Manipulative and Deceptive Devices and Contrivances

Rule 9j-1 — Prohibition against fraud, manipulation, or deception in connection with security-based swaps.

Rule 10a-1 — [Reserved]

Rule 10a-2 — [Reserved]

Rule 10b-1 — Prohibition of Use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.

Rule 10b-2 — [Reserved]

Rule 10b-3 — Employment of manipulative and deceptive devices by brokers or dealers.

Rule 10b-4 — [Reserved]

Rule 10b-5 — Employment of manipulative and deceptive devices.

Rule 10b5-1 — Trading “on the basis of” material nonpublic information in insider trading cases.

Rule 10b5-2 — Duties of trust or confidence in misappropriation insider trading cases.

Rule 10b-6 — Through Rule 10b-8 [Reserved]

Rule 10b-9 — Prohibited representations in connection with certain offerings.

Rule 10b-10 — Confirmation of transactions.

Rule 10b-13 — [Reserved]

Rule 10b-16 — Disclosure of credit terms in margin transactions.

Rule 10b-17 — Untimely announcements of record dates.

Rule 10b-18 — Purchases of certain equity securities by the issuer and others.

Rule 10b-21 — Deception in connection with a seller’s ability or intent to deliver securities on the date delivery is due.

Rule 10c-1a — Securities lending transparency.