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





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


GENERAL

    Rule 12b-1 -- Scope of Regulation

    Rule 12b-2 -- Definitions

    Rule 12b-3 -- Title of Securities

    Rule 12b-4 -- Supplemental Information

    Rule 12b-5 -- Determination of Affiliates of Banks

    Rule 12b-6 -- When Securities Are Deemed to Be Registered

    Rule 12b-7 -- [Removed and reserved in Release 34-37692, effective October 7, 1996, 61 FR 49957.]


FORMAL REQUIREMENTS

    Rule 12b-10 -- Requirements as to Proper Form

    Rule 12b-11 -- Number of Copies; Signatures; Binding

    Rule 12b-12 -- Requirements as to Paper, Printing and Language [Effective until Nov. 4, 2002.]

    Rule 12b-13 -- Preparation of Statement or Report

    Rule 12b-14 -- Riders; Inserts

    Rule 12b-15 -- Amendments


GENERAL REQUIREMENTS AS TO CONTENTS

    Rule 12b-20 -- Additional Information

    Rule 12b-21 -- Information Unknown or Not Available

    Rule 12b-22 -- Disclaimer of Control

    Rule 12b-23 -- Incorporation by Reference

    Rule 12b-24 -- [Reserved]

    Rule 12b-25 -- Notification of Inability to Timely File All or Any Required Portion of a Form 10-K, 10-KSB, 20-F, 11-K, N-SAR, N-CSR, Form 10-Q or Form 10-QSB


EXHIBITS

    Rule 12b-30 -- Additional Exhibits

    Rule 12b-31 -- Omission of Substantially Identical Documents

    Rule 12b-32 -- Incorporation of Exhibits by Reference

    Rule 12b-33 -- Annual Reports to Other Federal Agencies


SPECIAL PROVISIONS

    Rule 12b-35 -- [Reserved]

    Rule 12b-36 -- Use of Financial Statements Filed Under Other Acts

    Rule 12b-37 -- Satisfaction of Filing Requirements



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