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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of May 5, 2009
TITLE 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
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Definitions of terms used in the rules and regulations. |
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Business hours of the Commission. |
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Inspection of registration statements. |
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Non-disclosure of information obtained in the course of examinations and investigations. |
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Definition of ''rules and regulations'' as used in certain sections of the Act. |
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Definition of security issued under governmental obligations. |
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Definition of ''common trust fund'' as used in section 3(a)(2) of the Act. |
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Definition for purposes of section 5 of the Act, of ''sale'', ''offer'', ''offer to sell'', and ''offer for sale''. |
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Communications not deemed a prospectus. |
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Options material not deemed a prospectus. |
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Statements of additional information. |
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Notice of proposed registered offerings. |
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Materials not deemed an offer to sell or offer to buy nor a prospectus. |
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Notice of certain proposed unregistered offerings. |
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Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore. |
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Definition of certain terms in relation to assessable stock. |
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Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities. |
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Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. |
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Publications or distributions of research reports by brokers or dealers distributing securities. |
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Publications by brokers or dealers distributing asset-backed securities. |
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Definition of ''distribution'' in section 2(11) for certain transactions. |
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Definition of ''commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions'' in section 2(11), for certain transactions. |
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Definition of ''participates'' and ''participation,'' as used in section 2(11), in relation to certain transactions. |
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Definition of ''has purchased'', ''sells for'', ''participates'', and ''participation'', as used in section 2(11), in relation to certain transactions of foreign governments for war purposes. |
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Persons deemed not to be engaged in a distribution and therefore not underwriters. |
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Private resales of securities to institutions. |
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Reclassification of securities, mergers, consolidations and acquisitions of assets. |
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Rules under section 18 of the Act. |
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''Part of an issue'', ''person resident'', and ''doing business within'' for purposes of section 3(a)(11). |
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Definition of ''exchanged'' in section 3(a)(9), for certain transactions. |
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Definition of ''commission or other remuneration'' in section 3(a)(9), for certain transactions. |
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Safe harbor definition of certain ''annuity contracts or optional annuity contracts'' within the meaning of section 3(a)(8). |
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Definition of ''transactions by an issuer not involving any public offering'' in section 4(2), for certain transactions. |
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Offer or sale of certain fractional interests. |
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Definition of ''preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions. |
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Definition of ''preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders. |
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Definition of ''preceded by a prospectus'', as used in section 5(b)(2), in connection with certain transactions in standardized options. |
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Delivery of prospectuses to investors at the same address. |
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Integration of abandoned offerings. |
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Investment company sales literature. |
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Small entities under the Securities Act for purposes of the Regulatory Flexibility Act. |
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Definitions of certain terms in the last paragraph of section 11(a). |
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Information available to purchaser at time of contract of sale. |
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Certain definitions for purposes of section 12(a)(2) of the Act. |
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Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act. |
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Amendments to rules and regulations governing exemptions. |
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Submission of tenders in registered exchange offers. |
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Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. |
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Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed. |
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Post-filing free writing prospectuses in connection with certain registered offerings. |
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Offers made in connection with a business combination transaction. |
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Exemption from section 5(c) for certain communications in connection with business combination transactions. |
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Communications in connection with certain registered offerings of asset-backed securities. |
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Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information. |
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Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. |
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Prohibition of use of certain financial statements. |
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Disclosure detrimental to the national defense or foreign policy. |
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Delivery of prospectuses. |
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Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. |
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Liability for certain statements by issuers. |
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Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act. |
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Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. |
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Registration of underlying securities in asset-backed securities transactions. |
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Definition of ''issuer'' in section 2(a)(4) of the Act in relation to asset-backed securities. |
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Exemption of shares offered in connection with certain transactions. |
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Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts. |
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Exemption for standardized options. |
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Temporary exemption for eligible credit default swaps. |
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Solicitation of interest document for use prior to an offering statement. |
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Preliminary Offering Circulars. |
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Filing of sales material. |
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Reports of sales and use of proceeds. |
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Suspension of the exemption. |
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Withdrawal or abandonment of offering statements. |
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Insignificant deviations from a term, condition or requirement of Regulation A. |
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Disqualification provisions. |
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Consent to Service of Process. |
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Application of 230.400 to 230.494, inclusive. |
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Requirements as to proper form. |
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Requirements as to proper form. |
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Number of copies; binding; signatures. |
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Requirements as to paper, printing, language and pagination. |
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Preparation of registration statement. |
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Confidential treatment of information filed with the Commission. |
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Information unknown or not reasonably available. |
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Incorporation by reference. |
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Modified or superseded documents. |
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Registration of additional securities and additional classes of securities. |
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Registration by certain successor issuers. |
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Delayed or continuous offering and sale of securities. |
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Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans. |
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Date of financial statements. |
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Supplemental information. |
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Offerings by blank check companies. |
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Legibility of prospectus. |
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Presentation of information in prospectuses. |
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Filing of prospectuses, number of copies. |
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Filing of certain prospectuses and communications under 230.135 in connection with business combination transactions. |
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Filing of certain prospectuses under 230.167 in connection with certain offerings of asset-backed securities. |
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Contents of prospectus used after nine months. |
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Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8. |
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Prospectus relating to several registration statements. |
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Prospectus for use prior to effective date. |
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Prospectus in a registration statement at the time of effectiveness. |
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Prospectus in a registration statement after effective date. |
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Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date. |
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Additional information required to be included in prospectuses relating to tender offers. |
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Conditions to permissible post-filing free writing prospectuses. |
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Consents required in special cases. |
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Application to dispense with consent. |
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Consents of persons about to become directors. |
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Consent to use of material incorporated by reference. |
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Date of filing; timing of fee payment. |
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Calculation of effective date. |
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Distribution of preliminary prospectus. |
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Acceleration of effective date. |
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Immediate effectiveness of certain registration statements and post-effective amendments. |
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Report of offering of securities and use of proceeds therefrom. |
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Effective date of post-effective amendments to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2 and F-3. |
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Effective date of certain registration statements on Form F-6. |
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Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-9, F-10 and F-80. |
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Formal requirements for amendments. |
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Signatures to amendments. |
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Filing of amendments; number of copies. |
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Date of filing of amendments. |
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Amendment filed with consent of Commission. |
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Certain pre-effective amendments deemed filed with the consent of the Commission. |
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Amendment filed pursuant to order of Commission. |
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Withdrawal of registration statement or amendment. |
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Powers to amend or withdraw registration statement. |
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Procedure with respect to abandoned registration statements and post-effective amendments. |
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Information required in prospectuses. |
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Advertising by an investment company as satisfying requirements of section 10. |
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Exhibits for certain registration statements. |
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Undertaking required in certain registration statements. |
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Effective date of post-effective amendments filed by certain registered investment companies. |
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Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. |
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Effectiveness of registration statements filed by certain unit investment trusts. |
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Effective date of registration statements relating to securities to be issued in certain business combination transactions. |
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Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. |
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Information to be furnished under paragraph (3) of Schedule B. |
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Information to be furnished under paragraph (6) of Schedule B. |
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Omissions from prospectuses. |
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Additional Schedule B disclosure and filing requirements. |
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Preparation of registration statement. |
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Contents of prospectus and statement of additional information used after nine months. |
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Filing of investment company prospectuses--number of copies. |
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Summary Prospectuses for open-end management investment companies. |
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Definitions and terms used in Regulation D. |
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General conditions to be met. |
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Filing of notice of sales. |
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Exemption for limited offerings and sales of securities not exceeding $1,000,000. |
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Exemption for limited offers and sales of securities not exceeding $5,000,000. |
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Exemption for limited offers and sales without regard to dollar amount of offering. |
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Disqualifying provision relating to exemptions under 230.504, 230.505 and 230.506. |
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Insignificant deviations from a term, condition or requirement of Regulation D. |
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Definitions of terms used in 230.601 to 230.610a. |
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Amount of securities exempted. |
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Filing of notification on Form 1-E. |
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Filing and use of the offering circular. |
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Offering not in excess of $100,000. |
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Sales material to be filed. |
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Prohibition of certain statements. |
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Reports of sales hereunder. |
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Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies. |
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Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. |
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Definitions for 230.800, 230.801 and 230.802. |
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Exemption in connection with a rights offering. |
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Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. |
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Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities. |
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Exemption for transactions exempt from qualification under 25102(n) of the California Corporations Code. |
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February 27, 2007< !-- #EndDate -- >-->
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