Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Exemption of Certain Securities from Section 15(a) (Rules 15a-1 to 15a-5)

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Rule 15a-1 -- Securities Activities of OTC Derivatives Dealers

Rule 15a-2 -- Exemption of Certain Securities of Cooperative Apartment Houses from Section 15(a)

Rule 15a-3 -- [Reserved]

Rule 15a-4 -- Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges

Rule 15a-5 -- Exemption of Certain Nonbank Lenders

Rule 15a-6 --Exemption of Certain Foreign Brokers or Dealers

Rule 15a-7 -- Exemption from the Definitions of "Broker" or "Dealer" for Banks for Limited Period of Time

Rule 15a-8 -- [Removed and Reserved]

Rule 15a-9 -- [Removed and Reserved]

Rule 15a-10 -- Exemption of Certain Brokers or Dealers with Respect to Security Futures Products

Rule 15a-11 -- [Removed and Reserved]

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