Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Index


    Rules of General Application (Rules 0-1 to 3a5-3)

    Definition of "Equity Security" as Used in Sections 12(g) and 16. (Rule 3a11-1)

    Miscellaneous Exemptions (Rules 3a12-1 to 3a55-4)

    Definitions (Rules 3b-1 to 3b-18)

    Registration and Exemption of Exchanges (Rules 6a-1 to 6h-2)

    Hypothecation of Customers' Securities(Rule 8c-1 to 9b-1)

    Short Sales (Rules 10a-1 to 10a-2)

    Manipulative and Deceptive Devices and Contrivances (Rules 10b-1 to 10b-21)

    Reports under Section 10A (Rules 10A-1 to 10A-3)

    Adoption of Floor Trading Regulation (Rules 11a-1 to 11a2-2(T))

    Adoption of Regulation on Conduct of Specialists (Rule 11b-1)

    Exemption of Certain Securities from Section 11(d)(1) (Rules 11d1-1 to 11d2-1)

    Securities Exempted from Registration (Rules 12a-4 to 12a-10T)

    Regulation 12B - Registration and Reporting (Rules 12b-1 to 12b-37)

    Certification by Exchanges (Rules 12d1-1 to 12d1-6)

    Suspension of Trading, Withdrawal, and Striking from Listing and Registration (Rules 12d2-1 to 12d2-2)

    Unlisted Trading (Rules 12f-1 to 12f-7)

    Extensions and Temporary Exemptions; Definitions (Rules 12g-1 to 12g5-2; 12h-1 to 12h-5)

    Regulation 13A - Reports of Issuers of Securities Registered Pursuant to Section 12 (Rules 13a-1 to 13a-19; 13b1 to 13b2-2; 13d-1 to 13d-102; 13e-1 to 13e-102; 13f-1)

    Regulation 13b-2: Maintenance of Records and Preparation of Required Reports (Rules 13b1 to 13b2-2)

    Regulation 13D (Rules 13d-1 to 13d-102; 13e-1 to 13e-102; 13f-1 to 13f-2(T))

    Regulation 14A - Solicitations of Proxies (Rules 14a-1 to 14b-2)

    Regulation 14C - Distribution of Information pursuant to Section 14C (Rules 14c-1 to 14c-101)

    Regulation 14D (Rule 14d-1 to Schedule 14D-9F)

    Regulation 14E (Rules 14e-1 to 14f-1)

    Exemption of Certain Securities from Section 15(a) (Rules 15a-2 to 15a-5)

    Registration of Brokers and Dealers (Rules 15a-6 to 15b11-1)

    Rules relating to Over-the-Counter Markets (Rules 15c1-1 to 15c6-1)

    Regulation 15D: Reports of Registrants under the Securities Act of 1933 (Rules 15d-1 to 15g-100)

    National and Affiliated Securities Associations (Rules 15Aa-1 to 15Bc7-1)

    Registration of Government Securities Brokers and Government Securities Dealers (Rules 15Ca1-1 to 15Cc1-1)

    Reports of Directors, Officers, and Principal Shareholders (Rules 16a-1 to 16a-13)

    Exemption of Certain Transactions from Section 16(b) (Rules 16b-1 to 16b-8)

    Exemption of Certain Transactions from Section 16(c) (Rules 16c-1 to 16c-4)

    Arbitrage Transactions (Rule 16e-1)

    Preservation of Records and Reports of Certain Stabilizing Activities (Rules 17a-1 to 19h-1)

    Inspection and Publication of Information Filed under the Act (Rules 24b-1 to 31-1)

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