1934 Act

Selective Provisions Under the Securities Exchange Act of 1934

Section 3(a)(4). Definition of Broker
Section 3(a)(5). Definition of Dealer
Section 3(a)(6). Definition of Bank
Section 10. Regulation of the Use of Manipulative and Devices
Section 13(d). 13D Reports
Section 13(f). Insitutional Investment Management Reports
Section 13(g). 13G Reports
Section 15(a). Broker-Dealer Registration Requirement
Section 16. Director/Officer/Insider Reports
Section 28(e). Research Services in Exchange for Brokerage

Selective Rules Under the Securities Exchange Act of 1934

Rule 3a4-1. Associated Persons of an Issuer Deemed Not to be Brokers
Rule 3b-9. Definition of "Bank" for Purposes of Sections 3(a)(4) and 3(a)(5)
Rule 10b-5. Employment of Manipulative and Deceptive Devices
Rule 13d-1. Filing of Schedule 13D and 13G
Rule 13d-2. Filing of Amendments to Schedule 13D and 13G
Rule 13d-3. Determination of Beneficial Ownership
Rule 13d-4. Disclaimer of Beneficial Ownership
Rule 13d-5. Acquisition of Securities
Rule 13d-6. Exemption of Certain Acquisitions
Rule 13d-7. Dissemination
Rule 13f-1. Reporting by Institutional Investment Managers
Rule 13f-2. EDGAR Filing of Form 13F Reports
Rule 16a-1. Definition of Terms
Rule 16a-2. Persons and Transactions Subject to Section 16
Rule 16a-3. Reporting Transactions and Holdings
Rule 16a-4. Derivative Securities
Rule 16a-5. Odd-Lot Dealers
Rule 16a-6. Small Acquisitions
Rule 16a-7. Transactions Effected in Connection with a Distribution
Rule 16a-8. Trusts
Rule 16a-9. Stock Splits, Stock Dividends and Pro Rata Rights
Rule 16a-10. Exemptions Under Section 16(a)
Rule 16a-11. Dividend or Interest Reinvestment Plans
Rule 16a-12. Domestic Relations Orders
Rule 16a-13. Change in Form of Beneficial Ownership
Rule 16b-1. Transactions Approved by a Regulatory Authority
Rule 16b-3. Transactions Between Issuers and its Officers or Directors
Rule 16b-5. Bona Fide Gifts and Inheritance
Rule 16b-6. Derivative Securities
Rule 16b-7. Mergers, Reclassifications and Consolidations
Rule 16b-8. Voting Trusts
Rule 16c-1. Brokers
Rule 16c-2. Transactions Effected in Connection With a Distribution
Rule 16c-3. Exemption of Sales of Securities to be Acquired
Rule 16c-4. Derivative Securities