1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Miscellaneous Exemptions
  7. 17 CFR § 240.3a12-3
17 CFR § 240.3a12-3
Exemption from sections 14(a), 14(b), 14(c), 14(f) and 16 for securities of certain foreign issuers
April 15, 2021
CFR

(a) Securities for which the filing of registration statements on Form 18 [17 CFR 249.218] are authorized shall be exempt from the operation of sections 14 and 16 of the Act.

(b) Securities registered by a foreign private issuer, as defined in Rule 3b-4 (§240.3b-4 of this chapter), shall be exempt from sections 14(a), 14(b), 14(c), 14(f) and 16 of the Act.

[44 FR 70137, Dec. 6, 1979, as amended at 47 FR 54780, Dec. 6, 1982; 56 FR 30067, July 1, 1991]

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§ 240.3a12-2 [Reserved]
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§ 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities

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