Exemption of Certain Issuers from Section 15(D) of the Act

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Exemption of Certain Issuers from Section 15(D) of the Act

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Section
240.15d-21

Reports for employee stock purchase, savings and similar plans.

Section
240.15d-22

Reporting regarding asset-backed securities under section 15(d) of the Act.

Section
240.15d-23

Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.

Section
240.15g-1

Exemptions for certain transactions.

Section
240.15g-2

Penny stock disclosure document relating to the penny stock market.

Section
240.15g-3

Broker or dealer disclosure of quotations and other information relating to the penny stock market.

Section
240.15g-4

Disclosure of compensation to brokers or dealers.

Section
240.15g-5

Disclosure of compensation of associated persons in connection with penny stock transactions.

Section
240.15g-6

Account statements for penny stock customers.

Section
240.15g-8

Sales of escrowed securities of blank check companies.

Section
240.15g-9

Sales practice requirements for certain low-priced securities.

Section
240.15g-100

Schedule 15G - Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

Section
240.15l-1

Regulation best interest.