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

Exemption of Certain Securities from Section 15(a) (Rules 15a-1 to 15a-5)

    Rule 15a-1 -- Securities Activities of OTC Derivatives Dealers

    Rule 15a-2 -- Exemption of Certain Securities of Cooperative Apartment Houses from Section 15(a)

    Rule 15a-3 -- [Reserved]

    Rule 15a-4 -- Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges

    Rule 15a-5 -- Exemption of Certain Nonbank Lenders

    Rule 15a-6 --Exemption of Certain Foreign Brokers or Dealers

    Rule 15a-7 -- Exemption from the Definitions of "Broker" or "Dealer" for Banks for Limited Period of Time

    Rule 15a-8 -- [Removed and Reserved]

    Rule 15a-9 -- [Removed and Reserved]

    Rule 15a-10 -- Exemption of Certain Brokers or Dealers with Respect to Security Futures Products

    Rule 15a-11 -- [Removed and Reserved]

Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved