Regulation 12B – Registration and Reporting (Rules 12b-1 to 12b-37)

 

GENERAL

Rule 12b-1 — Scope of regulation.

Rule 12b-2 — Definitions.

Rule 12b-3 — Title of securities.

Rule 12b-4 — Supplemental information.

Rule 12b-5 — Determination of affiliates of banks.

Rule 12b-6 — When securities are deemed to be registered.

Rule 12b-7 — [Removed and reserved in Release 34-37692, effective October 7, 1996, 61 FR 49957.]

 

FORMAL REQUIREMENTS

Rule 12b-10 — Requirements as to proper form.

Rule 12b-11 — Number of copies; signatures; binding.

Rule 12b-12 — Requirements as to paper, printing and language.

Rule 12b-13 — Preparation of statement or report.

Rule 12b-14 — Riders; inserts.

Rule 12b-15 — Amendments.

 

GENERAL REQUIREMENTS AS TO CONTENTS

Rule 12b-20 — Additional information.

Rule 12b-21 — Information unknown or not available.

Rule 12b-22 — Disclaimer of control.

Rule 12b-23 — Incorporation by reference.

Rule 12b-24 — [Reserved]

Rule 12b-25 — Notification of inability to timely file all or any required portion of a Form 10-K, 10-KSB, 20-F, 11-K, N-SAR, N-CSR, Form 10-Q or Form 10-QSB.

 

EXHIBITS

Rule 12b-30 — Additional exhibits.

Rule 12b-31 — Omission of substantially identical documents.

Rule 12b-32 — [Reserved]

Rule 12b-33 — Annual reports to other Federal agencies.

 

SPECIAL PROVISIONS

Rule 12b-35 — [Reserved]

Rule 12b-36 — Use of financial statements filed under other acts.

Rule 12b-37 — Satisfaction of filing requirements.