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





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


    Rule 12a-4 -- Exemption of Certain Warrants from Section 12(a)

    Rule 12a-5 -- Temporary Exemption of Substituted or Additional Securities

    Rule 12a-6 -- Exemption of Securities Underlying Certain Options from Section 12(a)

    Rule 12a-7 -- Exemption of Stock Contained in Standardized Market Baskets from Section 12(a) of the Act

    Rule 12a-8 -- Exemption of Depositary Shares

    Rule 12a-9 -- Exemption of Standardized Options from Section 12(a) of the Act

    Rule 12a-10T -- Temporary Exemption of Eligible Credit Default Swaps from Section 12(a) of the Act



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