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 15D: Reports of Registrants Under the Securities Act of 1933 (Rules 15d-1 to 15g-100)


ANNUAL REPORTS

    Rule 15d-1 -- Requirement of Annual Reports

    Rule 15d-2 -- Special Financial Report

    Rule 15d-3 -- Reports for Depositary Shares Registered on Form F-6

    Rule 15d-4 -- Reporting by Form 40-F Registrants

    Rule 15d-5 -- Reporting by Successor Issuers

    Rule 15d-6 -- Suspension of Duty to File Reports


OTHER REPORTS

    Rule 15d-10 -- Transition Reports

    Rule 15d-11 -- Current Reports on Form 8-K

    Rule 15d-13 -- Quarterly Reports on Form 10-Q and Form 10-QSB

    Rule 15d-14 -- Certification Of Disclosure In Annual And Quarterly Reports

    Rule 15d-15 -- Controls and Procedures

    Rule 15d-16 -- Reports of Foreign Private Issuers on Form 6-K

    Rule 15d-17 -- Reports of Asset-backed Issuers on Form 10-D

    Rule 15d-18 -- Compliance with Servcing Criteria for Asset-backed Securities

    Rule 15d-19 -- Reports by Shell Companies on Form 20-F

    Rule 15d-20 -- Plain English Presentation of Specified Information


EXEMPTION OF CERTAIN ISSUERS FROM SECTION 15(D) OF THE ACT

    Rule 15d-21 -- Reports for Employee Stock Purchase, Savings and Similar Plans

    Rule 15d-22 -- Reporting Regarding Asset-backed Securities under Section 15(d) of the Act

    Rule 15d-23 -- Reporting Regarding Certain Securities Underlying Asset-backed Securities under Section 15(d) of the Act

    Rule 15g-1 -- Exemptions for Certain Transactions

    Rule 15g-2 -- Risk Disclosure Document Relating to the Penny Stock Market

    Rule 15g-3 -- Broker or Dealer Disclosure of Quotations and Other Information Relating to the Penny Stock Market

    Rule 15g-4 -- Disclosure of Compensation to Brokers or Dealers

    Rule 15g-5 -- Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions

    Rule 15g-6 -- Account Statements for Penny Stock Customers

    Rule 15g-8 -- Sales of Escrowed Securities of Blank Check Companies

    Rule 15g-9 -- Sales Practice Requirements for Certain Low-Priced Securities

    Rule 15g-100 -- Schedule 15G: Information to Be Included in the Document Distributed Pursuant to Rule 15g-2



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