Securities Exempted from Registration (Rules 12a-4 to 12a-11)
Rule 12a-4 — Exemption of certain warrants from section 12(a).
Rule 12a-5 — Temporary exemption of substituted or additional securities.
Rule 12a-6 — Exemption of securities underlying certain options from section 12(a).
Rule 12a-7 — Exemption of stock contained in standardized market baskets from section 12(a) of the Act.
Rule 12a-8 — Exemption of depositary shares.
Rule 12a-9 — Exemption of standardized options from section 12(a) of the Act.
Rule 12a-10 — Exemption of security-based swaps from section 12(a) of the act.
Rule 12a-11 — Exemption of security-based swaps sold in reliance of Securities Act of 1933 Rule 240 (§ 230.240) from section 12(a) of the Act.