Chapter 26-A14: INSIDER TRADING, DC Regulations

Chapter: 26-A14

INSIDER TRADING

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Total Records: 24

Rule Number	Rule Heading	Latest Version	Effective Date
26-A1400	SECURITIES "HELD OF RECORD"
26-A1401	TRANSACTIONS EXEMPTED FROM THE OPERATION OF SECTION 3(B) OF THE ACT
26-A1402	FILING OF STATEMENTS
26-A1403	OWNERSHIP OF MORE THAN TEN PER CENT OF AN EQUITY SECURITY
26-A1404	DISCLAIMER OF BENEFICIAL OWNERSHIP
26-A1405	EXEMPTIONS FROM SECTIONS 3(A) AND 3(B)
26-A1406	EXEMPTION FROM THE ACT OF SECURITIES PURCHASED OR SOLD BY ODD-LOT DEALERS
26-A1407	CERTAIN TRANSACTIONS SUBJECT TO SECTION 3(A) OF THE ACT
26-A1408	OWNERSHIP OF SECURITIES HELD IN TRUST
26-A1409	EXEMPTION FOR SMALL TRANSACTIONS
26-A1410	EXEMPTION FROM SECTION 3(B) OF THE ACT OF TRANSACTIONS WHICH NEED NOT BE REPORTED UNDER SECTION 3(A)
26-A1411	EXEMPTION FROM SECTION 3(B) OF CERTAIN TRANSACTIONS EFFECTED IN CONNECTION WITH A DISTRIBUTION
26-A1412	EXEMPTION FROM SECTION 3(B) OF ACQUISITIONS OF SHARES OF STOCK AND STOCK OPTIONS UNDER CERTAIN STOCK BONUS, STOCK OPTION OR SIMILAR PLANS
26-A1413	EXEMPTION FROM SECTION 3(B) OF CERTAIN TRANSACTIONS IN WHICH SECURITIES ARE RECEIVED BY REDEEMING OTHER SECURITIES
26-A1414	EXEMPTION OF LONG TERM PROFITS INCIDENT TO SALES WITHIN SIX MONTHS OF THE EXERCISE OF AN OPTION
26-A1415	EXEMPTION FROM SECTION 3(B) OF CERTAIN ACQUISITIONS AND DISPOSITIONS OF SECURITIES PURSUANT TO MERGER OR CONSOLIDATIONS
26-A1416	EXEMPTION FROM SECTION 3(B) OF CERTAIN SECURITIES RECEIVED UPON SURRENDER OF SIMILAR EQUITY SECURITIES
26-A1417	EXEMPTION FROM SECTION 3(B) OF CERTAIN TRANSACTIONS INVOLVING AN EXCHANGE OF SIMILAR SECURITIES
26-A1418	EXEMPTION OF CERTAIN SECURITIES FROM SECTION 3(C) OF THE ACT
26-A1419	EXEMPTION FROM SECTION 3(C) OF THE ACT OF CERTAIN TRANSACTIONS EFFECTED IN CONNECTION WITH A DISTRIBUTION
26-A1420	EXEMPTION FROM SECTION 3(C) OF THE ACT OF SALES OF SECURITIES TO BE ACQUIRED
26-A1421	ARBITRAGE TRANSACTIONS UNDER SECTION 3(E) OF THE ACT
26-A1422	AUTHORITY AND EFFECTIVE DATE
26-A1499	DEFINITIONS