Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.240.16a–9 Stock splits, stock dividends, and pro rata rights

(a) The increase or decrease in the number of securities held as a result of a stock split or stock dividend applying equally to all securities of a class, including a stock dividend in which equity securities of a different issuer are distributed;  and

(b) The acquisition of rights, such as shareholder or pre-emptive rights, pursuant to a pro rata grant to all holders of the same class of equity securities registered under section 12 of the Act.