PocketLaw | CFR 17 | Miscellaneous Exemptions

Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.

Section
240.3a12-4

Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.

Section
240.3a12-5

Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).

Section
240.3a12-6

Definition of “common trust fund” as used in section 3(a)(12) of the Act.

Section
240.3a12-7

Exemption for certain derivative securities traded otherwise than on a national securities exchange.

Section
240.3a12-8

Exemption for designated foreign government securities for purposes of futures trading.

Section
240.3a12-9

Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).

Section
240.3a12-10

Exemption of certain securities issued by the Resolution Funding Corporation.

Section
240.3a12-11

Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.

Section
240.3a12-12

Exemption from certain provisions of section 16 of the Act for asset-backed securities.

Section
240.3a40-1

Designation of financial responsibility rules.

Section
240.3a43-1

Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.

Section
240.3a44-1

Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.

Section
240.3a51-1

Definition of “penny stock”.

Section
240.3a55-1

Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.

Section
240.3a55-2

Indexes underlying futures contracts trading for fewer than 30 days.

Section
240.3a55-3

Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.

Section
240.3a55-4

Miscellaneous Exemptions

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Exemption of certain mortgages and interests in mortgages.

§ 240.3a12-2 [Reserved]

Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers.

Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.

Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).

Definition of “common trust fund” as used in section 3(a)(12) of the Act.

Exemption for certain derivative securities traded otherwise than on a national securities exchange.

Exemption for designated foreign government securities for purposes of futures trading.

Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).

Exemption of certain securities issued by the Resolution Funding Corporation.

Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.

Exemption from certain provisions of section 16 of the Act for asset-backed securities.

Designation of financial responsibility rules.

Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.

Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.

Definition of “penny stock”.

Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.

Indexes underlying futures contracts trading for fewer than 30 days.

Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.

Exclusion from definition of narrow-based security index for indexes composed of debt securities.