Rules & Regulations

Every foreign private issuer that was a shell company, other than a business combination related shell company, immediately before a transaction that causes it to ...

(a) Any information included or incorporated by reference in a report filed under section 15(d) of the Act (15 U.S.C. 78o(d)) that is required to ...

(a) Separate annual and other reports need not be filed pursuant to section 15(d) of the Act with respect to any employee stock purchase, savings ...

(a) With respect to an offering of asset-backed securities registered pursuant to §230.415(a)(1)(vii) or §230.415(a)(1)(xii) of this chapter: (1) Annual and other reports need not ...

(a) Regarding a class of asset-backed securities, if the asset pool for the asset-backed securities includes a pool asset representing an interest in or the ...

The following transactions shall be exempt from 17 CFR 240.15g-2, 17 CFR 240.15g-3, 17 CFR 240.15g-4, 17 CFR 240.15g-5, and 17 CFR 240.15g-6: (a) Transactions ...

(a) It shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a ...

(a) Requirement. It shall be unlawful for a broker or dealer to effect a transaction in any penny stock with or for the account of ...

Preliminary Note: Brokers and dealers may wish to refer to Securities Exchange Act Release No. 30608 (April 20, 1992) for a discussion of the procedures ...

(a) General. It shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of ...