Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

General Rules -- Rules 0-1 to 3a5-1

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Rule 0-1 -- Definitions

Rule 0-2 -- Business Hours of the Commission

Rule 0-3 -- Filing of Material with the Commission

Rule 0-4 -- Non-Disclosure of Information Obtained in the Course of Examinations and Investigations

Rule 0-5 -- Reference to Rule by Obsolete Designation

Rule 0-6 -- Disclosure Detrimental to the National Defense or Foreign Policy

Rule 0-8 -- Application of Rules to Registered Broker-Dealers

Rule 0-9 -- Payment of Fees

Rule 0-10 -- Small Entities for Purposes of the Regulatory Flexibility Act

Rule 0-11 -- Filing Fees for Certain Acquisitions, Dispositions and Similar Transactions

Rule 0-12 -- Commission Procedures for Filing Application for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act

Rule 3a1-1 -- Exemption from the Definition of "Exchange" Under Section 3(a)(1) of the Act.

Rule 3a4-1 -- Associated Persons of an Issuer Deemed Not to Be Brokers

Rule 3a4-2 -- Exemption from the Definition of "Broker" for Bank Calculating Compensation for Effecting Transactions in Fiduciary Accounts

Rule 3a4-3 -- Exemption from the Definition of "Broker" for Bank Effecting Transactions as an Indenture Trustee in a No-Load Money Market Fund

Rule 3a4-4 -- Exemption from the Definition of "Broker" for Small Bank Effecting Transactions in Investment Company Securities in a Tax-Deferred Custody Account

Rule 3a4-5 -- Exemption from the Definition of "Broker" for Banks Effecting Transactions in Securities in a Custody Account

Rule 3a4-6 -- Exemption from the Definition of "Broker" for Banks that Execute Transactions in Investment Company Securities Through NSCC Mutual Fund Services

Rule 3a5-1 -- Exemption from the Definition of "Dealer" for a Bank Engaged in Riskless Principal Transactions

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