Exemption of Certain Issuers From Section 15(<span class="standard">d</span>) of the Act

1. CFR
2. ›
3. Title 17
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5. Chapter II
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7. Part 240
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9. Subpart A
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11. Subject Group Exemption of Certain Issuers From Section 15(<span class="standard">d</span>) of the Act

Sections

• 240.15d-21
  § 240.15d-21 Reports for employee stock purchase, savings and similar plans.
• 240.15d-22
  § 240.15d-22 Reporting regarding asset-backed securities under section 15(d) of the Act.
• 240.15d-23
  § 240.15d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.
• 240.15g-1
  § 240.15g-1 Exemptions for certain transactions.
• 240.15g-2
  § 240.15g-2 Penny stock disclosure document relating to the penny stock market.
• 240.15g-3
  § 240.15g-3 Broker or dealer disclosure of quotations and other information relating to the penny stock market.
• 240.15g-4
  § 240.15g-4 Disclosure of compensation to brokers or dealers.
• 240.15g-5
  § 240.15g-5 Disclosure of compensation of associated persons in connection with penny stock transactions.
• 240.15g-6
  § 240.15g-6 Account statements for penny stock customers.
• 240.15g-8
  § 240.15g-8 Sales of escrowed securities of blank check companies.
• 240.15g-9
  § 240.15g-9 Sales practice requirements for certain low-priced securities.
• 240.15g-100
  § 240.15g-100 Schedule 15G—Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.
• 240.15l-1
  § 240.15l-1 Regulation best interest.