published by The University of Cincinnati College of Law
| Securities Lawyer's Deskbook
published by The University of Cincinnati College of Law |
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Rule 110 -- Business Hours of the Commission
Rule 111 -- Payment of Fees
Rule 120 -- Inspection of Registration Statements
Rule 122 -- Non-Disclosure of Information Obtained in the Course of Examinations and Investigations
Rule 130 -- Definition of "Rules and Regulations" as Used in Certain Sections of the Act
Rule 131 -- Definition of Security Issued Under Governmental Obligations
Rule 132 -- Definition of "Common Trust Fund" as Used in Section 3(a)(2) of the Act
Rule 134 -- Communications Not Deemed a Prospectus
Rule 134a -- Options Material Not Deemed a Prospectus
Rule 134b -- Statements of Additional Information
Rule 135 -- Notice of Certain Proposed Offerings
Rule 135a -- Generic Advertising
Rule 135b -- Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus
Rule 135c -- Notice of Certain Proposed Unregistered Offerings
Rule 135d -- [Reserved]
Rule 135e -- Offshore Press Conferences, Meetings with Issuer Representatives Conducted Offshore, and Press-Related Materials Released Offshore
Rule 136 -- Definition of Certain Terms in Relation to Assessable Stock
Rule 137 -- Definition of "Offers", "Participates", or "Participation" in Section 2(a)(11) in Relation to Certain Publications by Persons Independent of Participants in a Distribution
Rule 138 -- Definition of "Offer for Sale" and "Offer to Sell" in Sections 2(a)(10) and 5(c) in Relation to Certain Publications
Rule 139 -- Definition of "Offer for Sale" and "Offer to Sell" in Sections 2(a)(10) and 5(c) in Relation to Certain Publications
Rule 140 -- Definition of "Distribution" in Section 2(a)(11), for Certain Transactions
Rule 141 -- Definition of "Commission from an Underwriter or Dealer Not in Excess of the Usual and Customary Distributors' or Sellers' Commissions" in Section 2(a)(11), for Certain Transactions
Rule 142 -- Definition of "Participates" and "Participation," as Used in Section 2(a)(11), in Relation to Certain Transactions
Rule 143 -- Definition of "Has Purchased", "Sells for", "Participates", and "Participation", as Used in Section 2(a)(11), in Relation to Certain Transactions of Foreign Governments for War Purposes
Rule 144 -- Persons Deemed Not to Be Engaged in a Distribution and Therefore Not Underwriters
Rule 144A -- Private Resales of Securities to Institutions
Rule 145 -- Reclassifications of Securities, Mergers, Consolidations and Acquisitions of Assets
Rule 146T -- Rules under Section 18 of the Act
Rule 147 -- "Part of an Issue," "Person Resident," and "Doing Business Within" for Purposes of Section 3(a)(11)
Rule 148 -- [Removed and reserved in Release 33-7300, effective July 15, 1996, 61 FR 30397.]
Rule 149 -- Definition of "Exchanged" in Section 3(a)(9), for Certain Transactions
Rule 150 -- Definition of "Commission or Other Remuneration" in Section 3(a)(9), for Certain Transactions
Rule 151 -- Safe Harbor Definition of Certain "Annuity Contracts or Optional Annuity Contracts" Within the Meaning of Section 3(a)(8)
Rule 152 -- Definition of "Transactions by an Issuer Not Involving Any Public Offering" in Section 4(2), for Certain Transactions
Rule 152a -- Offer or Sale of Certain Fractional Interests
Rule 153 -- Definition of "Preceded by a Prospectus," as Used in Section 5(b)(2), in Relation to Certain Transactions
Rule 153a -- Definition of "Preceded by a Prospectus" as Used in Section 5(b)(2) in Relation to Certain Transactions Requiring Approval of Security Holders
Rule 153b -- Definition of "Preceded by a Prospectus", as Used in Section 5(b)(2), in Connection with Certain Transactions in Standardized Options
Rule 154 -- Delivery of Prospectuses to Investors at the Same Address
Rule 155 -- Integration of Abandoned Offerings
Rule 156 -- Investment Company Sales Literature
Rule 157 -- Small Entities Under the Securities Act for Purposes of the Regulatory Flexibility Act
Rule 158 -- Definitions of Certain Terms in the Last Paragraph of Section 11(a)
Rule 159 -- Information Available to Purchaser at Time of Contract of Sale
Rule 159A -- Certain Definitions for Purposes of Section 12(a)(2) of the Act
Rule 160 -- Registered Investment Company Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act
Rule 161 -- Amendments to Rules and Regulations Governing Exemptions
Rule 162 -- Submission of Tenders in Registered Exchange Offers
Rule 163 -- Exemption From Section 5(c) of the Act for Certain Communications By or On Behalf of Well-Known Seasoned Issuers
Rule 163A -- Exemption From Section 5(c) of the Act for Certain Communications Made By or On Behalf of Issuers More Than 30 Days Before A Registration Statement is Filed
Rule 164 -- Post-Filing Free Writing Prospectuses in Connection with Certain Registered Offerings
Rule 165 -- Offers Made in Connection with a Business Combination Transaction
Rule 166 -- Exemption from Section 5(c) for Certain Communications in Connection with Business Combination Transactions
Rule 167 -- Communications in Connection with Certain Registered Offerings of Asset-Backed Securities
Rule 168 -- Exemption from Sections 2(a)(10) and 5(c) of the Act for Certain Communications of Regularly Released Factual Business Information and Forward-Looking Information
Rule 169 -- Exemption from Sections 2(a)(10) and 5(c) of the Act for Certain Communications of Regularly Released Factual Business Information
Rule 170 -- Prohibition of Use of Certain Financial Statements
Rule 172 -- Delivery of Prospectuses
Rule 173 -- Notice of Registration
Rule 174 -- Delivery of Prospectus by Dealers; Exemptions Under Section 4(3) of the Act
Rule 175 -- Liability for Certain Statements by Issuers
Rule 176 -- Circumstances Affecting the Determination of What Constitutes Reasonable Investigation and Reasonable Grounds for Belief Under Section 11 of the Securities Act
Rule 180 -- Exemption from Registration of Interests and Participations Issued in Connection with Certain H.R. 10 Plans
Rule 190 -- Registration of Underlying Securities in Asset-backed Securities Transactions
Rule 191 -- Definition of "Issuer" in Section 2(a)(4) of the Act in Relation to Asset-backed Securities
Rule 215 -- Accredited Investor
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