17 CFR Topic
Miscellaneous Exemptions
April 15, 2021
§
240.3a12-1
Exemption of certain mortgages and interests in mortgages
§
240.3a12-2
[Reserved]
§
240.3a12-3
Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers
§
240.3a12-4
Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities
§
240.3a12-5
Exemption of certain investment contract securities from sections 7(c) and 11(d)(1)
§
240.3a12-6
Definition of “common trust fund” as used in section 3(a)(12) of the Act
§
240.3a12-7
Exemption for certain derivative securities traded otherwise than on a national securities exchange
§
240.3a12-8
Exemption for designated foreign government securities for purposes of futures trading
§
240.3a12-9
Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1)
§
240.3a12-10
Exemption of certain securities issued by the Resolution Funding Corporation
§
240.3a12-11
Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange
§
240.3a12-12
Exemption from certain provisions of section 16 of the Act for asset-backed securities
§
240.3a40-1
Designation of financial responsibility rules
§
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
§
240.3a44-1
Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person
§
240.3a51-1
Definition of “penny stock”
§
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
§
240.3a55-2
Indexes underlying futures contracts trading for fewer than 30 days
§
240.3a55-3
Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade
§
240.3a55-4
Exclusion from definition of narrow-based security index for indexes composed of debt securities
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