports to be made by certain brokers and dealers. 240.17a-6 Right of national securities exchange, national securities association, registered clearing agency or the Municipal Securities Rulemaking Board to destroy or dispose of documents. 240.17a-7 Records of non-resident brokers and dealers. Sec. 240.17a-9 Reports of market makers and other registered broker-dealers in securities traded on national securities exchanges. 240.17a-10 Report of revenue and expenses. 240.17a-11 Supplemental current financial and operational reports to be made by certain brokers and dealers. 240.17a-12 Reports to be filed by market makers in OTC Margin Securities. 240.17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers. 240.17a-15 Reporting of market information on transactions in listed securities. 240.17a-16 Notices and reports by qualified third market makers. 240.17a-17 Notices and reports by block positioners. 240.17a-18 [Reserved] 240.17a-19 Form X-17A-19 Report by na tional securities exchanges and registered national securities associations of changes in the membership status of any of their members. 240.17a-20 Monitoring effect of competitive commission rates. 240.17a-21 Reports of the Municipal Secu rities Rulemaking Board. 240.17a-22 Supplemental material of registered clearing agencies. 240.17d-1 Examination for compliance with applicable financial responsibility rules. 240.17d-2 Program for allocation of regula tory responsibility. 240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities. 240.17f-2 Fingerprinting of securities industry personnel. 240.17Ab2-1 Registration of clearing agencies. 240.17Ac2-1 Application for registration of transfer agents. 240.17Ac3-1 Withdrawal from registration with the Commission. 240.17Ad-1 Definitions. 240.17Ad-2 Turnaround, processing, and forwarding of items. 240.17Ad-3 Limitations on expansion. 240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11). 240.17Ad-5 Written inquiries and requests. 240.17Ad-6 Recordkeeping. 240.17Ad-7 Record retention. 240.17Ad-8 Securities position listings. SUSPENSION AND EXPULSION OF EXCHANGE MEMBERS 240.19a3-1 Proceedings under section 19(a)(8) of the act. agency transactions by members of national securities exchanges. 240.19c-3 Governing off-board trading by membrs of national securities exchanges. 240.19d-1 Notices by self-regulatory organizations of final disciplinary actions, denials, bars, or limitations respecting membership, association, participation, or access to services, and summary suspensions. 240.19d-2 Applications for stays of disciplinary sanctions or summary suspensions by a self-regulatory organization. 240.19d-3 Applications for review of final disciplinary sanctions, denials of membership, participation or association, or prohibitions or limitations of access to services imposed by self-regulatory organizations. 240.19g2-1 Enforcement of compliance by national securities exchanges and registered securities associations with the Act and rules and regulations thereunder. 240.19h-1 Notice by a self-regulatory organization of proposed admission to or continuance in membership or particiption or association with a member or any person subject to a statutory disqualification, and applications to the Commission for relief therefrom. INSPECTION AND PUBLICATION OF INFORMATION FILED UNDER THE ACT 240.24b-1 Documents to be kept public by exchanges. 240.24b-2 Nondisclosure of information filed with the Commission and with any exchange. 240.24b-3 Information filed by issuers and others under sections 12, 13, 14, and 16. 240.31-1 Securities transactions exempt from transaction fees. Subpart B-Rules and Regulations Under the Securities Investor Protection Act of 1970[Reserved] AUTHORITY: Sec. 23, 48 Stat. 901, as amended; 15 U.S.C. 78w, unless otherwise noted. §§ 240.12b-1 to 240.12b-36 also issued under secs. 12, 13, 15, 48 Stat. 892, as amended, 894, 895, as amended; 15 U.S.C. 781, 78m, 780. §§ 240.14c-1 to 240.14c-101 also issued under sec. 14, 48 Stat. 895; 15 U.S.C. 78n. §§ 240.15b10-1 to 240.15b10-9 also issued under secs. 15, 17, 48 Stat. 895, 897, sec. 203, 49 Stat. 704, secs. 4, 8, 49 Stat. 1379, sec. 5, 52 Stat. 1076, sec. 6, 78 Stat. 570; 15 U.S.C. 780, 78q, 12 U.S.C. 241 nt., unless otherwise noted. NOTE: In §§ 240.0-1 to 240.24b-3, the numbers to the right of the decimal point correspond with the respective rule numbers of the rules and regulations under the Securities Exchange Act of 1934. (a) As used in the rules and regulations in this part, prescribed by the Commission pursuant to Title I of the Securities Exchange Act of 1934 (48 Stat. 881-905; 15 U.S.C. chapter 2B), unless the context otherwise specifically requires: (1) The term "Commission" means the Securities and Exchange Commission. (2) The term "set" means Title I of the Securities Exchange Act of 1934. (3) The term "section" refers to a section of the Securities Exchange Act of 1934.1 (4) The term "rules and regulations" refers to all rules and regulations adopted by the Commission pursuant to the act, including the forms for registration and reports and the accompanying instructions thereto. (b) Unless otherwise specifically stated, the terms used in this Part 'The provisions of paragraph (a)(3) of 17 CFR 240.0-1 relate to the terminology of rules and regulations as published by the Securities and Exchange Commission and are inapplicable to the terminology appearing in the Code of Federal Regulations. shall have the meaning defined in the act. (c) A rule or regulation which defines a term without express reference to the act or to the rules and regulations, or to a portion thereof, defines such term for all purposes as used both in the act and in the rules and regulations, unless the context otherwise specifically requires. (d) Unless otherwise specified or the context otherwise requires, the term "prospectus" means a prospectus meeting the requirements of section 10(a) of the Securities Act of 1933 as amended. [13 FR 8178, Dec. 22, 1948, as amended at 13 FR 9321, Dec. 31, 1948; 19 FR 6730, Oct. 20, 1954] CROSS REFERENCES: For definition of "listed", see § 240.3b-1; "officer", § 240.3b-2; "short sale", § 240.3b-3. For additional definitions, see § 240.15c1-1. § 240.0-2 Business hours of the Commission. The principal office of the Commission at Washington, D.C., is open each day except Saturdays, Sundays, and holidays from 9:00 a.m. to 5:30 p.m. eastern standard time or eastern daylight saving time whichever is currently in effect in Washington. [13 FR 9321, Dec. 31, 1948] CROSS REFERENCES: For registration and exemption of exchanges, see §§ 240.6a-1 to 240.6a-3. For forms for permanent registration of securities, see § 240.12b-1. For regulations relating to registration of securities, see §§ 240.12b-1 to 240.12b-36. For forms for applications for registration of brokers and dealers, see §§ 240.15b1-1 to 240.15b8-1. § 240.0-3 Filing of material with the Commission. (a) All papers required to be filed with the Commission pursuant to the Act or the rules and regulations thereunder shall be filed at the principal office in Washington, D.C. Material may be filed by delivery to the Commission, through the mails or otherwise. The date on which papers are actually received by the Commission shall be the date of filing thereof if all of the requirements with respect to the filing have been complied with, except that if the last day on which |