§ 240.12f-1 Applications for permission to reinstate unlisted trading privileges.  


Latest version.
  • (a) An application to reinstate unlisted trading privileges may be made to the Commission by any national securities exchange for the extension of unlisted trading privileges to any security for which such unlisted trading privileges have been suspended by the Commission, pursuant to section 12(f)(2)(A) of the Act (15 U.S.C. 78l(2)(A)). One copy of such application, executed by a duly authorized officer of the exchange, shall be filed and shall set forth:

    (1) Name of issuer;

    (2) Title of security;

    (3) The name of each national securities exchange, if any, on which such security is listed or admitted to unlisted trading privileges;

    (4) Whether transaction information concerning such security is reported pursuant to an effective transaction reporting plan contemplated by §242.601 of this chapter;

    (5) The date of the Commission's suspension of unlisted trading privileges in the security on the exchange;

    (6) Any other information which is deemed pertinent to the question of whether the reinstatement of unlisted trading privileges in such security is consistent with the maintenance of fair and orderly markets and the protection of investors; and

    (7) That a copy of the instant application has been mailed, or otherwise personally provided, to the issuer of the securities for which unlisted trading privileges are sought and to each exchange listed in item (3) of this section.

    [44 FR 75134, Dec. 19, 1979, as amended at 45 FR 12390, Feb. 26, 1980; 45 FR 36076, May 29, 1980; 60 FR 20896, Apr. 28, 1995; 70 FR 37618, June 29, 2005]