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

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Miscellaneous Exemptions (Rules 3a12-1 to 3a55-3)

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Rule 3a12-1 -- Exemption of Certain Mortgages and Interests in Mortgages

Rule 3a12-2 -- [Reserved]

Rule 3a12-3 -- Exemption from Sections 14(a), 14(b), 14(c), 14(f) and 16 for Securities of Certain Foreign Issuers

Rule 3a12-4 -- Exemptions from Sections 15(a) and 15(c)(3) for Certain Whole Mortgages

Rule 3a12-5 -- Exemption of Certain Investment Contract Securities from Sections 7(c) and 11(d)(1)

Rule 3a12-6 -- Definition of "Common Trust Fund" as Used in Section 3(a)(12) of the Act

Rule 3a12-7 -- Exemption for Certain Derivative Securities Traded Otherwise than on a National Securities Exchange

Rule 3a12-8 -- Exemption for Designated Foreign Government Securities for Purposes of Futures Trading

Rule 3a12-9 -- Exemption of Certain Direct Participation Program Securities from the Arranging Provisions of Sections 7(c) and 11(d)(1)

Rule 3a12-10 -- Exemption of Certain Securities Issued by the Resolution Funding Corporation

Rule 3a12-11 -- Exemption from Sections 8(a), 14(a), 14(b), and 14(c) for Debt Securities Listed on a National Securities Exchange

Rule 3a12-12 -- Exemption from Certain Provisions of Section 16 of the Act for Asset-backed Securities

Rule 3a40-1 -- Designation of Financial Responsibility Rules

Rule 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

Rule 3a44-1 -- Proprietary Government Securities Transactions Incidental to the Futures-Related Business of a CFTC-Regulated Person

Rule 3a51-1 -- Definition of "Penny Stock"

Rule 3a55-1 -- Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Rule 3a55-2 -- Indexes Underlying Futures Contracts Trading for Fewer than 30 Days

Rule 3a55-3 -- Futures Contracts on Security Indexes Trading on or Subject to the Rules of a Foreign Board of Trade

Rule 3a55-4 -- Exclusion from Definition of Narrow-Based Security Index for Indexes Composed of Debt Securities

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