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





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


    Rule 10b-1 -- Prohibition of Use of Manipulative or Deceptive Devices or Contrivances with Respect to Certain Securities Exempted from Registration

    Rule 10b-2 -- [Reserved]

    Rule 10b-3 -- Employment of Manipulative and Deceptive Devices by Brokers or Dealers

    Rule 10b-4 -- [Reserved]

    Rule 10b-5 -- Employment of Manipulative and Deceptive Devices

    Rule 10b5-1 -- Trading "on the Basis of" Material Nonpublic Information in Insider Trading Cases

    Rule 10b5-2 -- Duties of Trust or Confidence in Misappropriation Insider Trading Cases

    Rule 10b-6 -- Through Rule 10b-8 [Reserved]

    Rule 10b-9 -- Prohibited Representations in Connection with Certain Offerings

    Rule 10b-10 -- Confirmation of Transactions

    Rule 10b-13 -- [Reserved]

    Rule 10b-16 -- Disclosure of Credit Terms in Margin Transactions

    Rule 10b-17 -- Untimely Announcements of Record Dates

    Rule 10b-18 -- Purchases of Certain Equity Securities by the Issuer and Others

    Rule 10b-21 -- Deception in Connection with a Seller's Ability or Intent to Deliver Securities on the Date Delivery is Due



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