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 14A: Solicitation of Proxies (Rules 14a-1 to 14b-2)


    Rule 14a-1 -- Definitions

    Rule 14a-2 -- Solicitations to Which Rule 14a-3 to Rule 14a-15 Apply

    Rule 14a-3 -- Information to Be Furnished to Security Holders

    Rule 14a-4 -- Requirements as to Proxy

    Rule 14a-5 -- Presentation of Information in Proxy Statement

    Rule 14a-6 -- Filing Requirements

    Rule 14a-7 -- Obligations of Registrants to Provide a List of, or Mail Soliciting Material to, Security Holders

    Rule 14a-8 -- Proposals of Security Holders

    Rule 14a-9 -- False or Misleading Statements

    Rule 14a-10 -- Prohibition of Certain Solicitations

    Rule 14a-11 -- [Reserved]

    Rule 14a-12 -- Solicitation Before Furnishing a Proxy Statement

    Rule 14a-13 -- Obligation of Registrants in Communicating with Beneficial Owners

    Rule 14a-14 -- Modified or Superseded Documents

    Rule 14a-15 -- Differential and Contingent Compensation in Connection with Roll-Up Transactions

    Rule 14a-16 -- Internet Availability of Proxy Materials

    Rule 14a-17 -- Electronic Shareholder Forums

    Rule 14a-20 -- Shareholder Approval of Executive Compensation of TARP Recipients

    Schedule 14A -- Information Required in Proxy Statement

    Rule 14a-102 -- [Reserved]

    Rule 14a-103 -- Notice of Exempt Solicitation. Information to Be Included in Statements Submitted by or on Behalf of a Person Pursuant to Rule 14a-6(g)

    Rule 14a-104 -- Notice of Exempt Preliminary Roll-Up Communication. Information Regarding Ownership Interests and Any Potential Conflicts of Interest to Be Included in Statements Submitted by or on Behalf of a Person Pursuant to Rule 14a-2(b)(4) and Rule 14a-6(n)

    Rule 14b-1 -- Obligation of Registered Brokers and Dealers in Connection with the Prompt Forwarding of Certain Communications to Beneficial Owners

    Rule 14b-2 -- Obligation of Banks, Associations and Other Entities that Exercise Fiduciary Powers in Connection with the Prompt Forwarding of Certain Communications to Beneficial Owners



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