LAWS Securities Exchange Act of 1934 REGISTRATION & REPORTING Regulation 12B (Rules 12b-1 to 12b-37) Exemptions & Definitions (Rules 12g-1 to 12h-5) Foreign Private Issuer & ADR Exemptions (Rule 12g3-2) Regulation 13A: Reporting (Rules 13a-1 to 13a-17) PROXY AND INFORMATION STATEMENTS Regulation 14A Proxy Rules Schedule 14A Proxy Disclosure Requirements Regulation 14C Information Statements Schedule 14C Information Statement Disclosure SECTION 16 OWNERSHIP REPORTS & LIABILITY Section 16(a) Reports (Rules 16a-1 to 16a-13) Section 16(b) Exemptions (Rules 16b-1 to 16b-8) Section 16(c) Exemptions (Rules 16c-1 to Rule 16c-4) FAQ on Section 16 Electronic Reporting Form 3 Initial Statement of Beneficial Ownership Form 3 General Instructions Form 4 Statement of Changes in Beneficial Ownership Form 4 General Instructions Form 5 Annual Statement of Beneficial Ownership Form 5 General Instructions BENEFICIAL OWNERSHIP REPORTS Regulation 13D Schedule 13D Statement of Beneficial Ownership Schedule 13G Statement of Beneficial Ownership SELECTIVE DISCLOSURE REGULATION Regulation FD - Fair Disclosure ANTI-MARKET MANIPULATION RULES Regulation M ISSUER REPURCHASES & GOING PRIVATE TRANSACTIONS Issuer Purchases During Tender Offer (Rule 13e-1) Going Private Transactions (Rule 13e-3) Going Private Transaction Statement (Schedule 13E-3) Issuer Tender Offers (Rule 13e-4) Schedule 13E-4F Foreign Issuer Tender Offer Statement TENDER OFFER RULES & REGULATIONS Regulation 14D Tender Offer Rules Schedule TO Tender Offer Statement Schedule 14D-9 Solicitation/Recommendation Statement Schedule 14D-1F Tender Offer Statement Schedule 14D-9F Solicitation/Recommendation statement Regulation 14E Unlawful Tender Offer Practices Rule 14f-1 Change in Majority of Directors OTHER EXCHANGE ACT RULES General Rules (Rules 0-1 to 3a5-1) Definition of "Equity Security" (Rule 3a11-1) Miscellaneous Exemptions (Rules 3a12-1 to 3a55-3) Definitions (Rules 3b-1 to 3b-18) Reports Under Section 10 (Rules 10A-1 to 10A-3) Registration-Exempt Securities (Rules 12a-4 to 12a-9) Certification by Exchanges (Rules 12d1-1 to 12d1-6) Trading Suspension & Delisting (Rules 12d2-1 to 12d2-2) Unlisted Trading (Rules 12f-1 to 12f-6) Records & Required Reports (Rules 13b2-1 to 13b2-2) More . . . EXCHANGE ACT REGISTRATION FORMS  Form 10 General Form for Registration Form 10-SB Registration for Small Business Issuers Form 8-A Registration Statement Form 20-F Registration for Foreign Private Issuers Form 40-F Registration for Foreign Private Issuers PERIODIC REPORTING FORMS  Form 10-K Annual Report Form 10-Q Quarterly Report Form 8-K Current Report Form 11-K Annual Report Form 40-F Annual Report SMALL BUSINESS ISSUER REPORTING FORMS Form 10-KSB Annual Report Form 10-QSB Quarterly Report FOREIGN PRIVATE ISSUER REPORTING FORMS  Form 20-F Annual Report for Foreign Private Issuers Form 6-K Report of Foreign Private Issuer STANDARD DISCLOSURE INSTRUCTIONS  Regulation S-K Standard Disclosure Instructions Regulation S-B Small-Business Disclosure Instructions Regulation M-A Disclosure About Mergers & Acquisitions INDUSTRY DISCLOSURE GUIDES Industry Guides ACCOUNTING RULES  Regulation S-X Accounting Rules Reg. S-B Item 310(b) for Small-Business Issuers LATE FILING NOTIFICATION  Form 12b-25 Late Filing Notification Rule 12b-25 TERMINATION OF REGISTRATION OR SUSPENSION OF REPORTING Form 15 Certification of Termination or Suspension MARKET REGULATION RESOURCES Exemptive Orders Guide to Broker-Dealer Registration Bank Dealer Compliance Guide Broker-Dealer Net Capital & Books and Records Guidance Mini-Tender Offers: Broker-Dealer Guidance Credit Rating Agency Resources Order Execution Quality Statistics Advisory Committee on Market Information PENSION FUND BLACKOUT TRADING RESTRICTION Regulation BTR - Blackout Trading Restriction