The Code of Federal Regulations of the United States of America - Google Books

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Part 240

241

CHAPTER II-SECURITIES AND

EXCHANGE COMMISSION

General rules and regulations, Securities Ex-
change Act of 1934.........

Interpretative releases relating of the Securities
Exchange Act of 1934 and general rules and reg-
ulations thereunder.

Page

5

346

249

249a

Forms, Securities Exchange Act of 1934...............
Forms, Securities Investor Protection Act of 1970
[Reserved] .............

351

368

249b 250

251

256

256a

Further forms, Securities Exchange Act of 1934.....
General rules and regulations, Public Utility
Holding 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........
Regulation to govern preservation and destruction
of records of mutual and subsidiary service com-
panies ......

368

368

411

412

430

257

Uniform system of accounts for public utility
holding companies, Public Utility Holding Com-
pany Act of 1935.............

446

259

Forms prescribed under the Public Utility Hold-
ing Company Act of 1935.....................................

458

260

General rules and regulations, Trust Indenture
Act of 1939......

460

261

Interpretative releases relating to the Trust In-
denture Act of 1939 and general rules and regu-
lations thereunder ...

473

269

Forms prescribed under the Trust Indenture Act
of 1939..........................

474

270

Rules and Regulations, Investment Company Act

of 1940......

475

Part

271

Interpretative releases relating to the Investment
Company Act of 1940 and general rules and reg-
ulations thereunder.....................................

Page

572

274

Forms prescribed under the Investment Company
Act of 1940..............

575

275

Rules and regulations, Investment Advisers Act of
1940.............

581

276

279

281

Interpretative releases relating to the Investment
Advisers Act of 1940 and general rules and regu-
lations thereunder

Forms prescribed under the Investment Advisers
Act of 1940............

Interpretative releases relating to corporate reor-
ganizations under Chapter X of the Bankruptcy
Act.........

601

602

603

285

286

Rules and regulations pursuant to section 15(a) of
the Bretton Woods Agreements Act....
General rules and regulations pursuant to section
11(a) of the Inter-American Development Bank
Act...............

603

605

287

300

General rules and regulations pursuant to section
11(a) of the Asian Development Bank Act............
Rules of the Securities Investor Protection Corpo-
ration.......

607

609

301

Forms, Securities Investor Protection Corporation

614

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MISCELLANEOUS EXEMPTIONS

240.3a12-1 Exemption of certain mortgages

and interests in mortgages.

240.3a12-2 Exemption of certain securities,

the income on which is substantially

guaranteed by States or political subdi-

visions thereof.

240.3a12-3 Exemption from sections 14(a),

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

of certain foreign issuers.

240.3a12-4 Exemptions from sections 15(a)

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

240.3a12-5 Exemption of certain invest-

ment contract securities from Sections

7(c) and 11(d)(1).

240.3b-6 Liability for certain statements

REGISTRATION AND EXEMPTION OF EXCHANGE

240.6a-1 Form of application and amend

240.6a-2 Annual amendments to registra

tion statements or exemption state

ments of exchanges.

240.6a-3 Supplemental material.

EXEMPTION OF CERTAIN SECURITIES FROM TH

OPERATION OF SECTION 7(c)(2)

240.7c2-1 Exemption from section 7(c)(2

of certain securities exempted from reg

istration or admitted to trading on ex

changes exempted from registration.

HYPOTHECATION OF CUSTOMERS' SECURITIES

240.8c-1 Hypothecation of customers' secu

240.10a-1 Short sales.

240.10a-2 Requirements for covering pur

MANIPULATIVE AND DECEPTIVE DEVICES AND

240.10b-1 Prohibition of use of manipula

tive or deceptive devices or contrivances

with respect to certain securities

exempted from registration.

240.10b-2 Solicitation of purchases on an

exchange to facilitate distribution of se

240.10b-3 Employment of manipulative

and deceptive devices by brokers or deal

240.10b-4 Short tendering of securities.

240.10b-5 Employment of manipulative

and deceptive devices.

240.10b-6 Prohibitions against trading by

persons interested in a distribution.

240.10b-7 Stabilizing to facilitate a distri

240.10b-8 Distributions through rights.

240.10b-9 Prohibited representations

connection with certain offerings.

240.10b-10 Confirmation of transactions.

240.10b-13 Prohibiting other purchases

during tender offer or exchange offer.

240.10b-16 Disclosure of credit terms in

margin transactions.

240.3b-1 Definition of "listed."

240.3b-2 Definition of "officer."

240.3b-3 Definition of "short sale."

240.3b-4 Definition of "foreign govern-

ment," "foreign issuer" and "foreign pri-

240.3b-5 Non-exempt securities issued

under governmental obligations.

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Riders; inserts.

GENERAL REQUIREMENTS AS TO CONTENTS

240.12b-20 Additional information.

240.12b-21 Information unknown or not

240.12b-22 Disclaimer of control.

Incorporation by reference.

Summaries or outlines of docu-

240.12b-25 Notification of inability

timely file all or any required portion of

a Form 10-K, 20-F, 11-K, or 10-Q.

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Sec.

240.12d1-4 Date of receipt of certification

by Commission.

240.12d1-5 Operation of certification on
subsequent amendments.

240.12d1-6 Withdrawal of certification.

SUSPENSION OF TRADING, WITHDRAWAL, AND
STRIKING FROM LISTING AND REGISTRATION

240.12d2-1 Suspension of trading.

240.12d2-2 Removal from listing and regis-

UNLISTED TRADING

240.12f-1 Applications for permission to
extend unlisted trading privileges.

240.12f-2 Changes in securities admitted to

unlisted trading privileges.

240.12f-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.

240.12f-6 Continuance of unlisted trading
privileges on merged exchanges.

EXTENSIONS AND TEMPORARY EXEMPTIONS;

240.12g-1 Extensions of time for filing reg-

istration statements pursuant to section

12(g) and temporary exemptions from

240.12g-2 Securities deemed to be regis-

tered 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.

240.12g3-2 Exemptions for American depo-

sitary receipts and certain foreign secu-

240.12g-4 Certification of termination of

registration under section 12(g).

240.12g5-1 Definition of securities "held of

240.12g5-2 Definition of "total assets".

240.12h-1 A temporary exemption for in-

surance companies from compliance

with the provisions of clause (ii) of sec-

tion 12(g)(2)(G).

240.12h-2 Exemptions from registration

under section 12(g) of the act.

240.12h-3 Exemption from section 16(b) of

transactions prior to registration under

240.12h-4 Partial exemption from section

15(d) upon termination of registration

under section 12.

REGULATION 13A: REPORTS OF ISSUERS OF SE-

CURITIES REGISTERED PURSUANT TO SECTION

240.13a-1 Requirements of annual reports.

Sec.

240.13a-2 Annual reports of predecessors.

OTHER REPORTS

240.13a-10 Interim reports.

240.13a-11 Current reports on Form 8-K

(§ 249.308 of this chapter).

240.13a-12 Quarterly reports of investment

240.13a-13 Quarterly reports on Form 10-

Q (§ 249.308a of this chapter).

240.13a-16 Reports of foreign private issu-

ers on Form 6-K (17 CFR 249.306).
240.13a-17 Reports on Form 10-C by issu-
ers of securities quoted on the NASDAQ
interdealer quotation system.

REGULATION 13b-2: MAINTENANCE OF RECORDS

AND PREPARATION OF REQUIRED REPORTS

240.13b2-1 Falsification of accounting re-
cords.

240.13b2-2 Issuers representations in con-
nection with the preparation of required
reports and documents.

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240.13d-4 Disclaimer of beneficial owner-

240.13d-5 Acquisition of securities.

240.13d-6 Exemption of certain acquisi-

240.13d-7 Fees for filing Schedules 13D or

Schedule 13D-Information to

be included in statements filed pursuant

to § 240.13d-1(a) and amendments there-

to 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) and (c) and amend-

ments thereto filed pursuant to

§ 240.13d-2(b).

240.13e-1 Purchase of securities by issuer

240.13e-2 [Reserved]

240.13e-3 Going private transactions by

certain issuers or their affiliates.

240.13e-4 Tender offers by issuers.

240.13e-100 Schedule 13E-3 [§ 240.13e-3],

Rule 13e-3 transaction statement pursu-

ant to section 13(e) of the Securities Ex-

change Act of 1934 and rule 13e-3

[§ 240.13e-3] thereunder.

240.13e-101 Schedule 13E-4. Tender offer

statement pursuant to section 13(e)(1)

of the Securities Exchange Act of 1934

and § 240.13e-4 thereunder.

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