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