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Registration and Exemption of Exchanges
X9A61 Scope of regulation
16 other sections not shown
account of customers action amendment amount application for registration application or report arbitrage assets becomes effective beneficial owner broker or dealer certificate copies thereof deemed device or contrivance directly or indirectly director or officer document effective date equity security exempt security Exemption From Section exhibits filed pursuant Form 8-K form of proxy hypothecation incorporated by reference investment adviser issuance issuer listed and registered loan material ment merger or consolidation national securities exchange operation of section options otherwise partner period power of attorney prior promptly proxy statement purchase or sale pursuant to paragraph pursuant to Rule pursuant to section registration statement report pursuant rules and regulations section 16 Securities Act securities carried Securities Exchange Act security holders Service of Process settlor specified stabilizing suant subsidiary taken with respect term manipulative thereto tion transaction trust unless unlisted trading privileges vote