Rules & Regulations

(a) The provisions of Section 12(a) of the Act (15 U.S.C. 78l(a)) do not apply to any security-based swap offered and sold in reliance on ...

The rules contained in this regulation shall govern all registration statements pursuant to sections 12(b) and 12(g) of the Act and all reports filed pursuant ...

Unless the context otherwise requires, the following terms, when used in the rules contained in this regulation or in Regulation 13A or 15D or in ...

Wherever the title of securities is required to be stated there shall be given such information as will indicate the type and general character of ...

The Commission or its staff may, where it is deemed appropriate, request supplemental information concerning the registrant, a registration statement or a periodic or other ...

In determining whether a person is an “affiliate” or “parent” of a bank or whether a bank is a “subsidiary” or “majority-owner subsidiary” of a ...

A class of securities with respect to which a registration statement has been filed pursuant to section 12 of the act shall be deemed to ...

Every statement or report shall be on the form prescribed therefor by the Commission, as in effect on the date of filing. Any statement or ...

(a) Except as provided in a particular form, three complete copies of each statement or report, including exhibits and all other papers and documents filed ...

(a) Statements and reports shall be filed on good quality, unglazed white paper, no larger than 81⁄2 × 11 inches in size, insofar as practicable. ...