Securities Exempted From Registration

Sections

• 240.12a-4
  § 240.12a-4 Exemption of certain warrants from section 12(a).
• 240.12a-5
  § 240.12a-5 Temporary exemption of substituted or additional securities.
• 240.12a-6
  § 240.12a-6 Exemption of securities underlying certain options from section 12(a).
• 240.12a-7
  § 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
• 240.12a-8
  § 240.12a-8 Exemption of depositary shares.
• 240.12a-9
  § 240.12a-9 Exemption of standardized options from section 12(a) of the Act.
• 240.12a-10
  § 240.12a-10 Exemption of security-based swaps from section 12(a) of the Act.
• 240.12a-11
  § 240.12a-11 Exemption of security-based swaps sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.