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CHAPTER 20:06:04

INSIDER TRADING OF EQUITY SECURITIES

Section

20:06:04:01        Definitions.

20:06:04:02        Securities held of record.

20:06:04:03        Securities held in trust, deposit agreements.

20:06:04:04        When beneficial owners are record owners.

20:06:04:05        Determination of ownership of more than 10 percent of an equity security.

20:06:04:06        Disclaimer of beneficial ownership.

20:06:04:07        Exemptions from statements of ownership filings and restrictions on profits.

20:06:04:08        Profits in estates.

20:06:04:09        Securities reacquired for account of an insurer.

20:06:04:10        Exemption of securities purchased or sold by odd lot dealers.

20:06:04:11        Certain transactions subject to statements of ownership filings.

20:06:04:12        Ownership of securities held in trust.

20:06:04:13        Exemptions from statements of ownership filings.

20:06:04:14        Trust filing requirement.

20:06:04:15        Trustee report.

20:06:04:16        Definition of trustee.

20:06:04:17        Determination of beneficial owner.

20:06:04:18        Indirect interests.

20:06:04:19        Prior transactions.

20:06:04:20        Exemption for small transactions.

20:06:04:21        Gifts.

20:06:04:22        First report after transaction.

20:06:04:23        Exemption from restrictions on profits, transactions which need not be reported under statements of ownership filings.

20:06:04:24        Exemption from restrictions on profits of certain transactions effected in connection with a distribution.

20:06:04:25        Exemption from restrictions on profits of acquisitions of shares of stock and stock options under certain stock bonus, stock option, or similar plans.

20:06:04:26        Participation of officers.

20:06:04:27        Participation of directors.

20:06:04:28        Participation of officers who are not directors.

20:06:04:29        Exclusions of options and equity securities acquired.

20:06:04:30        Limitations.

20:06:04:31        Additional definitions.

20:06:04:32        Exemption from restrictions on profits of certain transactions in which securities are received by redeeming other securities.

20:06:04:33        Exemption of long-term profits incident to sales within six months of the exercise of an option.

20:06:04:34        Limitations on profits.

20:06:04:35        Exemption of plans or agreements of merger.

20:06:04:36        Excluded.

20:06:04:37        Establishing market price.

20:06:04:38        Exemption from restrictions on profits of certain acquisitions and dispositions of securities pursuant to merger or consolidations.

20:06:04:39        Merger defined.

20:06:04:40        Availability of exemption.

20:06:04:41        Exemption from restrictions on profits of certain securities received upon surrender of similar equity securities.

20:06:04:42        Exemption from restrictions on profits of certain transactions involving an exchange of similar securities.

20:06:04:43        Exemption of certain securities from insider trading.

20:06:04:44        Exemption from insider trading of the act of certain transactions effected in connection with a distribution.

20:06:04:45        Exemption from insider trading of the act of sales of securities to be acquired.

20:06:04:46        Arbitrage transactions under insider trading.

20:06:04:47        Approval of forms.


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