17 CFR Topic
Exemption of Certain Issuers From Section 15(d) of the Act
April 15, 2021
§
240.15d-21
Reports for employee stock purchase, savings and similar plans
§
240.15d-22
Reporting regarding asset-backed securities under section 15(d) of the Act
§
240.15d-23
Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act
§
240.15g-1
Exemptions for certain transactions
§
240.15g-2
Penny stock disclosure document relating to the penny stock market
§
240.15g-3
Broker or dealer disclosure of quotations and other information relating to the penny stock market
§
240.15g-4
Disclosure of compensation to brokers or dealers
§
240.15g-5
Disclosure of compensation of associated persons in connection with penny stock transactions
§
240.15g-6
Account statements for penny stock customers
§
240.15g-8
Sales of escrowed securities of blank check companies
§
240.15g-9
Sales practice requirements for certain low-priced securities
§
240.15g-100
Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2
§
240.15l-1
Regulation best interest
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