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

General Rules and Regulations
under the
Securities Exchange Act of 1934


    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)

Return to top