17 CFR Topic
Securities Exempted From Registration
April 15, 2021
§
240.12a-4
Exemption of certain warrants from section 12(a)
§
240.12a-5
Temporary exemption of substituted or additional securities
§
240.12a-6
Exemption of securities underlying certain options from section 12(a)
§
240.12a-7
Exemption of stock contained in standardized market baskets from section 12(a) of the Act
§
240.12a-8
Exemption of depositary shares
§
240.12a-9
Exemption of standardized options from section 12(a) of the Act
§
240.12a-10
Exemption of security-based swaps from section 12(a) of the Act
§
240.12a-11
Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§230.240) from section 12(a) of the Act
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