General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 10b-1 -- Prohibition of Use of Manipulative or Deceptive Devices or Contrivances with Respect to Certain Securities Exempted from Registration
The term manipulative or deceptive device or contrivance, as used in section
10(b), is hereby defined to include any act or omission to act with respect
to any security exempted from the operation of section
12(a) pursuant to any section in this part which specifically provides that
this section shall be applicable to such security if such act or omission to act
would have been unlawful under section 9(a),
or any rule or regulation heretofore or hereafter prescribed thereunder, if done
or omitted to be done with respect to a security registered on a national securities
exchange, and the use of any means or instrumentality of interstate commerce or
of the mails or of any facility of any national securities exchange to use or
employ any such device or contrivance in connection with the purchase or sale
of any such security is hereby prohibited.
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