Rules & Regulations

A security shall be exempt from the provisions of section 11(d)(1) with respect to any transaction by a broker and dealer who, directly or indirectly ...

Any securities issued by a registered open-end investment company or unit investment trust as defined in the Investment Company Act of 1940 shall be exempted ...

A broker or dealer registered pursuant to section 15(b)(1) of the Act (15 U.S.C. 78o(b)(1)) that is also a futures commission merchant registered pursuant to ...

(a) When used in this section, the following terms shall have the meaning indicated unless the context otherwise requires: (1) The term warrant means any ...

(a)(1) Subject to the conditions of paragraph (a)(2) of this section, whenever the holders of a security admitted to trading on a national securities exchange ...

(a) When used in this rule, the following terms shall have the meanings indicated unless the context otherwise requires: (1) The term option shall include ...

(a) Any component stock of a standardized market basket shall be exempt from the registration requirement of section 12(a) of the Act, solely for the ...

Depositary shares (as that term is defined in §240.12b-2) registered on Form F-6 (§239.36 of this chapter), but not the underlying deposited securities, shall be ...

The provisions of section 12(a) of the Act (15 U.S.C. 78l(a)) do not apply in respect of any standardized option, as defined by section 240.9b-1(a)(4), ...

The provisions of Section 12(a) of the Act (15 U.S.C. 78l(a)) do not apply to any security-based swap that: (a) Is issued or will be ...