Miscellaneous Exemptions | Midpage

Collections
Code of Federal Regulations

ECFR48fbd3224bf6573

Miscellaneous Exemptions

240.3a12-1Exemption of certain mortgages and interests in mortgages.240.3a12-2[Reserved]240.3a12-3Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.240.3a12-4Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.240.3a12-5Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).240.3a12-6Definition of “common trust fund” as used in section 3(a)(12) of the Act.240.3a12-7Exemption for certain derivative securities traded otherwise than on a national securities exchange.240.3a12-8Exemption for designated foreign government securities for purposes of futures trading.240.3a12-9Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).240.3a12-10Exemption of certain securities issued by the Resolution Funding Corporation.240.3a12-11Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.240.3a12-12Exemption from certain provisions of section 16 of the Act for asset-backed securities.240.3a40-1Designation of financial responsibility rules.240.3a43-1Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.240.3a44-1Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.240.3a44-2Further definition of “as a part of a regular business” in connection with certain liquidity providers.240.3a51-1Definition of “penny stock”.240.3a55-1Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.240.3a55-2Indexes underlying futures contracts trading for fewer than 30 days.240.3a55-3Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.240.3a55-4Exclusion from definition of narrow-based security index for indexes composed of debt securities.