§ 240.12a-4 Exemption of certain warrants from section 12(a)
§ 240.12a-5 Temporary exemption of substituted or additional securities
§ 240.12a-6 Exemption of securities underlying certain options from section 12(a)
§ 240.12a-7 Exemption of stock contained in standardized market baskets from section 12(a) of the Act
§ 240.12a-8 Exemption of depositary shares
§ 240.12a-9 Exemption of standardized options from section 12(a) of the Act
§ 240.12a-10 Exemption of security-based swaps from section 12(a) of the Act
§ 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

Terms Used In CFR > Title 17 > Chapter II > Part 240 > Subpart A > Securities Exempted From Registration

  • amount: when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security. See 17 CFR 240.12b-2
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • charter: includes articles of incorporation, declarations of trust, articles of association or partnership, or any similar instrument, as amended, effecting (either with or without filing with any governmental agency) the organization or creation of an incorporated or unincorporated person. See 17 CFR 240.12b-2
  • Contract: A legal written agreement that becomes binding when signed.
  • Dependent: A person dependent for support upon another.
  • Fair market value: The price at which an asset would change hands in a transaction between a willing, informed buyer and a willing, informed seller.
  • statement: when used with reference to registration pursuant to section 12 of the act, includes both an application for registration of securities on a national securities exchange pursuant to section 12(b) of the act and a registration statement filed pursuant to section 12(g) of the act. See 17 CFR 240.12b-2