Article 2. Insider Trading | Midpage

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California Code of Regulations

Chapter 5. Insurance Commissioner

Subchapter 5. Stock Insurers—Corporate Affairs

Article 2. Insider Trading

Article 2. Insider Trading

State of California

2682.1Definition of Certain Terms.2682.2Transactions Exempted from the Operation of Section 1104.3.2682.3Filing of Statements.2682.4Ownership of More Than 10 Percent of an Equity Security.2682.5Disclaimer of Beneficial Ownership.2682.6Exemptions from Section 1104.3.2682.7Exemption of Securities Purchased or Sold by Odd-Lot Dealers.2682.8Transferable Options, Puts, Calls, Spreads and Straddles.2682.9Ownership of Securities Held in Trust.2682.10Exemptions for Small Transactions.2682.11Exemption from Section 1104.2 of Certain Transactions Exempted from Section 1104.3.2682.12Exemption from Section 1104.3 of Certain Transactions Effected in Connection with Distribution.2682.13Exemption from Section 1104.3 of Acquisitions of Shares of Stock and Stock Options Under Certain Stock Bonus, Stock Option of Similar Plans.2682.14Exemption from Section 1104.3 of Certain Transactions in Which Securities Are Received by Redeeming Other Securities.2682.15Exemption of Long Term Profits Incident to Sales Within Six Months of the Exercise of an Option.2682.16Exemptions from Section 1104.3 of Certain Acquisitions and Dispositions of Securities Pursuant to Merger or Consolidation.2682.17Exemption from Section 1104.3 of Certain Securities Received upon Surrender of Similar Equity Securities.2682.18Exemption from Section 1104.3 of Certain Transactions Involving an Exchange of Similar Securities.2682.19Exemption of Certain Transactions by a Dealer in Securities in Which That Dealer Has No Interest.2682.20Exemption from Section 1104.4 of Certain Transactions Effected in Connection with a Distribution.2682.21Exemption from Section 1104.4 of Sales of Securities to be Acquired.2682.22Arbitrage Transactions Under Section 2682.7.