Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
under the
Securities Exchange Act of 1934

Reports of Directors, Officers, and Principal Shareholders (Rules 16a-1 to 16a-13)

    Rule 16a-1 -- Definition of Terms

    Rule 16a-2 -- Persons and Transactions Subject to Section 16

    Rule 16a-3 -- Reporting Transactions and Holdings

    Rule 16a-4 -- Derivative Securities

    Rule 16a-5 -- Odd-Lot Dealers

    Rule 16a-6 -- Small Acquisitions

    Rule 16a-7 -- Transactions Effected in Connection with a Distribution

    Rule 16a-8 -- Trusts

    Rule 16a-9 -- Stock Splits, Stock Dividends, and Pro Rata Rights

    Rule 16a-10 -- Exemptions Under Section 16(a)

    Rule 16a-11 -- Dividend or Interest Reinvestment Plans

    Rule 16a-12 -- Domestic Relations Orders

    Rule 16a-13 -- Change in Form of Beneficial Ownership

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