Section 16 Of The Securities Exchange Act Of 1934

The rules under section 16 of the act apply to any class of equity securities of an issuer whether or not registered under section 12 of the act. Section 1 short title section 2 necessity for regulation section 3 definitions and application section 3a swap agreements section 3b securities related deriviatives section 3c clearing for security based swaps section 3d security based swap execution facilities section 3e segregation of assets held as collateral in security based swap transations section 4 securities. The rules under section 16 of the act also apply to non equity securities as provided by the investment company act of 1940.

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Section 16 a directors officers and principal stockholders required to file a disclosures required 1 directors officers and principal stockholders required to file every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security other than an exempted security which is registered pursuant to section 16 l of the securities.

Section 16 of the securities exchange act of 1934. Section 16 is a rule within the securities exchange act of 1934 sea that articulates the regulatory filing responsibilities that directors officers and principal stockholders are legally. With respect to transactions by persons subject to section 16 of the act.

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