Rules & Regulations

Both the acquisition and the disposition of equity securities shall be exempt from the operation of section 16(b) of the Act if they are: (a) ...

(a) The establishment of or increase in a call equivalent position or liquidation of or decrease in a put equivalent position shall be deemed a ...

(a) The following transactions shall be exempt from the provisions of section 16(b) of the Act: (1) The acquisition of a security of a company, ...

Any acquisition or disposition of an equity security or certificate representing equity securities involved in the deposit or withdrawal from a voting trust or deposit ...

Any transaction shall be exempt from section 16(c) of the Act to the extent necessary to render lawful the execution by a broker of an ...

Any transaction shall be exempt from section 16(c) of the Act to the extent necessary to render lawful any sale made by or on behalf ...

(a) Whenever any person is entitled, incident to ownership of an issued security and without the payment of consideration, to receive another security “when issued” ...

Establishing or increasing a put equivalent position shall be exempt from section 16(c) of the Act, so long as the amount of securities underlying the ...

It shall be unlawful for any director or officer of an issuer of an equity security which is registered pursuant to section 12 of the ...

(a) Every national securities exchange, national securities association, registered clearing agency and the Municipal Securities Rulemaking Board shall keep and preserve at least one copy ...