17 CFR 240.10b-1 - Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration.
The term manipulative or deceptive device or contrivance, as used in section 10(b) ( 48 Stat. 891; 15 U.S.C. 78j(b)), is hereby defined to include any act or omission to act with respect to any security exempted from the operation of section 12(a) ( 48 Stat. 892; 15 U.S.C. 78l(a)) pursuant to any section in this part which specifically provides that this section shall be applicable to such security if such act or omission to act would have been unlawful under section 9(a) ( 48 Stat. 889; 15 U.S.C. 78i(a)), or any rule or regulation heretofore or hereafter prescribed thereunder, if done or omitted to be done with respect to a security registered on a national securities exchange, and the use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange to use or employ any such device or contrivance in connection with the purchase or sale of any such security is hereby prohibited.
- 17 CFR 229.703 — Purchases of Equity Securities by the Issuer and Affiliated Purchasers.
- 17 CFR 230.172 — Delivery of Prospectuses.
- 17 CFR 200.30-3 — Delegation of Authority to Director of Division of Trading and Markets.
- 17 CFR 242.600 — NMS Security Designation and Definitions.
- 17 CFR 230.425 — Filing of Certain Prospectuses and Communications Under § 230.135 in Connection With Business Combination Transactions.
- 17 CFR 230.426 — Filing of Certain Prospectuses Under § 230.167 in Connection With Certain Offerings of Asset-Backed Securities.
- 17 CFR 240.12a-5 — Temporary Exemption of Substituted or Additional Securities.
- 17 CFR 240.12a-4 — Exemption of Certain Warrants From Section 12(a).
- 17 CFR 240.10b-3 — Employment of Manipulative and Deceptive Devices by Brokers or Dealers.