Rules of General Application (Rules 0-1 to 3a5-3)

Rule 0-1 — Definitions.

Rule 0-2 — Business hours of the commission.

Rule 0-3 — Filing of material with the commission.

Rule 0-4 — Nondisclosure of information obtained in examinations and investigations.

Rule 0-5 — Reference to rule by obsolete designation.

Rule 0-6 — Disclosure detrimental to the national defense or foreign policy.

Rule 0-8 — Application of rules to registered broker-dealers.

Rule 0-9 — Payment of fees.

Rule 0-10 — Small entities for purposes of the Regulatory Flexibility Act.

Rule 0-11 — Filing fees for certain acquisitions, dispositions and similar transactions.

Rule 0-12 — Commission procedures for filing application for orders for exemptive relief pursuant to Section 36 of the Exchange Act.

Rule 0-13 — Commission procedures for filing applications to request a substituted compliance order under the Exchange Act.

Rule 3a1-1 — Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.

Rule 3a4-1 — Associated persons of an issuer deemed not to be brokers.

Rule 3a4-2 — [Reserved]

Rule 3a4-3 — [Reserved]

Rule 3a4-4 — [Reserved]

Rule 3a4-5 — [Reserved]

Rule 3a4-6 — [Reserved]

Rule 3a5-1 — Exemption from the definition of “dealer” for a bank engaged in riskless principal transactions.

Rule 3a5-2 — Exemption from the definition of “dealer” for banks effecting transactions pursuant to Regulation S.

Rule 3a5-3 — Exemption from the definition of “dealer” for banks engaging in securities lending transactions.