Miscellaneous Exemptions

Sections

• 240.3a12-1
  § 240.3a12-1 Exemption of certain mortgages and interests in mortgages.
• 240.3a12-2
  § 240.3a12-2 [Reserved]
• 240.3a12-3
  § 240.3a12-3 Exemption from sections 14(a), 14(b), 14(c), 14(f), 16(b) and 16(c) for securities of certain foreign issuers.
• 240.3a12-4
  § 240.3a12-4 Exemptions from sections 15(a) and 15(c)(3) for certain mortgage securities.
• 240.3a12-5
  § 240.3a12-5 Exemption of certain investment contract securities from sections 7(c) and 11(d)(1).
• 240.3a12-6
  § 240.3a12-6 Definition of “common trust fund” as used in section 3(a)(12) of the Act.
• 240.3a12-7
  § 240.3a12-7 Exemption for certain derivative securities traded otherwise than on a national securities exchange.
• 240.3a12-8
  § 240.3a12-8 Exemption for designated foreign government securities for purposes of futures trading.
• 240.3a12-9
  § 240.3a12-9 Exemption of certain direct participation program securities from the arranging provisions of sections 7(c) and 11(d)(1).
• 240.3a12-10
  § 240.3a12-10 Exemption of certain securities issued by the Resolution Funding Corporation.
• 240.3a12-11
  § 240.3a12-11 Exemption from sections 8(a), 14(a), 14(b), and 14(c) for debt securities listed on a national securities exchange.
• 240.3a12-12
  § 240.3a12-12 Exemption from certain provisions of section 16 of the Act for asset-backed securities.
• 240.3a40-1
  § 240.3a40-1 Designation of financial responsibility rules.
• 240.3a43-1
  § 240.3a43-1 Customer-related government securities activities incidental to the futures-related business of a futures commission merchant registered with the Commodity Futures Trading Commission.
• 240.3a44-1
  § 240.3a44-1 Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person.
• 240.3a44-2
  § 240.3a44-2 Further definition of “as a part of a regular business” in connection with certain liquidity providers.
• 240.3a51-1
  § 240.3a51-1 Definition of “penny stock”.
• 240.3a55-1
  § 240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
• 240.3a55-2
  § 240.3a55-2 Indexes underlying futures contracts trading for fewer than 30 days.
• 240.3a55-3
  § 240.3a55-3 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
• 240.3a55-4
  § 240.3a55-4 Exclusion from definition of narrow-based security index for indexes composed of debt securities.