Securities Exempted from Registration

  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. Rules and Regulations Under the Securities Exchange Act of 1934
  7. Securities Exempted from Registration

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Section
240.12a-4

Exemption of certain warrants from section 12(a).

Section
240.12a-5

Temporary exemption of substituted or additional securities.

Section
240.12a-6

Exemption of securities underlying certain options from section 12(a).

Section
240.12a-7

Exemption of stock contained in standardized market baskets from section 12(a) of the Act.

Section
240.12a-8

Exemption of depositary shares.

Section
240.12a-9

Exemption of standardized options from section 12(a) of the Act.

Section
240.12a-10

Exemption of security-based swaps from section 12(a) of the Act.

Section
240.12a-11

Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.