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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![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.100 |
Definitions of terms used in the rules and regulations. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.110 |
Business hours of the Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.111 |
Payment of fees. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.120 |
Inspection of registration statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.122 |
Non-disclosure of information obtained in the course of examinations and investigations. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.130 |
Definition of ``rules and regulations'' as used in certain sections of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.131 |
Definition of security issued under governmental obligations. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.132 |
Definition of ``common trust fund'' as used in section 3(a)(2) of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.133 |
Definition for purposes of section 5 of the Act, of ``sale'', ``offer'', ``offer to sell'', and ``offer for sale''. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.134 |
Communications not deemed a prospectus. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.134a |
Options material not deemed a prospectus. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.134b |
Statements of additional information. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.135 |
Notice of proposed registered offerings. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.135a |
Generic advertising. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.135b |
Materials not deemed an offer to sell or offer to buy. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.135c |
Notice of certain proposed unregistered offerings. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.135e |
Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.136 |
Definition of certain terms in relation to assessable stock. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.137 |
Definition of ``offers'', ``participates'', or ``participation'' in section 2(11) in relation to certain publications by persons independent of participants in a distribution. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.138 |
Definition of ``offer for sale'' and ``offer to sell'' in sections 2(10) and 5(c) in relation to certain publications. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.139 |
Definition of ``offer for sale'' and ``offer to sell'' in sections 2(10) and 5(c) in relation to certain publications. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.140 |
Definition of ``distribution'' in section 2(11) for certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.141 |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.142 |
Definition of ``participates'' and ``participation,'' as used in section 2(11), in relation to certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.143 |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.144 |
Persons deemed not to be engaged in a distribution and therefore not underwriters. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.144A |
Private resales of securities to institutions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.145 |
Reclassification of securities, mergers, consolidations and acquisitions of assets. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.146 |
Rules under section 18 of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.147 |
``Part of an issue'', ``person resident'', and ``doing business within'' for purposes of section 3(a)(11). |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.149 |
Definition of ``exchanged'' in section 3(a)(9), for certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.150 |
Definition of ``commission or other remuneration'' in section 3(a)(9), for certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.151 |
Safe harbor definition of certain ``annuity contracts or optional annuity contracts'' within the meaning of section 3(a)(8). |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.152 |
Definition of ``transactions by an issuer not involving any public offering'' in section 4(2), for certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.152a |
Offer or sale of certain fractional interests. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.153 |
Definition of ``preceded by a prospectus'', as used in section 5(b)(2), in relation to certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.153a |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.153b |
Definition of ``preceded by a prospectus'', as used in section 5(b)(2), in connection with certain transactions in standardized options. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.154 |
Delivery of prospectuses to investors at the same address. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.156 |
Investment company sales literature. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.157 |
Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
|
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.158 |
Definitions of certain terms in the last paragraph of section 11(a). |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.161 |
Amendments to rules and regulations governing exemptions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.162 |
Submission of tenders in registered exchange offers. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.165 |
Offers made in connection with a business combination transaction. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.166 |
Exemption from section 5(c) for certain communications in connection with business combination transactions.
|
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.170 |
Prohibition of use of certain financial statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.171 |
Disclosure detrimental to the national defense or foreign policy. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.174 |
Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.175 |
Liability for certain statements by issuers. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.176 |
Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.180 |
Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.215 |
Accredited investor. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.236 |
Exemption of shares offered in connection with certain transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.251 |
Scope of exemption. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.252 |
Offering statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.253 |
Offering circular. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.254 |
Solicitation of interest document for use prior to an offering statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.255 |
Preliminary Offering Circulars. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.256 |
Filing of sales material. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.257 |
Reports of sales and use of proceeds. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.258 |
Suspension of the exemption. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.259 |
Withdrawal or abandonment of offering statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.260 |
Insignificant deviations from a term, condition or requirement of Regulation A. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.261 |
Definitions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.262 |
Disqualification provisions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.263 |
Consent to Service of Process. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.400 |
Application of 230.400 to 230.494, inclusive. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.401 |
Requirements as to proper form. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.402 |
Number of copies; binding; signatures. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.403 |
Requirements as to paper, printing, language and pagination. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.404 |
Preparation of registration statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.405 |
Definitions of terms. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.405 |
Definitions of terms. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.406 |
Confidential treatment of information filed with the Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.408 |
Additional information. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.409 |
Information unknown or not reasonably available. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.410 |
Disclaimer of control. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.411 |
Incorporation by reference. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.412 |
Modified or superseded documents. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.413 |
Registration of additional securities. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.414 |
Registration by certain successor issuers. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.415 |
Delayed or continuous offering and sale of securities. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.416 |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.417 |
Date of financial statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.418 |
Supplemental information. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.419 |
Offerings by blank check companies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.420 |
Legibility of prospectus. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.421 |
Presentation of information in prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.423 |
Date of prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.424 |
Filing of prospectuses, number of copies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.425 |
Filing of certain prospectuses and communications under 230.135 in connection with business combination transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.427 |
Contents of prospectus used after nine months. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.428 |
Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.429 |
Prospectus relating to several registration statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.430 |
Prospectus for use prior to effective date. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.430A |
Prospectus in a registration statement at the time of effectiveness. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.431 |
Summary prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.432 |
Additional information required to be included in prospectuses relating to tender offers. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.434 |
Prospectus delivery requirements in firm commitment underwritten offerings of securities for cash. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.434 |
Prospectus delivery requirements in firm commitment underwritten offerings of securities for cash. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.436 |
Consents required in special cases. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.437 |
Application to dispense with consent. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.438 |
Consents of persons about to become directors. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.439 |
Consent to use of material incorporated by reference. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.455 |
Place of filing. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.456 |
Date of filing. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.457 |
Computation of fee. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.459 |
Calculation of effective date. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.460 |
Distribution of preliminary prospectus. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.461 |
Acceleration of effective date. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.462 |
Immediate effectiveness of certain registration statements and post-effective amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.463 |
Report of offering of securities and use of proceeds therefrom. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.464 |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.466 |
Effective date of certain registration statements on Form F-6. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.467 |
Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-9, F-10 and F-80. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.470 |
Formal requirements for amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.471 |
Signatures to amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.472 |
Filing of amendments; number of copies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.473 |
Delaying amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.474 |
Date of filing of amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.475 |
Amendment filed with consent of Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.475a |
Certain pre-effective amendments deemed filed with the consent of the Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.476 |
Amendment filed pursuant to order of Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.477 |
Withdrawal of registration statement or amendment. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.478 |
Powers to amend or withdraw registration statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.479 |
Procedure with respect to abandoned registration statements and post-effective amendments. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.480 |
Title of securities. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.481 |
Information required in prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.482 |
Advertising by an investment company as satisfying requirements of section 10. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.483 |
Exhibits for certain registration statements, financial data schedule. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.484 |
Undertaking required in certain registration statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.485 |
Effective date of post-effective amendments filed by certain registered investment companies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.486 |
Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.487 |
Effectiveness of registration statements filed by certain unit investment trusts. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.488 |
Effective date of registration statements relating to securities to be issued in certain business combination transactions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.489 |
Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.490 |
Information to be furnished under paragraph (3) of Schedule B. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.491 |
Information to be furnished under paragraph (6) of Schedule B. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.492 |
Omissions from prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.493 |
Filing of opinions of counsel. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.494 |
Newspaper prospectuses. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.495 |
Preparation of registration statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.496 |
Contents of prospectus and statement of additional information used after nine months. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.497 |
Filing of investment company prospectuses--number of copies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.498 |
Profiles for certain open-end management investment companies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.501 |
Definitions and terms used in Regulation D. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.502 |
General conditions to be met. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.503 |
Filing of notice of sales. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.504 |
Exemption for limited offerings and sales of securities not exceeding $1,000,000. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.505 |
Exemption for limited offers and sales of securities not exceeding $5,000,000. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.506 |
Exemption for limited offers and sales without regard to dollar amount of offering. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.507 |
Disqualifying provision relating to exemptions under 230.504, 230.505 and 230.506. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.508 |
Insignificant deviations from a term, condition or requirement of RegulationD. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.601 |
Definitions of terms used in 230.601 to 230.610a. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.602 |
Securities exempted. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.603 |
Amount of securities exempted. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.604 |
Filing of notification on Form 1-E. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.605 |
Filing and use of the offering circular. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.606 |
Offering not in excess of $100,000. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.607 |
Sales material to be filed. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.608 |
Prohibition of certain statements. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.609 |
Reports of sales hereunder. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.610 |
Suspension of exemption. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.610a |
Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.701 |
Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
|
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.800 |
Definitions for 230.800, 230.801 and 230.802. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.801 |
Exemption in connection with a rights offering. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.802 |
Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.901 |
General statement. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.902 |
Definitions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.903 |
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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.904 |
Offshore resales. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.905 |
Resale limitations. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090511082735im_/http://www.access.gpo.gov/images/PDF.gif) | 230.1001 |
Exemption for transactions exempt from qualification under 25102(n) of the California Corporations Code. |