MISCELLANEOUS EXEMPTIONS
- Section 240.3a12-1 - Exemption of certain mortgages and interests in mortgages
- Section 240.3a12-2 - Reserved
- Section 240.3a12-3 - 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 240.3a44-2 - Further definition of "as a part of a regular business" in connection with certain liquidity providers
- Section 240.3a51-1 - [Effective 6/14/2024] Definition of "penny stock"
- Section 240.3a51-1 - [Effective until 6/14/2024] 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 - Exclusion from definition of narrow-based security index for indexes composed of debt securities