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

Exemption of Certain Transactions from Section 16(c) (Rules 16c-1 to 16c-4)

    Rule 16c-1 -- Brokers

    Rule 16c-2 -- Transactions Effected in Connection with a Distribution

    Rule 16c-3 -- Exemption of Sales of Securities to Be Acquired

    Rule 16c-4 -- Derivative Securities

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