17 CFR Part 230 — General Rules and Regulations, Securities Act of 1933 (SEC; incl. Regulation D private-placement exemptions)

Current as of 1 July 2024208 provisions

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["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.259 Withdrawal or abandonment of offering statements."]
§ 230.259 Withdrawal or abandonment of offering statements.
§ 230.259 Withdrawal or abandonment of offering statements. (a) Withdrawal . If none of the securities that are the subject of an offering statement has been…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.500 Use of Regulation D."]
§ 230.500 Use of Regulation D.
§ 230.500 Use of Regulation D. Users of Regulation D (§§ 230.500 et seq. ) should note the following: (a) Regulation D relates to transactions exempted from…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.801 Exemption in connection with a rights offering."]
§ 230.801 Exemption in connection with a rights offering.
§ 230.801 Exemption in connection with a rights offering. A rights offering is exempt from the provisions of Section 5 of the Act (15 U.S.C. 77e), so long as…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations."]
§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations. Information or documents obtained by officers or employees…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.475 Amendment filed with consent of Commission."]
§ 230.475 Amendment filed with consent of Commission.
§ 230.475 Amendment filed with consent of Commission. An application for the Commission's consent to the filing of an amendment with the effect provided in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.240 Exemption for certain security-based swaps."]
§ 230.240 Exemption for certain security-based swaps.
§ 230.240 Exemption for certain security-based swaps. (a) Except as expressly provided in paragraph (b) of this section, the Act does not apply to the offer or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.215 Accredited investor."]
§ 230.215 Accredited investor.
§ 230.215 Accredited investor. The term accredited investor as used in section 2(a)(15)(ii) of the Securities Act of 1933 (15 U.S.C. 77b(a)(15)(ii)) shall have…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.478 Powers to amend or withdraw registration statement."]
§ 230.478 Powers to amend or withdraw registration statement.
§ 230.478 Powers to amend or withdraw registration statement. All persons signing a registration statement shall be deemed, in the absence of a statement to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.403 Requirements as to paper, printing, language and pagination."]
§ 230.403 Requirements as to paper, printing, language and pagination.
§ 230.403 Requirements as to paper, printing, language and pagination. (a) Registration statements, applications and reports shall be filed on good quality…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.261 Definitions."]
§ 230.261 Definitions.
§ 230.261 Definitions. As used in this Regulation A, all terms have the same meanings as in Rule 405 (§ 230.405), except that all references to registrant in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.494 Newspaper prospectuses."]
§ 230.494 Newspaper prospectuses.
§ 230.494 Newspaper prospectuses. (a) This section shall apply only to newspaper prospectuses relating to securities, as to which a registration statement has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (a) Scope of the exemption. Offers and sales by or on behalf of an issuer of its securities made in accordance with this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. As used in Regulation D (§ 230.500 et seq. of this chapter), the following terms shall have the meaning…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing."]
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. (a) Registered…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.455 Place of filing."]
§ 230.455 Place of filing.
§ 230.455 Place of filing. All registration statements and other papers filed with the Commission shall be filed at its principal office. Such material may be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act."]
§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act. A prospectus for an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act."]
§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act. For purposes of Commission rulemaking in accordance with the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.413 Registration of additional securities and additional classes of securities."]
§ 230.413 Registration of additional securities and additional classes of securities.
§ 230.413 Registration of additional securities and additional classes of securities. (a) Except as provided in section 24(f) of the Investment Company Act of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.165 Offers made in connection with a business combination transaction."]
§ 230.165 Offers made in connection with a business combination transaction.
§ 230.165 Offers made in connection with a business combination transaction. Preliminary Note: This section is available only to communications relating to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act."]
§ 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
§ 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.418 Supplemental information."]
§ 230.418 Supplemental information.
§ 230.418 Supplemental information. (a) The Commission or its staff may, where it is deemed appropriate, request supplemental information concerning the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430A Prospectus in a registration statement at the time of effectiveness."]
§ 230.430A Prospectus in a registration statement at the time of effectiveness.
§ 230.430A Prospectus in a registration statement at the time of effectiveness. (a) The form of prospectus filed as part of a registration statement that is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.492 Omissions from prospectuses."]
§ 230.492 Omissions from prospectuses.
§ 230.492 Omissions from prospectuses. In the case of a security for which a registration statement conforming to Schedule B is in effect, the following…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506."]
§ 230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.
§ 230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506. (a) No exemption under § 230.504 or § 230.506 shall be available for an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.143 Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain transactions of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.404 Preparation of registration statement."]
§ 230.404 Preparation of registration statement.
§ 230.404 Preparation of registration statement. (a) A registration statement shall consist of the facing sheet of the applicable form; a prospectus containing…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.432 Additional information required to be included in prospectuses relating to tender offers."]
§ 230.432 Additional information required to be included in prospectuses relating to tender offers.
§ 230.432 Additional information required to be included in prospectuses relating to tender offers. Notwithstanding the provisions of any form for the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.601 Definitions of terms used in §§ 230.601 to 230.610a."]
§ 230.601 Definitions of terms used in §§ 230.601 to 230.610a.
§ 230.601 Definitions of terms used in §§ 230.601 to 230.610a. As used in §§ 230.601 to 230.610a, the following terms shall have the meaning indicated: Act…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.158 Definitions of certain terms in the last paragraph of section 11(a)."]
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a). (a) An “earning statement” made generally available to securityholders of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.239 Exemption for offers and sales of certain security-based swaps."]
§ 230.239 Exemption for offers and sales of certain security-based swaps.
§ 230.239 Exemption for offers and sales of certain security-based swaps. (a) Provided that the conditions of paragraph (b) of this section are satisfied and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.111 Payment of filing fees."]
§ 230.111 Payment of filing fees.
§ 230.111 Payment of filing fees. All payments of filing fees for registration statements under the Act shall be made by wire transfer, debit card, or credit…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (a) Scope of section. This section applies to any free writing prospectus with…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.401a Requirements as to proper form."]
§ 230.401a Requirements as to proper form.
§ 230.401a Requirements as to proper form. With regard to issuers eligible to rely on Release No. 34-45589 (March 18, 2002) (which may be viewed on the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. The following definitions apply in §§ 230.800, 230.801 and 230.802. (a) Business combination…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139a Publications by brokers or dealers distributing asset-backed securities."]
§ 230.139a Publications by brokers or dealers distributing asset-backed securities.
§ 230.139a Publications by brokers or dealers distributing asset-backed securities. The publication or distribution by a broker or dealer of information, an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. Preliminary Note: Certain basic principles are essential to an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company sales literature."]
§ 230.156 Investment company sales literature.
§ 230.156 Investment company sales literature. (a) Under the federal securities laws, including section 17(a) of the Securities Act of 1933 (15 U.S.C. 77q(a))…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (a) The date on which any papers are actually received by the Commission shall be the date of filing thereof…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135d Communications involving security-based swaps."]
§ 230.135d Communications involving security-based swaps.
§ 230.135d Communications involving security-based swaps. (a) For the purposes only of Section 5 of the Act (15 U.S.C. 77e), the publication or distribution of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135a Generic advertising."]
§ 230.135a Generic advertising.
§ 230.135a Generic advertising. (a) For the purposes only of section 5 of the Act, a notice, circular, advertisement, letter, sign, or other communication…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.167 Communications in connection with certain registered offerings of asset-backed securities."]
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities. Preliminary Note: This section is available only to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.904 Offshore resales."]
§ 230.904 Offshore resales.
§ 230.904 Offshore resales. (a) An offer or sale of securities by any person other than the issuer, a distributor, any of their respective affiliates (except…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (a) Disqualification events. No exemption under §§ 230.251 through 230.263 (Regulation A) shall be available for a sale…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. Blank check company. For purposes of section 27A of the Securities Act of 1933 (15 U.S.C. 77z-2), the term blank check company…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. As used in Regulation S, the following terms shall have the meanings indicated. (a) Debt securities. “Debt securities” of an issuer is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8)."]
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8). (a) Any annuity contract…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.173 Notice of registration."]
§ 230.173 Notice of registration.
§ 230.173 Notice of registration. (a) In a transaction that represents a sale by the issuer or an underwriter, or a sale where there is not an exclusion or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.131 Definition of security issued under governmental obligations."]
§ 230.131 Definition of security issued under governmental obligations.
§ 230.131 Definition of security issued under governmental obligations. (a) Any part of an obligation evidenced by any bond, note, debenture, or other evidence…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.496 Contents of prospectus and statement of additional information used after nine months."]
§ 230.496 Contents of prospectus and statement of additional information used after nine months.
§ 230.496 Contents of prospectus and statement of additional information used after nine months. In the case of a registration statement filed on Form N-1A (§§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. The following conditions shall be applicable to offers and sales made under Regulation D (§ 230.500 et seq. of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (a) Scope of rule. This section applies to an advertisement or other…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (a) For purposes only of section 5 of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities."]
§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities. The following applies with respect to asset-backed…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act."]
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. The obligations of a dealer (including an underwriter no longer acting…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.467 Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80."]
§ 230.467 Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80.
§ 230.467 Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80. (a) A registration statement on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.503 Filing of notice of sales."]
§ 230.503 Filing of notice of sales.
§ 230.503 Filing of notice of sales. (a) When notice of sales on Form D is required and permitted to be filed. (1) An issuer offering or selling securities in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.148 Exemption from general solicitation or general advertising."]
§ 230.148 Exemption from general solicitation or general advertising.
§ 230.148 Exemption from general solicitation or general advertising. (a) A communication will not be deemed to constitute general solicitation or general…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.466 Effective date of certain registration statements on Form F-6."]
§ 230.466 Effective date of certain registration statements on Form F-6.
§ 230.466 Effective date of certain registration statements on Form F-6. (a) A depositary that previously has filed a registration statement on Form F-6 (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.508 Insignificant deviations from a term, condition or requirement of Regulation D."]
§ 230.508 Insignificant deviations from a term, condition or requirement of Regulation D.
§ 230.508 Insignificant deviations from a term, condition or requirement of Regulation D. (a) A failure to comply with a term, condition or requirement of §…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus."]
§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.
§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus. Materials meeting the requirements of § 240.9b-1 of this chapter shall not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (a) Definitions. For purposes of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610 Suspension of exemption."]
§ 230.610 Suspension of exemption.
§ 230.610 Suspension of exemption. (a) The Commission may, at any time after the filing of a notification, enter an order temporarily suspending the exemption…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions."]
§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions. (a) The terms participates and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions."]
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions. (a) Definition of preceded by a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.241 Solicitations of interest."]
§ 230.241 Solicitations of interest.
§ 230.241 Solicitations of interest. (a) Solicitation of interest. At any time before making a determination as to the exemption from registration under the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings."]
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings. Preliminary Notes to § 230.164. 1. This section is not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions."]
§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions. (a) All written…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. This section provides a general principle of integration and non-exclusive safe harbors from integration of registered and exempt…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. Preliminary Notes: 1. This section relates solely to the application of section 5 of the Act and not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.136 Definition of certain terms in relation to assessable stock."]
§ 230.136 Definition of certain terms in relation to assessable stock.
§ 230.136 Definition of certain terms in relation to assessable stock. (a) An offer, offer to sell, or offer for sale of securities shall be deemed to be made…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.437 Application to dispense with consent."]
§ 230.437 Application to dispense with consent.
§ 230.437 Application to dispense with consent. An application to the Commission to dispense with any written consent of an expert pursuant to section 7 of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities."]
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities. (a) All written communications made…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act."]
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act. (a) Definition of seller for purposes of section 12(a) (2) of the Act. For purposes…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (a) Scope of the rule and definitions. (1) The provisions of this section shall apply to every registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.490 Information to be furnished under paragraph (3) of Schedule B."]
§ 230.490 Information to be furnished under paragraph (3) of Schedule B.
§ 230.490 Information to be furnished under paragraph (3) of Schedule B. Any issuer filing a registration statement pursuant to Schedule B of the act need not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000."]
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000.
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000. (a) Exemption. Offers and sales of securities that satisfy the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (a) A form of prospectus filed as part of a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.481 Information required in prospectuses."]
§ 230.481 Information required in prospectuses.
§ 230.481 Information required in prospectuses. Disclose the following in registration statements prepared on a form available solely to investment companies…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (a) Tier 1 and Tier 2. A public offer or sale of eligible securities, as defined in Rule 261 (§ 230.261), pursuant to Regulation…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts."]
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts. (a) Definitions. As used in this section: (1) Canadian…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.439 Consent to use of material incorporated by reference."]
§ 230.439 Consent to use of material incorporated by reference.
§ 230.439 Consent to use of material incorporated by reference. (a) If the Act or the rules and regulations of the Commission require the filing of a written…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code."]
§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.
§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code. Preliminary Notes: (1) Nothing in this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.901 General statement."]
§ 230.901 General statement.
§ 230.901 General statement. For the purposes only of section 5 of the Act (15 U.S.C. § 77e), the terms offer, offer to sell, sell, sale, and offer to buy…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (a) Automatic…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts."]
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts. (a) (1) A unit investment trust registered under the Investment…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries."]
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. (a) The following foreign…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.256 Definition of “qualified purchaser”."]
§ 230.256 Definition of “qualified purchaser”.
§ 230.256 Definition of “qualified purchaser”. For purposes of Section 18(b)(3) of the Securities Act [15 U.S.C. 77r(b)(3)], a “qualified purchaser” means any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (a) Except as provided in paragraph (f) of this section, five copies of every form of prospectus sent or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. Confidential treatment of supplemental information or other information not required…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.409 Information unknown or not reasonably available."]
§ 230.409 Information unknown or not reasonably available.
§ 230.409 Information unknown or not reasonably available. Information required need be given only insofar as it is known or reasonably available to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.470 Formal requirements for amendments."]
§ 230.470 Formal requirements for amendments.
§ 230.470 Formal requirements for amendments. Except for telegraphic amendments filed pursuant to Rule 473 (§ 230.473), amendments to a registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. Unless the context otherwise requires, all terms used in §§ 230.400 to 230.494, inclusive, or in the forms for registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.162 Submission of tenders in registered exchange offers."]
§ 230.162 Submission of tenders in registered exchange offers.
§ 230.162 Submission of tenders in registered exchange offers. (a) Notwithstanding section 5(a) of the Act (15 U.S.C. 77e(a)), an offeror may solicit tenders…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.402 Number of copies; binding; signatures."]
§ 230.402 Number of copies; binding; signatures.
§ 230.402 Number of copies; binding; signatures. (a) Three copies of the complete registration statement, including exhibits and all other papers and documents…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information."]
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. Preliminary Notes…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.258 Suspension of the exemption."]
§ 230.258 Suspension of the exemption.
§ 230.258 Suspension of the exemption. (a) Suspension. The Commission may at any time enter an order temporarily suspending a Regulation A exemption if it has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.460 Distribution of preliminary prospectus."]
§ 230.460 Distribution of preliminary prospectus.
§ 230.460 Distribution of preliminary prospectus. (a) Pursuant to the statutory requirement that the Commission in ruling upon requests for acceleration of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.193 Review of underlying assets in asset-backed securities transactions."]
§ 230.193 Review of underlying assets in asset-backed securities transactions.
§ 230.193 Review of underlying assets in asset-backed securities transactions. An issuer of an “asset-backed security,” as that term is defined in Section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.172 Delivery of prospectuses."]
§ 230.172 Delivery of prospectuses.
§ 230.172 Delivery of prospectuses. (a) Sending confirmations and notices of allocations. After the effective date of a registration statement, the following…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.609 Reports of sales hereunder."]
§ 230.609 Reports of sales hereunder.
§ 230.609 Reports of sales hereunder. Within 30 days after the end of each six-month period following the date of the original offering circular, or of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (a) Contents. An offering circular must include the information required by Form 1-A for offering circulars. (b) Information that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.461 Acceleration of effective date."]
§ 230.461 Acceleration of effective date.
§ 230.461 Acceleration of effective date. (a) Requests for acceleration of the effective date of a registration statement shall be made by the registrant and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.473 Delaying amendments."]
§ 230.473 Delaying amendments.
§ 230.473 Delaying amendments. (a) An amendment in the following form filed with a registration statement, or as an amendment to a registration statement which…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. Preliminary…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (a) Registered offerings. Under the conditions of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.495 Preparation of registration statement."]
§ 230.495 Preparation of registration statement.
§ 230.495 Preparation of registration statement. (a) A registration statement on Form N-1A (§ 239.15A and § 274.11A of this chapter), Form N-2 (§ 239.14 and §…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.400 Application of §§ 230.400 to 230.494, inclusive."]
§ 230.400 Application of §§ 230.400 to 230.494, inclusive.
§ 230.400 Application of §§ 230.400 to 230.494, inclusive. Sections 230.400 to 230.494 shall govern every registration of securities under the Act, except that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.438 Consents of persons about to become directors."]
§ 230.438 Consents of persons about to become directors.
§ 230.438 Consents of persons about to become directors. If any person who has not signed the registration statement is named therein as about to become a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.252 Offering statement."]
§ 230.252 Offering statement.
§ 230.252 Offering statement. (a) Documents to be included. The offering statement consists of the contents required by Form 1-A (§ 239.90 of this chapter) and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.141 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163A 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."]
§ 230.163A 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.
§ 230.163A 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. Except as provided in paragraphs (e) and (g) of this section, the terms “prospectus” as defined in section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152a Offer or sale of certain fractional interests."]
§ 230.152a Offer or sale of certain fractional interests.
§ 230.152a Offer or sale of certain fractional interests. Any offer or sale of a security, evidenced by a scrip certificate, order form or similar document…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430 Prospectus for use prior to effective date."]
§ 230.430 Prospectus for use prior to effective date.
§ 230.430 Prospectus for use prior to effective date. (a) A form of prospectus filed as a part of the registration statement shall be deemed to meet the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.255 Solicitations of interest and other communications."]
§ 230.255 Solicitations of interest and other communications.
§ 230.255 Solicitations of interest and other communications. (a) Solicitation of interest. At any time before the qualification of an offering statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.140 Definition of “distribution” in section 2(11) for certain transactions."]
§ 230.140 Definition of “distribution” in section 2(11) for certain transactions.
§ 230.140 Definition of “distribution” in section 2(11) for certain transactions. A person, the chief part of whose business consists of the purchase of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments."]
§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments.
§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments. (a) A registration statement on Form S-8 (§ 239.16b of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (a) Automatic effectiveness. (1) Except as otherwise…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.459 Calculation of effective date."]
§ 230.459 Calculation of effective date.
§ 230.459 Calculation of effective date. Saturdays, Sundays and holidays shall be counted in computing the effective date of registration statements under…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.238 Exemption for standardized options."]
§ 230.238 Exemption for standardized options.
§ 230.238 Exemption for standardized options. (a) Exemption. Except as expressly provided in paragraphs (b) and (c) of this section, the Act does not apply to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.497 Filing of investment company prospectuses—number of copies."]
§ 230.497 Filing of investment company prospectuses—number of copies.
§ 230.497 Filing of investment company prospectuses—number of copies. (a) Five copies of every form of prospectus sent or given to any person prior to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.417 Date of financial statements."]
§ 230.417 Date of financial statements.
§ 230.417 Date of financial statements. Whenever financial statements of any person are required to be furnished as of a date within a specified period prior…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (a) A form of prospectus filed as part of a registration statement for offerings…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.421 Presentation of information in prospectuses."]
§ 230.421 Presentation of information in prospectuses.
§ 230.421 Presentation of information in prospectuses. (a) The information required in a prospectus need not follow the order of the items or other…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.474 Date of filing of amendments."]
§ 230.474 Date of filing of amendments.
§ 230.474 Date of filing of amendments. The date on which amendments are actually received by the Commission shall be the date of filing thereof, if all of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.436 Consents required in special cases."]
§ 230.436 Consents required in special cases.
§ 230.436 Consents required in special cases. (a) If any portion of the report or opinion of an expert or counsel is quoted or summarized as such in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.471 Signatures to amendments."]
§ 230.471 Signatures to amendments.
§ 230.471 Signatures to amendments. (a) Except as provided in Rule 447 (§ 230.447) and in Rule 478 (§ 230.478), every amendment to a registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135 Notice of proposed registered offerings."]
§ 230.135 Notice of proposed registered offerings.
§ 230.135 Notice of proposed registered offerings. (a) When notice is not an offer. For purposes of section 5 of the Act (15 U.S.C. 77e) only, an issuer or a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities."]
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (a) Unlawful activity — (1) Prohibition. A securitization participant shall not, for a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers."]
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. Offers and sales…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.608 Prohibition of certain statements."]
§ 230.608 Prohibition of certain statements.
§ 230.608 Prohibition of certain statements. No offering circular or other written or oral communication used in connection with any offering under §§ 230.601…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.477 Withdrawal of registration statement or amendment."]
§ 230.477 Withdrawal of registration statement or amendment.
§ 230.477 Withdrawal of registration statement or amendment. (a) Except as provided in paragraph (b) of this section, any registration statement or any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134b Statements of additional information."]
§ 230.134b Statements of additional information.
§ 230.134b Statements of additional information. For the purpose only of Section 5(b) of the Act (15 U.S.C. 77e(b)), the term “prospectus” as defined in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.476 Amendment filed pursuant to order of Commission."]
§ 230.476 Amendment filed pursuant to order of Commission.
§ 230.476 Amendment filed pursuant to order of Commission. An amendment filed prior to the effective date of a registration statement shall be deemed to have…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.110 Business hours of the Commission."]
§ 230.110 Business hours of the Commission.
§ 230.110 Business hours of the Commission. (a) General. The principal office of the Commission, at 100 F Street, NE., Washington, DC 20549, is open each day…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.493 Additional Schedule B disclosure and filing requirements."]
§ 230.493 Additional Schedule B disclosure and filing requirements.
§ 230.493 Additional Schedule B disclosure and filing requirements. (a) The copy of the opinion or opinions of counsel required by paragraph (14) of Schedule B…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.154 Delivery of prospectuses to investors at the same address."]
§ 230.154 Delivery of prospectuses to investors at the same address.
§ 230.154 Delivery of prospectuses to investors at the same address. (a) Delivery of a single prospectus. If you must deliver a prospectus under the federal…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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. Provided. That…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.484 Undertaking required in certain registration statements."]
§ 230.484 Undertaking required in certain registration statements.
§ 230.484 Undertaking required in certain registration statements. If a registration statement is prepared on a form available solely to investment companies…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.100 Definitions of terms used in the rules and regulations."]
§ 230.100 Definitions of terms used in the rules and regulations.
§ 230.100 Definitions of terms used in the rules and regulations. (a) As used in the rules and regulations prescribed in this part by the Securities and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers."]
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. Preliminary Note to § 230.163…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (a) If a filing fee based on a bona fide estimate of the maximum offering price, computed in accordance with this rule where…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.420 Legibility of prospectus."]
§ 230.420 Legibility of prospectus.
§ 230.420 Legibility of prospectus. (a) The body of all printed prospectuses and all notes to financial statements and other tabular data included therein…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134a Options material not deemed a prospectus."]
§ 230.134a Options material not deemed a prospectus.
§ 230.134a Options material not deemed a prospectus. Written materials, including advertisements, relating to standardized options, as that term is defined in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.236 Exemption of shares offered in connection with certain transactions."]
§ 230.236 Exemption of shares offered in connection with certain transactions.
§ 230.236 Exemption of shares offered in connection with certain transactions. Shares of stock or similar security offered to provide funds to be distributed…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.175 Liability for certain statements by issuers."]
§ 230.175 Liability for certain statements by issuers.
§ 230.175 Liability for certain statements by issuers. (a) A statement within the coverage of paragraph (b) of this section which is made by or on behalf of an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. Preliminary Note: Rule 145 (§ 230.145 of this chapter) is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. (a) Registered offerings…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.168 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."]
§ 230.168 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.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act."]
§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.
§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act. (a) The term swap as used in section 2(a)(17) of the Act (15 U.S.C…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.472 Filing of amendments; number of copies."]
§ 230.472 Filing of amendments; number of copies.
§ 230.472 Filing of amendments; number of copies. (a) Except for telegraphic amendments filed pursuant to Rule 473 (§ 230.473), there shall be filed with the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.401 Requirements as to proper form."]
§ 230.401 Requirements as to proper form.
§ 230.401 Requirements as to proper form. (a) The form and contents of a registration statement and prospectus shall conform to the applicable rules and forms…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (a) Exemption. Offers and sales of securities by an issuer that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.606 Offering not in excess of $100,000."]
§ 230.606 Offering not in excess of $100,000.
§ 230.606 Offering not in excess of $100,000. No offering circular need be filed or used in connection with an offering of securities under §§ 230.601 to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.260 Insignificant deviations from a term, condition or requirement of Regulation A."]
§ 230.260 Insignificant deviations from a term, condition or requirement of Regulation A.
§ 230.260 Insignificant deviations from a term, condition or requirement of Regulation A. (a) Failure to comply . A failure to comply with a term, condition or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.190 Registration of underlying securities in asset-backed securities transactions."]
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.190 Registration of underlying securities in asset-backed securities transactions. (a) In an offering of asset-backed securities where the asset pool…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions."]
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions. (a) A registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act."]
§ 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act.
§ 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act. The term common trust fund as used in section 3(a)(2) of the Act (15 U.S.C…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (a) Except as provided in paragraphs (b) or (f) of this rule and in § 230.606: (1) No written offer of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (a) This section shall not raise any presumption that the exemption provided by section 3(a) (11) of the Act (15 U.S.C…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (a) Definitions. For purposes of this section: (1) Class means a class of shares…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.130 Definition of “rules and regulations” as used in certain sections of the Act."]
§ 230.130 Definition of “rules and regulations” as used in certain sections of the Act.
§ 230.130 Definition of “rules and regulations” as used in certain sections of the Act. The term rules and regulations as used in sections 7, 10 (a), (c) and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430C Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date."]
§ 230.430C Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
§ 230.430C Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date. (a) In…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions."]
§ 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions.
§ 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions. The term exchanged in section 3(a)(9) (sec. 202(c), 48 Stat. 906; 15 U.S.C…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.411 Incorporation by reference."]
§ 230.411 Incorporation by reference.
§ 230.411 Incorporation by reference. (a) Prospectus. Except as provided by this section, Item 1100(c) of Regulation AB (§ 229.1100(c) of this chapter) for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.171 Disclosure detrimental to the national defense or foreign policy."]
§ 230.171 Disclosure detrimental to the national defense or foreign policy.
§ 230.171 Disclosure detrimental to the national defense or foreign policy. (a) Any requirement to the contrary notwithstanding, no registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135c Notice of certain proposed unregistered offerings."]
§ 230.135c Notice of certain proposed unregistered offerings.
§ 230.135c Notice of certain proposed unregistered offerings. (a) For the purposes only of section 5 of the Act, a notice given by an issuer required to file…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145a Business combinations with reporting shell companies."]
§ 230.145a Business combinations with reporting shell companies.
§ 230.145a Business combinations with reporting shell companies. With respect to a reporting shell company's shareholders, any direct or indirect business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.410 Disclaimer of control."]
§ 230.410 Disclaimer of control.
§ 230.410 Disclaimer of control. If the existence of control is open to reasonable doubt in any instance, the registrant may disclaim the existence of control…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.254 Preliminary offering circular."]
§ 230.254 Preliminary offering circular.
§ 230.254 Preliminary offering circular. After the filing of an offering statement, but before its qualification, written offers of securities may be made if…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.408 Additional information."]
§ 230.408 Additional information.
§ 230.408 Additional information. (a) In addition to the information expressly required to be included in a registration statement, there shall be added such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.603 Amount of securities exempted."]
§ 230.603 Amount of securities exempted.
§ 230.603 Amount of securities exempted. (a) The aggregate offering price of all of the following securities of the issuer shall not exceed $5,000,000: (1) All…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.602 Securities exempted."]
§ 230.602 Securities exempted.
§ 230.602 Securities exempted. (a) Except as hereinafter provided in this rule, securities issued by any small business investment company which is registered…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.604 Filing of notification on Form 1-E."]
§ 230.604 Filing of notification on Form 1-E.
§ 230.604 Filing of notification on Form 1-E. (a) At least 10 days (Saturdays, Sundays and holidays excluded) prior to the date on which the initial offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions."]
§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.
§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions. Preliminary Note: This section is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments."]
§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments.
§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments. When a registration statement, or a post-effective…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.475a Certain pre-effective amendments deemed filed with the consent of the Commission."]
§ 230.475a Certain pre-effective amendments deemed filed with the consent of the Commission.
§ 230.475a Certain pre-effective amendments deemed filed with the consent of the Commission. Amendments to a registration statement on Form F-2 (§ 239.32 of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.429 Prospectus relating to several registration statements."]
§ 230.429 Prospectus relating to several registration statements.
§ 230.429 Prospectus relating to several registration statements. (a) Where a registrant has filed two or more registration statements, it may file a single…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.607 Sales material to be filed."]
§ 230.607 Sales material to be filed.
§ 230.607 Sales material to be filed. Four copies of each of the following communications prepared or authorized by the issuer or anyone associated with the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.463 Report of offering of securities and use of proceeds therefrom."]
§ 230.463 Report of offering of securities and use of proceeds therefrom.
§ 230.463 Report of offering of securities and use of proceeds therefrom. (a) Except as provided in this section, following the effective date of the first…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.437a Written consents."]
§ 230.437a Written consents.
§ 230.437a Written consents. (a) This section applies only to registrants that: (1) Are not a “blank check company” as defined in § 230.419(a)(2); and (2) Are…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.120 Inspection of registration statements."]
§ 230.120 Inspection of registration statements.
§ 230.120 Inspection of registration statements. Except for material contracts or portions thereof accorded confidential treatment pursuant to § 230.406, all…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.146 Rules under section 18 of the Act."]
§ 230.146 Rules under section 18 of the Act.
§ 230.146 Rules under section 18 of the Act. (a) Prepared by or on behalf of the issuer. An offering document (as defined in Section 18(d)(1) of the Act [15…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (a) Tier 1: Exit report. Each issuer that has filed an offering statement for a Tier 1 offering that has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.905 Resale limitations."]
§ 230.905 Resale limitations.
§ 230.905 Resale limitations. Equity securities of domestic issuers acquired from the issuer, a distributor, or any of their respective affiliates in a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.159 Information available to purchaser at time of contract of sale."]
§ 230.159 Information available to purchaser at time of contract of sale.
§ 230.159 Information available to purchaser at time of contract of sale. (a) For purposes of section 12(a)(2) of the Act only, and without affecting any other…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.415 Delayed or continuous offering and sale of securities."]
§ 230.415 Delayed or continuous offering and sale of securities.
§ 230.415 Delayed or continuous offering and sale of securities. (a) Securities may be registered for an offering to be made on a continuous or delayed basis…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.436 Consents required in special cases."]
§ 230.436 Consents required in special cases.
§ 230.436 Consents required in special cases. (i) Notwithstanding the provisions of paragraphs (a) and (b) of this section, the following shall not be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.263 Consent to service of process."]
§ 230.263 Consent to service of process.
§ 230.263 Consent to service of process. (a) If the issuer is not organized under the laws of any of the states or territories of the United States of America…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors."]
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.491 Information to be furnished under paragraph (6) of Schedule B."]
§ 230.491 Information to be furnished under paragraph (6) of Schedule B.
§ 230.491 Information to be furnished under paragraph (6) of Schedule B. Any foreign government filing a registration statement pursuant to Schedule B of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.161 Amendments to rules and regulations governing exemptions."]
§ 230.161 Amendments to rules and regulations governing exemptions.
§ 230.161 Amendments to rules and regulations governing exemptions. The rules and regulations governing the exemption of securities under section 3(b) of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions."]
§ 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
§ 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions. The term commission or other remuneration in section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans."]
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. (a) Any interest or participation in a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.170 Prohibition of use of certain financial statements."]
§ 230.170 Prohibition of use of certain financial statements.
§ 230.170 Prohibition of use of certain financial statements. Financial statements which purport to give effect to the receipt and application of any part of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore."]
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore. (a) For the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.412 Modified or superseded documents."]
§ 230.412 Modified or superseded documents.
§ 230.412 Modified or superseded documents. (a) Any statement contained in a document incorporated or deemed to be incorporated by reference or deemed to be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. (a) A summary prospectus prepared and filed (except a summary prospectus filed by an open-end management investment company…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.480 Title of securities."]
§ 230.480 Title of securities.
§ 230.480 Title of securities. If a registration statement is prepared on a form available solely to investment companies registered under the Investment…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options."]
§ 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
§ 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options. The term…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.414 Registration by certain successor issuers."]
§ 230.414 Registration by certain successor issuers.
§ 230.414 Registration by certain successor issuers. If any issuer, except a foreign issuer exempted by Rule 3a12-3 (17 CFR 240.3a12-3), incorporated under the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.423 Date of prospectuses."]
§ 230.423 Date of prospectuses.
§ 230.423 Date of prospectuses. Except for a form of prospectus used after the effective date of the registration statement and before the determination of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.483 Exhibits for certain registration statements."]
§ 230.483 Exhibits for certain registration statements.
§ 230.483 Exhibits for certain registration statements. If a registration statement is prepared on a form available solely to investment companies registered…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.427 Contents of prospectus used after nine months."]
§ 230.427 Contents of prospectus used after nine months.
§ 230.427 Contents of prospectus used after nine months. There may be omitted from any prospectus used more than 9 months after the effective date of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries."]
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. (2) A foreign issuer filing…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000."]
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000.
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000. (1) General conditions. To qualify for exemption under this §…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (3) The identity of the general type of business of the issuer. (c) (1) The offering circular may be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.190 Registration of underlying securities in asset-backed securities transactions."]
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.190 Registration of underlying securities in asset-backed securities transactions. (4) The depositor would be free to publicly resell the underlying…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans."]
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. (3) The issuer of such interest…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions."]
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions. (2) The registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139a Publications by brokers or dealers distributing asset-backed securities."]
§ 230.139a Publications by brokers or dealers distributing asset-backed securities.
§ 230.139a Publications by brokers or dealers distributing asset-backed securities. (3) Contain any ABS informational and computational material (as defined in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1)). Note 1 to paragraph (a): The fact that an advertisement complies…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (2) will bind all stockholders of such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (3) A brief indication of the general type of business of the issuer, limited to the following: (i) In the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. (1) Issuer-specific…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. (4) Any put, call, straddle, or other option or privilege that gives the holder the option of buying…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing."]
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. (2) The issuer as of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. 5. The purpose of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.472 Filing of amendments; number of copies."]
§ 230.472 Filing of amendments; number of copies.
§ 230.472 Filing of amendments; number of copies. the use of his certificate in connection with the amended financial statement in the registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.402 Number of copies; binding; signatures."]
§ 230.402 Number of copies; binding; signatures.
§ 230.402 Number of copies; binding; signatures. of the registration statement, similarly bound, also shall be furnished to the Commission for use in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.500 Use of Regulation D."]
§ 230.500 Use of Regulation D.
§ 230.500 Use of Regulation D. exemption provided by section 4(a) (2) of the Act (15 U.S.C. 77d (2)) is not available. (d) Regulation D is available only to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.602 Securities exempted."]
§ 230.602 Securities exempted.
§ 230.602 Securities exempted. (2) Is subject to pending proceedings under § 230.610 or any similar rule adopted under section 3(b) of the Act, or to an order…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore."]
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore. (1) State that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.463 Report of offering of securities and use of proceeds therefrom."]
§ 230.463 Report of offering of securities and use of proceeds therefrom.
§ 230.463 Report of offering of securities and use of proceeds therefrom. (2) By an issuer which pursuant to a business combination described in Rule 145(a)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (2)(i)(A) of this section must be filed under cover of Form 1-K within 120 calendar days after the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135 Notice of proposed registered offerings."]
§ 230.135 Notice of proposed registered offerings.
§ 230.135 Notice of proposed registered offerings. (2) Limited notice content. The notice otherwise includes no more than the following information: (i) The…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.148 Exemption from general solicitation or general advertising."]
§ 230.148 Exemption from general solicitation or general advertising.
§ 230.148 Exemption from general solicitation or general advertising. (4) If the event allows attendees to participate virtually, rather than in person, online…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions."]
§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
§ 230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions. (4) Any prospectus filed…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.436 Consents required in special cases."]
§ 230.436 Consents required in special cases.
§ 230.436 Consents required in special cases. (4) A statement that a review of interim financial information is substantially less in scope than an audit…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.239 Exemption for offers and sales of certain security-based swaps."]
§ 230.239 Exemption for offers and sales of certain security-based swaps.
§ 230.239 Exemption for offers and sales of certain security-based swaps. (3) The eligible clearing agency posts on its publicly available Web site at a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.414 Registration by certain successor issuers."]
§ 230.414 Registration by certain successor issuers.
§ 230.414 Registration by certain successor issuers. material changes made in connection with or resulting from the succession, or necessary to keep the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.168 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."]
§ 230.168 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.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (d) Where securities are to be offered at varying prices based upon fluctuating values of underlying assets, the registration fee…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.255 Solicitations of interest and other communications."]
§ 230.255 Solicitations of interest and other communications.
§ 230.255 Solicitations of interest and other communications. (4) After the public filing of the offering statement: (i) State from whom a copy of the most…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.412 Modified or superseded documents."]
§ 230.412 Modified or superseded documents.
§ 230.412 Modified or superseded documents. manipulative, deceptive, or fraudulent device, contrivance, scheme, transaction, act, practice, course of business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.252 Offering statement."]
§ 230.252 Offering statement.
§ 230.252 Offering statement. (3) All non-public correspondence submitted by or on behalf of the issuer to the Commission staff regarding such submissions…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (1)). This provision shall not limit the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions."]
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions. (1) The term national securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments."]
§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments.
§ 230.462 Immediate effectiveness of certain registration statements and post-effective amendments. (6)), and any post-effective amendment thereto, including a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.483 Exhibits for certain registration statements."]
§ 230.483 Exhibits for certain registration statements.
§ 230.483 Exhibits for certain registration statements. (1) All written consents are required to be filed as an exhibit to the registration statement, together…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts."]
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts. (5) Foreign Issuer means any issuer that is a Foreign…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.497 Filing of investment company prospectuses—number of copies."]
§ 230.497 Filing of investment company prospectuses—number of copies.
§ 230.497 Filing of investment company prospectuses—number of copies. date of a registration statement, whichever occurs later, 10 copies of each form of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.167 Communications in connection with certain registered offerings of asset-backed securities."]
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities. (2) Every communication used pursuant to this section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.154 Delivery of prospectuses to investors at the same address."]
§ 230.154 Delivery of prospectuses to investors at the same address.
§ 230.154 Delivery of prospectuses to investors at the same address. (2) You have sent the investor a notice at least 60 days before you begin to rely on this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.481 Information required in prospectuses."]
§ 230.481 Information required in prospectuses.
§ 230.481 Information required in prospectuses. (2) “Subject to Completion” legend. (i) If a prospectus or Statement of Additional Information will be used…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (1) The registration statement is an automatic shelf registration statement as defined…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.241 Solicitations of interest."]
§ 230.241 Solicitations of interest.
§ 230.241 Solicitations of interest. (4) A person's indication of interest involves no obligation or commitment of any kind. (c) Indications of interest. Any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (37)] shall become effective on the date upon which it…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (2) of this section, the term “assets” means securities, installment sales, accounts receivable, notes, leases or other contracts, or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors."]
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (2) Specific conditions —(i) Nature of purchasers. All purchasers…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.904 Offshore resales."]
§ 230.904 Offshore resales.
§ 230.904 Offshore resales. (12)), or is a person receiving a selling concession, fee or other remuneration in respect of the securities sold, the seller or a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. (3) The registrant: (i) Has been subject to the requirements of section 12 or 15(d) of the Securities Exchange Act of 1934 and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135d Communications involving security-based swaps."]
§ 230.135d Communications involving security-based swaps.
§ 230.135d Communications involving security-based swaps. (18))) shall not be deemed to constitute an offer, an offer to sell, or a solicitation of an offer to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act."]
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act. (3) The portion of any other free writing prospectus (or, in the case of an issuer…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act."]
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. (2) as of the offering date, the security is listed on a registered…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. as follows: (1) A form of prospectus that discloses information previously omitted from the prospectus…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information."]
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. (1) Factual…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (3) of the Act or, if no Form S-3 or Form F-3 has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.411 Incorporation by reference."]
§ 230.411 Incorporation by reference.
§ 230.411 Incorporation by reference. or International Financial Reporting Standards as issued by the International Accounting Standards Board, whichever is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.421 Presentation of information in prospectuses."]
§ 230.421 Presentation of information in prospectuses.
§ 230.421 Presentation of information in prospectuses. (4) Avoid legal and highly technical business terminology. Note to § 230.421( b ): In drafting the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (1)(i) of this section, if a general partnership or other form of business organization that is not organized under any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.403 Requirements as to paper, printing, language and pagination."]
§ 230.403 Requirements as to paper, printing, language and pagination.
§ 230.403 Requirements as to paper, printing, language and pagination. (2) If a registration statement or other filing or submission subject to review by the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities."]
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities. (1) Conditions for which materials…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610 Suspension of exemption."]
§ 230.610 Suspension of exemption.
§ 230.610 Suspension of exemption. (1) thereof, or any proceeding has been initiated for the purpose of enjoining any such person from engaging in or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (3)(ii) of this section, other than, for the avoidance of doubt, any transaction that only…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.495 Preparation of registration statement."]
§ 230.495 Preparation of registration statement.
§ 230.495 Preparation of registration statement. Wherever such copies are filed in lieu of information in item-and-answer form, the text of the items of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.172 Delivery of prospectuses."]
§ 230.172 Delivery of prospectuses.
§ 230.172 Delivery of prospectuses. (3) The issuer has filed with the Commission a prospectus with respect to the offering that satisfies the requirements of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (2) of the Act, or Regulation D under the Act, from the registration requirements of the Act. (a)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (7) Summary Prospectus means the summary prospectus described in paragraph (b) of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2)); or (B) A separate bank account established by a broker or dealer registered under the Exchange Act…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (3) Additional limitation on secondary sales in first year. The portion of the aggregate offering price attributable to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.258 Suspension of the exemption."]
§ 230.258 Suspension of the exemption.
§ 230.258 Suspension of the exemption. (6) The issuer or any promoter, officer, director, or underwriter has failed to cooperate, or has obstructed or refused…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (2) Type of information to be furnished. (i) If the issuer is not subject to the reporting requirements of section 13…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.603 Amount of securities exempted."]
§ 230.603 Amount of securities exempted.
§ 230.603 Amount of securities exempted. (3) All securities sold in violation of section 5(a) of the Act within one year prior to the commencement of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (1)(iii) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (11) of the Securities Act to mean any person who has purchased…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.604 Filing of notification on Form 1-E."]
§ 230.604 Filing of notification on Form 1-E.
§ 230.604 Filing of notification on Form 1-E. withdrawn after any of the securities proposed to be offered thereunder have been sold. Any such application…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.494 Newspaper prospectuses."]
§ 230.494 Newspaper prospectuses.
§ 230.494 Newspaper prospectuses. (2) of the Act. (b) All information included in a newspaper prospectus may be expressed in such condensed or summarized form…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.460 Distribution of preliminary prospectus."]
§ 230.460 Distribution of preliminary prospectus.
§ 230.460 Distribution of preliminary prospectus. (2) In the case of a registration statement filed by a closed-end investment company on Form N-2 (§ 239.14…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities."]
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (14)) that has an effective registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions."]
§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions. (3) The term principal underwriter…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (2) Is subject to any order, judgment or decree of any court of competent jurisdiction, entered within five years before…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.254 Preliminary offering circular."]
§ 230.254 Preliminary offering circular.
§ 230.254 Preliminary offering circular. as a part of the offering statement.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code."]
§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.
§ 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code. (4) This exemption is not available to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.162 Submission of tenders in registered exchange offers."]
§ 230.162 Submission of tenders in registered exchange offers.
§ 230.162 Submission of tenders in registered exchange offers. (2) or § 240.14d-4(b) of this chapter. This applies not only to exchange offers subject to those…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.158 Definitions of certain terms in the last paragraph of section 11(a)."]
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a). (2) The information specified in the last paragraph of section 11(a) is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.461 Acceleration of effective date."]
§ 230.461 Acceleration of effective date.
§ 230.461 Acceleration of effective date. to the extent required by the National Association of Securities Dealers, Inc. and such Association has issued a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts."]
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts. (3) The registrant identifies one or more previous series of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.165 Offers made in connection with a business combination transaction."]
§ 230.165 Offers made in connection with a business combination transaction.
§ 230.165 Offers made in connection with a business combination transaction. (1) Each prospectus must contain a prominent legend that urges investors to read…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.415 Delayed or continuous offering and sale of securities."]
§ 230.415 Delayed or continuous offering and sale of securities.
§ 230.415 Delayed or continuous offering and sale of securities. (1)(vii). (viii) Securities which are to be issued in connection with business combination…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.171 Disclosure detrimental to the national defense or foreign policy."]
§ 230.171 Disclosure detrimental to the national defense or foreign policy.
§ 230.171 Disclosure detrimental to the national defense or foreign policy. to submit the documents or information referred to in paragraph (a) of this section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. (2), are otherwise available are not affected by Rule 145…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings."]
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings. (2) The free writing prospectus is filed as soon as…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (2) The issuer shall be deemed to be doing business within a state or territory if the issuer satisfies at least one of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. (1)(i) of this chapter). (a) Any person submitting any information in a document…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.801 Exemption in connection with a rights offering."]
§ 230.801 Exemption in connection with a rights offering.
§ 230.801 Exemption in connection with a rights offering. (4) Informational documents. (i) If the issuer publishes or otherwise disseminates an informational…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.173 Notice of registration."]
§ 230.173 Notice of registration.
§ 230.173 Notice of registration. (1) Transaction solely between brokers or dealers in reliance on Rule 153 (§ 230.153); (2) Offering of an investment company…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430 Prospectus for use prior to effective date."]
§ 230.430 Prospectus for use prior to effective date.
§ 230.430 Prospectus for use prior to effective date. (2) Such registration statement contains a form of Statement of Additional Information that is made…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company sales literature."]
§ 230.156 Investment company sales literature.
§ 230.156 Investment company sales literature. (2) Representations about past or future investment performance could be misleading because of statements or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135c Notice of certain proposed unregistered offerings."]
§ 230.135c Notice of certain proposed unregistered offerings.
§ 230.135c Notice of certain proposed unregistered offerings. (3) Such notice contains no more than the following additional information: (i) The name of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135a Generic advertising."]
§ 230.135a Generic advertising.
§ 230.135a Generic advertising. (2) Such communication contains the name and address of a registered broker or dealer or other person sponsoring the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.401 Requirements as to proper form."]
§ 230.401 Requirements as to proper form.
§ 230.401 Requirements as to proper form. (3) of the Act or pursuant to the provisions of section 24(e) or 24(f) of the Investment Company Act of 1940, the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430A Prospectus in a registration statement at the time of effectiveness."]
§ 230.430A Prospectus in a registration statement at the time of effectiveness.
§ 230.430A Prospectus in a registration statement at the time of effectiveness. (3) The information ommitted in reliance upon paragraph (a) from the form of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.503 Filing of notice of sales."]
§ 230.503 Filing of notice of sales.
§ 230.503 Filing of notice of sales. (3) An issuer must file an amendment to a previously filed notice of sales on Form D for an offering: (i) To correct a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers."]
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. (1) Legend. (i) Every written…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163A 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."]
§ 230.163A 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.
§ 230.163A 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.404 Preparation of registration statement."]
§ 230.404 Preparation of registration statement.
§ 230.404 Preparation of registration statement. the facing sheet of the form as a part of the registration statement. However, the text of such items may be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.418 Supplemental information."]
§ 230.418 Supplemental information.
§ 230.418 Supplemental information. (3) Except in the case of a registrant eligible to use Form S-3 (§ 239.13 of this chapter), or Form N-2 (§§ 239.14 and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers."]
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. (2) Equal…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.466 Effective date of certain registration statements on Form F-6."]
§ 230.466 Effective date of certain registration statements on Form F-6.
§ 230.466 Effective date of certain registration statements on Form F-6. (2) of this section, suspend the ability of a depositary to designate the date and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (4) The volume of securities (the number of equity securities or aggregate principal amount of debt securities) to be offered may…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.473 Delaying amendments."]
§ 230.473 Delaying amendments.
§ 230.473 Delaying amendments. (1) of this section specifically states that a registration statement shall thereafter become effective in accordance with…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (1) Eligibility and prospectus conditions for seasoned issuers and well-known…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8)."]
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8). (2)(ii) of this section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (48) of that act; any Small Business Investment Company licensed by the U.S. Small Business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.175 Liability for certain statements by issuers."]
§ 230.175 Liability for certain statements by issuers.
§ 230.175 Liability for certain statements by issuers. (1) A forward-looking statement (as defined in paragraph (c) of this section) made in a document filed…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (2) of the Act on the following conditions: (i) If the issuer elects to defer payment of the registration fee…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments."]
§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments.
§ 230.479 Procedure with respect to abandoned registration statements and post-effective amendments. Commission the papers comprising the registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (2) For two or more concurrent exempt offerings permitting general solicitation, in addition to satisfying the requirements of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.484 Undertaking required in certain registration statements."]
§ 230.484 Undertaking required in certain registration statements.
§ 230.484 Undertaking required in certain registration statements. (3) The benefits of such indemnification are not waived by such persons; the registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.477 Withdrawal of registration statement or amendment."]
§ 230.477 Withdrawal of registration statement or amendment.
§ 230.477 Withdrawal of registration statement or amendment. well as the related request for withdrawal.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.190 Registration of underlying securities in asset-backed securities transactions."]
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.190 Registration of underlying securities in asset-backed securities transactions. (2) The plan of distribution in the registration statement for the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. (1) One copy of the confidential portion, marked “Confidential Treatment,” of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1) Scope of Initial Summary Prospectus…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.503 Filing of notice of sales."]
§ 230.503 Filing of notice of sales.
§ 230.503 Filing of notice of sales. change does not increase the number to more than 35; (H) The total number of investors who have invested in the offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts."]
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts. (1) The Commission may, in the manner and under the circumstances…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (3) Advertisements including performance data. An advertisement that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts."]
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
§ 230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts. (8) United States means the United States of America…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.167 Communications in connection with certain registered offerings of asset-backed securities."]
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities. (1) A good faith and reasonable effort was made to comply…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.415 Delayed or continuous offering and sale of securities."]
§ 230.415 Delayed or continuous offering and sale of securities.
§ 230.415 Delayed or continuous offering and sale of securities. on a continuous basis by or on behalf of the registrant in accordance with § 230.456(d) (Rule…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act."]
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act. (2) As the Commission may provide upon application or on its own motion…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.494 Newspaper prospectuses."]
§ 230.494 Newspaper prospectuses.
§ 230.494 Newspaper prospectuses. (1) The name of the borrowing government; (2) A brief description of the securities to be offered; (3) The price at which it…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135c Notice of certain proposed unregistered offerings."]
§ 230.135c Notice of certain proposed unregistered offerings.
§ 230.135c Notice of certain proposed unregistered offerings. a news release or a written communication directed to security holders or employees, as the case…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. 1940. Certified. The term certified, when used in regard to financial statements, means examined and reported upon with an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (3) A form of prospectus that reflects facts or events other than those covered in paragraphs (b) (1), (2)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610 Suspension of exemption."]
§ 230.610 Suspension of exemption.
§ 230.610 Suspension of exemption. (2) that the Commission, upon receipt of a written request within 30 days after the entry of such order, will, within 20…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. paragraph (c) of Part F/S of Form 1-A (referenced in § 239.90 of this chapter). If the issuer is a foreign private…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. (4) Neither the registrant nor any of its consolidated or unconsolidated subsidiaries has, since the end of its last fiscal…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans."]
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. (1) of such Code, shall be exempt from…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.401 Requirements as to proper form."]
§ 230.401 Requirements as to proper form.
§ 230.401 Requirements as to proper form. registrant (1) shall comply with the rules and forms as in effect at a date different from those specified in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.258 Suspension of the exemption."]
§ 230.258 Suspension of the exemption.
§ 230.258 Suspension of the exemption. (2) That the Commission, upon receipt of a written request within 30 calendar days after the entry of the order, will…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (1) of this section, then, subject to the provisions of Rule 164(e), (f), and (g)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2)(vi) of this section, shall be deposited promptly into the escrow or trust account; provided, however, that no…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.135 Notice of proposed registered offerings."]
§ 230.135 Notice of proposed registered offerings.
§ 230.135 Notice of proposed registered offerings. 230.145(a) offering: ( 1 ) The name of the person whose assets are to be sold in exchange for the securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.461 Acceleration of effective date."]
§ 230.461 Acceleration of effective date.
§ 230.461 Acceleration of effective date. (2) Where the form of preliminary prospectus, which has been distributed by the issuer or underwriter, is found to be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (2) Any foreign securities exchange or non-exchange market designated by the Commission. Attributes to be considered in determining…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. of deposit, tax assessments, and appraisal reports issued by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.255 Solicitations of interest and other communications."]
§ 230.255 Solicitations of interest and other communications.
§ 230.255 Solicitations of interest and other communications. (4)(ii) of this section, the URL continues to link directly to the most recent Preliminary…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.421 Presentation of information in prospectuses."]
§ 230.421 Presentation of information in prospectuses.
§ 230.421 Presentation of information in prospectuses. (2) You must draft the language in these sections so that at a minimum it substantially complies with…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.402 Number of copies; binding; signatures."]
§ 230.402 Number of copies; binding; signatures.
§ 230.402 Number of copies; binding; signatures. all documents retained pursuant to this section.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (5) Reporting by successor issuers. Where in connection with a succession by merger, consolidation…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (3) An offering for which a registration statement under the Act has been filed will not be integrated if it is made subsequent to: (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.497 Filing of investment company prospectuses—number of copies."]
§ 230.497 Filing of investment company prospectuses—number of copies.
§ 230.497 Filing of investment company prospectuses—number of copies. of a radio or television broadcast shall be reduced in writing. Five copies of every such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (2)(i): Revenues must be calculated based on the issuer's most recent fiscal year, if the first offer of securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing."]
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. Rule 902(b) (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.252 Offering statement."]
§ 230.252 Offering statement.
§ 230.252 Offering statement. (2) Post-qualification amendments must be filed in the following circumstances for ongoing offerings: (i) At least every 12…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.154 Delivery of prospectuses to investors at the same address."]
§ 230.154 Delivery of prospectuses to investors at the same address.
§ 230.154 Delivery of prospectuses to investors at the same address. (4) You deliver the prospectus to a post office box or to a residential street address…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.481 Information required in prospectuses."]
§ 230.481 Information required in prospectuses.
§ 230.481 Information required in prospectuses. (2) of this section if the prospectus or Statement of Additional Information is used before the initial public…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.495 Preparation of registration statement."]
§ 230.495 Preparation of registration statement.
§ 230.495 Preparation of registration statement. acceptance has been received from the Commission.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (2) Where an offering circular is distributed through an electronic medium, issuers may satisfy legibility…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (1) of this section will be considered filed as to the securities or classes of securities identified in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.801 Exemption in connection with a rights offering."]
§ 230.801 Exemption in connection with a rights offering.
§ 230.801 Exemption in connection with a rights offering. (6) Limitation on transferability of rights. The terms of the rights prohibit transfers of the rights…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.158 Definitions of certain terms in the last paragraph of section 11(a)."]
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a). (2) Has filed its report or reports on Form 10-K, Form 10-Q, Form 8-K, Form…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (1)(vii) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000."]
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000.
§ 230.504 Exemption for limited offerings and sales of securities not exceeding $10,000,000. (2) Offering limit. The aggregate offering price for an offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities."]
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
§ 230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities. (3) Any ABS informational and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.602 Securities exempted."]
§ 230.602 Securities exempted.
§ 230.602 Securities exempted. (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings."]
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings. (1) This section and Rule 433 are available only if at the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (3) Guarantees by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company sales literature."]
§ 230.156 Investment company sales literature.
§ 230.156 Investment company sales literature. (4) Representations about the fees or expenses associated with an investment in the fund could be misleading…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. securities: (1) Is an entity organized under the laws of the United States or Canada, or any State, Province, Territory or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (48) of that Act; (C) Any Small Business Investment Company licensed by the U.S. Small Business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.168 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."]
§ 230.168 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.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1) Cover page or beginning of Summary Prospectus. Include on the cover page of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (2)(i): Revenues must be calculated based on the issuer's most recent fiscal year, if the first offer of securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (1) of this section and does not facilitate or create an opportunity to materially benefit…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (2) If there is no market for the securities to be received by the registrant or cancelled in the exchange or transaction, the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (5) Any natural person whose individual net worth, or joint net worth with that person's spouse or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (1)(ii) of the definition of well-known seasoned…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.460 Distribution of preliminary prospectus."]
§ 230.460 Distribution of preliminary prospectus.
§ 230.460 Distribution of preliminary prospectus. (2) of this chapter) is included in the registration statement and distribution of prospectuses pursuant to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (7) A brief description of the intended use of proceeds of the offering, if then disclosed in the prospectus…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430A Prospectus in a registration statement at the time of effectiveness."]
§ 230.430A Prospectus in a registration statement at the time of effectiveness.
§ 230.430A Prospectus in a registration statement at the time of effectiveness. prospectus filed with the Commission pursuant to Rule 424(b) (1) (§ 230.424(b)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers."]
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. retransmitted with the legend by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers."]
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. (3) Informational…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act."]
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act. (2) of the Act only, an offering participant other than the issuer shall not be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.436 Consents required in special cases."]
§ 230.436 Consents required in special cases.
§ 230.436 Consents required in special cases. (1) of this section, the term nationally recognized statistical rating organization shall have the same meaning…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.418 Supplemental information."]
§ 230.418 Supplemental information.
§ 230.418 Supplemental information. (5) Where the registrant recently has introduced a new product or has begun to do business in a new industry segment or has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. fund is of the type defined…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (2) thereof or exception (a) of section 2(a) (10) thereof. (d) Information omitted from…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (1) Information omitted from a form of prospectus…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.165 Offers made in connection with a business combination transaction."]
§ 230.165 Offers made in connection with a business combination transaction.
§ 230.165 Offers made in connection with a business combination transaction. (2) A participant is any person or entity that is a party to the business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. (3) Transfers of assets. A transfer of assets of such corporation…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (11) of the Act. This paragraph does not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information."]
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. (4) The issuer is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. for determining whether a person is not engaged in a distribution…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.483 Exhibits for certain registration statements."]
§ 230.483 Exhibits for certain registration statements.
§ 230.483 Exhibits for certain registration statements. (2) In any case where two or more indentures, contracts, frachises, or other documents required to be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.175 Liability for certain statements by issuers."]
§ 230.175 Liability for certain statements by issuers.
§ 230.175 Liability for certain statements by issuers. or (g) of the Securities Exchange Act of 1934; and (ii) The statements are not made by or on behalf of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (3)) if, in the aggregate, the decrease in volume and/or change in price represent no more than a 20% change from the maximum…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (4) Is subject to an order of the Commission entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.403 Requirements as to paper, printing, language and pagination."]
§ 230.403 Requirements as to paper, printing, language and pagination.
§ 230.403 Requirements as to paper, printing, language and pagination. (3) of this section must: (A) Fairly and accurately summarize the terms of each material…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.500 Use of Regulation D."]
§ 230.500 Use of Regulation D.
§ 230.500 Use of Regulation D. (2). Thus, for example, persons who are offered and sold securities in accordance with Regulation S would not be counted in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (2) of Form N-1A [17 CFR 239.15A and 274.11A]; (v)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. (1) Calculate the percentage of outstanding securities held by U.S. holders as of a date no more…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers."]
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers. with foreign…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. numerical sequence of the items of the form used for registration. Every summary prospectus shall be dated approximately as of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (8) Is not disqualified under Rule 262 (§ 230.262). (c) Integration with other offerings. To determine whether offers and sales…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. of the last sale in such offering. (d) Residence of purchasers. Sales of securities pursuant to this section (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (4) of the Act, in accordance with the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. in the plan, provided the securities to be registered are newly issued, or are purchased for the account of plan participants…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. (3) The copy of the confidential portion and the application filed in accordance…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (1)(ii) through (vi). Note 1 to paragraph ( a ) (1)( i )(J): An entity seeking qualified…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (4) are met. For the purposes of this section, any offering circular distributed prior to the expiration of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. (2) Industry reports. (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. any free writing prospectus provided after such availability, whether or not an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers."]
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. (2)(ii) of this section, every…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.461 Acceleration of effective date."]
§ 230.461 Acceleration of effective date.
§ 230.461 Acceleration of effective date. (6) Where the amount of compensation to be allowed or paid to the underwriters and any other arrangements among the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (2) The date on which a form of prospectus is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (2)(ii)(C) of this section: (A) The issuer's annual report to shareholders for the most recent fiscal year, if such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.403 Requirements as to paper, printing, language and pagination."]
§ 230.403 Requirements as to paper, printing, language and pagination.
§ 230.403 Requirements as to paper, printing, language and pagination. (5) A Canadian issuer may file an exhibit or other part of a registration statement on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2)( iv ): Issuers are cautioned that investments in government securities are inappropriate unless such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.602 Securities exempted."]
§ 230.602 Securities exempted.
§ 230.602 Securities exempted. (2) Covered by any filing which is subject to pending proceedings under § 230.610 or any similar rule adopted under section 3(b)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (6) A form of prospectus used in connection with an offering of securities under Canada's National Policy…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.190 Registration of underlying securities in asset-backed securities transactions."]
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.190 Registration of underlying securities in asset-backed securities transactions. (1) Both the issuing entity for the asset-backed securities and the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1) of this section, rather than to the home page or other section of the website…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (2) Where an offering circular is distributed through an electronic medium, issuers may satisfy legibility requirements applicable…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (2) Cover page or beginning of Initial…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (2)); (B) A shell company, other than a business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (2)(ii), so long as the issuer is not aware of information to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.418 Supplemental information."]
§ 230.418 Supplemental information.
§ 230.418 Supplemental information. (8) Any free writing prospectuses used in connection with the offering. (b) Supplemental information described in paragraph…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.415 Delayed or continuous offering and sale of securities."]
§ 230.415 Delayed or continuous offering and sale of securities.
§ 230.415 Delayed or continuous offering and sale of securities. (1)(vii), (ix), and (x) of this section may be offered and sold only if not more than three…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (2) of this section shall be made by certification on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.481 Information required in prospectuses."]
§ 230.481 Information required in prospectuses.
§ 230.481 Information required in prospectuses. (2) If the stabilizing began before the effective date of the registration statement, disclose in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (6) Is suspended or expelled from membership in, or suspended or barred from association with a member of, a registered…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (7)(i) of Part F/S of Form 1-A (referenced in § 239.90), Item 7(g) (1) of Part II of Form 1-K…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (1)(i) of this section by updating the “Calculation of Registration Fee” table to indicate the class and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430A Prospectus in a registration statement at the time of effectiveness."]
§ 230.430A Prospectus in a registration statement at the time of effectiveness.
§ 230.430A Prospectus in a registration statement at the time of effectiveness. (10)) thereof. (d) This rule shall not apply to registration statements for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (5): For the purposes of calculating joint net worth in this paragraph (a) (5): Joint net worth can be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.168 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."]
§ 230.168 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.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (5) If a filing fee is paid under this paragraph for the registration of an offering and the registration statement also covers…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.497 Filing of investment company prospectuses—number of copies."]
§ 230.497 Filing of investment company prospectuses—number of copies.
§ 230.497 Filing of investment company prospectuses—number of copies. a national securities association registered under Section 15A of the Securities Exchange…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (3)( i ): The date of use refers to the date or dates when an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. (3) Use the method of calculating record ownership in Rule 12g3-2(a) under the Exchange Act (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. (3) (i), (ii), or (iii) of this section. (b) Communications…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts."]
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts. (1) of this section shall become effective at such time as the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (3) The following are not “directed selling efforts”: (i) Placing an advertisement required to be published under U.S. or foreign law…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (7), shall be deemed to be part of and included in the registration statement on the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.158 Definitions of certain terms in the last paragraph of section 11(a)."]
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a). (3) The date of filing of the last report of the issuer incorporated by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. of determining the residence of offerees and purchasers: (1) A corporation, partnership, limited liability company…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.401 Requirements as to proper form."]
§ 230.401 Requirements as to proper form.
§ 230.401 Requirements as to proper form. (2) An automatic shelf registration statement as defined in Rule 405 (§ 230.405) and any post-effective amendment…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (1) No amendment…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (1) Special…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.175 Liability for certain statements by issuers."]
§ 230.175 Liability for certain statements by issuers.
§ 230.175 Liability for certain statements by issuers. (1) A statement containing a projection of revenues, income (loss), earnings (loss) per share, capital…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (14) Whether, in the opinion of counsel, the security is exempt from specified taxes, or the extent to which…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.494 Newspaper prospectuses."]
§ 230.494 Newspaper prospectuses.
§ 230.494 Newspaper prospectuses. (9) Underwriting discounts and commissions per unit and in the aggregate. (g) A newspaper prospectus may also include, in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (3)(i) of this section as a part of its market-making related activities in such financial…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) exemption for “transactions by any person other than an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (3) Sections 230.251 through 230.263 (Regulation A), on the earlier of the date the issuer first made an offer soliciting interest in a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings."]
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings. (2)); (ii) A shell company, other than a business combination…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing."]
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. (2) Be inconsistent…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (2) of this section are satisfied, a broker's or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (1)(i)(J) may be formed for the purpose of acquiring the securities being offered under this section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (79)), and also includes a synthetic asset-backed security and a hybrid cash and synthetic…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (3) If a registration statement is amended to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (2), suspend the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (2)(ii) (A) or (B) of this section, the information contained in its most recent filing on Form 20-F or Form F-1 (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. its securities in similar…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers."]
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. as soon as practicable after…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. (2)(v) of this section. In such case, if the material filed may be withdrawn…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (25) of this chapter, must include the following statement: You could…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (2) The term person when used with reference to a person for whose…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1)(v)(A). (B) If a Fund incorporates any information by reference into the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. (2) One of the following three conditions is met: (i) Such…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.168 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."]
§ 230.168 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.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (8) Is subject to a United States Postal Service false representation order entered within five years before the filing…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (2) An issuer that is an emerging growth company as of the first day of that fiscal year shall continue to be deemed an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (1) Notwithstanding paragraph (a) of this section, where a registration statement relates to an offering of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.481 Information required in prospectuses."]
§ 230.481 Information required in prospectuses.
§ 230.481 Information required in prospectuses. (3)) and § 230.174. If the expiration date is not known on the effective date of the registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (5) above, a form of prospectus or prospectus supplement relating to an offering of asset-backed securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (1) of this section that constitutes a substantive change from or addition to the information set forth in the last offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. system; toll-free telephone number; and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. additional copies shall be filed in the exact form in which it was used or published.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (4) of the Act shall be deemed to include…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (6)), or a bank holding company (as defined in section 2 of the Bank Holding Company Act of 1956 (12…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (2) The outside front cover page of the Preliminary Offering Circular shall bear the caption “Preliminary…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. (7) For rights offerings and business combinations, including exchange offers conducted pursuant to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (3) A corporation, partnership, trust or other form of business organization, which is organized for the specific…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (9): For the purposes this paragraph (a) (9), “investments” is defined in rule 2a51-1(b) under the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (2) Sales. The…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (1) No exemption under this section shall be available for a sale…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (3)) in § 230.903) absent registration or an applicable exemption from the registration requirements; and (C) Such advertisement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (2), suspend the ability of registrant to file a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (3) Successors. A successor issuer will be considered to satisfy the applicable…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (3) A corporation, partnership, trust or other form of business organization, which is organized for the specific…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (3) Deposit of securities. (i) All securities issued in connection with the offering, whether or not for cash…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.415 Delayed or continuous offering and sale of securities."]
§ 230.415 Delayed or continuous offering and sale of securities.
§ 230.415 Delayed or continuous offering and sale of securities. (5) of this section, which may, if permitted, be an automatic shelf registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (5): Offers by the issuer, or persons acting on behalf of the issuer, limited exclusively to qualified institutional buyers and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (2) Sales. (i) No sale of securities may be made: (A) Until the offering statement has been qualified; (B) By issuers that are…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (1) If the registration statement has not yet become effective, the following statement: A registration…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (3) If a registration statement is amended to include or is deemed to include, through…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (3) the price of securities of the same class, as determined in accordance with paragraph (c) of this section. If the fee is to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (1) Where securities are to be offered pursuant to an employee benefit plan, the aggregate offering price and the amount of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (1) of this section will be considered filed as to the securities identified in the registration statement for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.406 Confidential treatment of information filed with the Commission."]
§ 230.406 Confidential treatment of information filed with the Commission.
§ 230.406 Confidential treatment of information filed with the Commission. (1) Upon the lapse of five days after the dispatch of notice by registered or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (3) Back cover page or last page of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (2)( i )(C). When securities underlying warrants or convertible securities are being qualified pursuant to Tier 2 of Regulation A…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. conversion, are promptly deposited into the escrow or trust account. (4) Escrow or trust agreement. A copy of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (3) Rules for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (2)(i) A free writing prospectus used in reliance on this section shall contain…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.257 Periodic and current reporting; exit report."]
§ 230.257 Periodic and current reporting; exit report.
§ 230.257 Periodic and current reporting; exit report. (2) of this section, is not available for any class of securities if: (i) During that fiscal year a Tier…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (1) The issuer shall, in connection with any securities sold by it pursuant to this section: (i) Place a prominent…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3) The term restricted securities means: (i) Securities acquired…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets."]
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. (2) The term party as used in paragraphs (c) and (d) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. That, for purposes of this section: (A) Each series of a series company (as defined in Rule 18f-2…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (2) Is accompanied or preceded by a prospectus or a summary prospectus, other than a free writing prospectus…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (2) of this section as to: (i) Any director (or person acting in such capacity) of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities."]
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities. (2) of this section, it must: 1. Have previously…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (2) was not required to be filed pursuant to paragraph (b) because it did not contain substantive changes…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (2) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (2) (i) or (ii) of this section. (vi) For business combinations or exchange offers, in addition to information required…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (3)(i)(F) prohibits the issuer from continuing to sell securities using the offering statement, or any earlier date on which the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (1) The issuer shall, in connection with any securities sold by it pursuant to this section: (i) Place a prominent…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. (5) of this chapter, unless: (i) Average daily trading volume of the subject securities in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.253 Offering circular."]
§ 230.253 Offering circular.
§ 230.253 Offering circular. (4) as soon as practicable after the discovery of such failure to file. (5) Each offering circular filed under this section must…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (3) Incorporation by reference. (i) Except as provided by paragraph (b) (3)(ii) of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. person from engaging or continuing to engage in any conduct or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.262 Disqualification provisions."]
§ 230.262 Disqualification provisions.
§ 230.262 Disqualification provisions. (4) If the issuer establishes that it did not know and, in the exercise of reasonable care, could not have known that a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) The services are not in connection with the offer or sale of securities in a capital-raising transaction, and do not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. 1933. Initial purchaser means a person who has agreed with an issuer to purchase a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (3) A registrant's ability to file a post-effective…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”."]
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”. (4) shall not be deemed to include an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (11) Any natural person who is a “knowledgeable employee,” as defined in rule 3c-5(a) (4) under the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. the system; and (B) The issuer, distributors, their respective affiliates, persons acting on behalf of any of the foregoing, foreign…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. (3) Disclosure of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.605 Filing and use of the offering circular."]
§ 230.605 Filing and use of the offering circular.
§ 230.605 Filing and use of the offering circular. (4) An offering circular contains all of the information specified in Schedule A or Schedule B (17 CFR…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (2)(i) and/or (ii)), must include the following statement: You could…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (2) of this section as to: (i) Any director (or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.134 Communications not deemed a prospectus."]
§ 230.134 Communications not deemed a prospectus.
§ 230.134 Communications not deemed a prospectus. (2) and (d) of this section that a prospectus that meets the requirements of section 10 of the Act precede or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (12)(iii). (b) Affiliate. An affiliate of, or person affiliated with, a specified person shall mean a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (2) A post-effective amendment that includes a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147A Intrastate sales exemption."]
§ 230.147A Intrastate sales exemption.
§ 230.147A Intrastate sales exemption. (3) The issuer shall, at the time of any offer or sale by it of a security pursuant to this section (§ 230.147A)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies."]
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies. (2) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. this section shall be deemed also to refer to the form of Statement of Additional Information. (g) A form…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. (2) of this section as to: (i) Any accountant…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (4) The term debt securities means: (i) Any security other than an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (2) In determining the aggregate amount of securities owned and invested on a discretionary basis by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.456 Date of filing; timing of fee payment."]
§ 230.456 Date of filing; timing of fee payment.
§ 230.456 Date of filing; timing of fee payment. (5) An issuer paying the fee required by paragraph (d) (1) of this section or any portion thereof more than 90…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (1) or § 230.506(c), neither the issuer nor any person acting on its behalf shall offer or sell the securities by any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (3) of this section, the 90 calendar day period for dealers shall commence on the day of the first bona fide offering of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (4) Which is able to be purchased or redeemed, subject to conditions or limitations as described in the registration statement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (8), and (f) of this section, the following shall be filed with the Commission under…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. this section: (1)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.147 Intrastate offers and sales."]
§ 230.147 Intrastate offers and sales.
§ 230.147 Intrastate offers and sales. (3) The issuer shall, at the time of any offer or sale by it of a security pursuant to this section (§ 230.147)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (5)(i) through (ix) of this section. (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (4) Multiple Funds and Classes. A Summary Prospectus may describe only one Fund…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (2)(i) and/or (ii)), must include the following statement: You could…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. the period of time specified in the relevant provision of § 230.903, except that: (1) All offers and sales by a distributor of an unsold…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802."]
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802. well as from third-party information providers. These examples are not intended to be exclusive. (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (2) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (3) Where a registration statement includes securities to be offered pursuant to an employee benefit plan and covers the resale…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (2) of this section as to: (i) Any accountant with respect to financial statements or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. the structure, design, or assembly of an asset-backed security or the composition of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.152 Integration."]
§ 230.152 Integration.
§ 230.152 Integration. (5) prohibits the issuer from continuing to sell securities using the registration statement, or any earlier date on which the offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2) The obligation of the registrant to provide, and the right of the purchaser to receive, information regarding…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. such person's registration as a broker, dealer, municipal…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 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."]
§ 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.
§ 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…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (4) The conditions set forth in paragraph (e) of this section are satisfied. (d)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (5) For purposes of this section, riskless principal transaction means a transaction in which a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (3) The condition to file a free writing prospectus under paragraph (d) (1) of this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (1)), or any other rule or regulation thereunder; or (B) Section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.502 General conditions to be met."]
§ 230.502 General conditions to be met.
§ 230.502 General conditions to be met. (2) of the Act and cannot be resold without registration under the Act or an exemption therefrom. The issuer shall…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.192 Conflicts of interest relating to certain securitizations."]
§ 230.192 Conflicts of interest relating to certain securitizations.
§ 230.192 Conflicts of interest relating to certain securitizations. (1) The asset-backed security (as defined in this section) is not issued by a U.S. person…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (4). If an affiliated person, promoter, or principal underwriter of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings."]
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings. document immediately prior to such effective…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (1) Post-effective amendment for acquisition agreement. Upon execution of an agreement(s) for the acquisition(s)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (3) Continuous or delayed offerings. (i) Continuous or delayed offerings may be made under this Regulation A, so long as the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (1)(vii) or § 230.415(a) (1)(xii) disclosing information previously omitted from the prospectus filed as…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. 436. (g) Notwithstanding paragraph (e) or (f) of this section or paragraph (a) of Rule…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities."]
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities. (4) Exchange-traded fund…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies. (2) of this section, if another post-effective…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1) The term foreign private issuer means any foreign issuer other than a foreign government except an issuer meeting the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. an Initial Summary Prospectus for a…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. other issuer (whether or not it had control before the acquisition). (e) Calculation of number of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. in connection with the issuance of such receipts. (l) Notwithstanding the other provisions of this rule, the proposed maximum…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (4) Financial…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) of this section shall not apply to restricted securities sold…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (3)) in § 230.903, as applicable, shall be made only in accordance with the provisions of § 230.903 or § 230.904; pursuant to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (6)(i) Notwithstanding the provisions of paragraph (d) of this section, in an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (3) A non-contributory employee benefit plan within the meaning of Title I of the Employee Retirement…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1) The Fund's current Summary Prospectus, Statutory Prospectus, Statement of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (1) of this section shall not apply: (i) With respect to any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (11) of the Act, and such securities shall be deemed not to have been offered to the public within…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation."]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. (6) If the sale…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (4) of this section must be presented in a type size at least as large…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (3)(i)(F), securities covered by the prior offering statement may continue to be offered and sold until the earlier of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (2)(v)(A), (B), and (D) of this section…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2) Terms of the offering. The terms of the offering must provide, and the registrant must satisfy, the following…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.430B Prospectus in a registration statement after effective date."]
§ 230.430B Prospectus in a registration statement after effective date.
§ 230.430B Prospectus in a registration statement after effective date. (5), or (b) (7). (i) Issuers relying on this section shall furnish the undertakings…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (8) of this chapter, the issuer shall not exclude securities held by persons who received the securities pursuant to an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (2) Affiliates or persons selling on behalf of affiliates. Any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (3). (n) Where the securities to be offered are guarantees of other securities which are being registered concurrently, no…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. (2) The form of prospectus must include the following information in an exhibit submitted as required by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (3)) in § 230.903, as applicable, shall include statements to the effect that the securities have not been registered under the Act and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering."]
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. (1) of this section, events relating to any affiliated issuer…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (4) of the Act shall apply, except that in the case of a proceeding under the Federal Bankruptcy Code (11…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1). (c) Use of applications. An advertisement that complies with this…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (3) Conditions for release of deposited securities and funds. Funds held in the escrow or trust account may be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (1) The dollar amount of the previously paid filing fee to be offset against the currently due filing fee; (2) The amount of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (6)(i) through (iv) of this section. (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) Once an issuer qualifies as a foreign private issuer, it will immediately be able to use the forms and rules designated for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) An offer or sale of securities is made in an “offshore transaction” if: (i) The offer is not made to a person in the United States…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (7) The condition to file a free writing prospectus or issuer information pursuant…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) Reporting issuers. The issuer is, and has been for a period of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1) of this section must be presented on the Web site in a format, or formats…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. (3)(ii), the term at the market offering means an offering of equity securities into an existing trading market for outstanding…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (1) The securities are sold only to a qualified institutional buyer or to a purchaser that the seller…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (6)(i) of this section. Provide enough…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (2) Has such knowledge and experience in financial and business matters that he is capable of evaluating…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (8)(ii) of this section, a written communication that is a road show shall not be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (3) of this section shall be deemed to be met, notwithstanding the fact that the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1), the person can rely upon: 1. A statement in whichever is the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (5) A statement that the registrant has: (i) Withdrawn the prior registration statement; or (ii) Terminated or completed any…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (2) Tax-equivalent yield. A tax-equivalent yield that: (i) Is based on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (4) Prospectus supplement. If funds and securities are released from the escrow or trust account to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. a person fulfilling an equivalent function, or other executive officer of the purchaser, specifying…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) of this section, publication or distribution of a research report in accordance with Rule 138(c) (§ 230.138(c)) or Rule 139(b) (§…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) A written communication that constitutes an offer to sell or solicitation of an offer to buy such securities that falls…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (1) Delivery upon request. If paragraph (c) or (d) of this section is relied on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (8): A communication that is provided or transmitted simultaneously with a road show…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. (2) File the financial statements and additional information with the Commission under cover of Form 8-K (17 CFR…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. units of securities or the maximum aggregate offering price of any securities until the issuer updates the “Calculation of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) “Substantial U.S. market interest” with respect to a class of an issuer's equity securities means: (i) The securities exchanges and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.501 Definitions and terms used in Regulation D."]
§ 230.501 Definitions and terms used in Regulation D.
§ 230.501 Definitions and terms used in Regulation D. (4) of this section must be made with specific reference to each prospective investment. Advance blanket…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (2) of this section need not be sent or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (3) Average annual total return. Average annual total return for one…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1) An ineligible issuer is an issuer with respect to which any of the following is true as of the relevant date of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) General rule. (i) If the issuer of the securities is, and has…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (3) The securities offered or sold: (i) Were not, when issued, of the same class as securities listed…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1), and the principal amount or principal balance of its securities described in § 230.902(a) (2), in the aggregate, is held of record…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. file such reports), other than reports on Form 8-K required solely pursuant to an item specified in General Instruction I.A.2…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (1) of this section, historical issuer information that is identified as such and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (4) The registration fee is calculated by multiplying the net sales amount by the fee payment rate in effect on the date of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (2) of the Act (15 U.S.C. 77e(b) (2)) to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (4) After-tax return. For an open-end management investment company…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. (4)(i) In the case of securities of an issuer that is neither subject to section 13 or 15(d) of the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (2) Promissory notes, other obligations or installment contracts…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. the document. (2) Greater prominence. If paragraph (c) or (d) of this section is…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (2) The following are not “U.S. persons”: (i) Any discretionary account or similar account (other than an estate or trust) held for the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144A Private resales of securities to institutions."]
§ 230.144A Private resales of securities to institutions.
§ 230.144A Private resales of securities to institutions. than 6 months before the date of resale, it shall be accompanied by additional statements of profit…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (2) of this section, within four business days after the issuer or other offering…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1)(iv) if an issuer has filed an annual report with audited financial statements subsequent to its emergence from that…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (3) of this section; (iii) In the case of any measure of performance…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498 Summary Prospectuses for open-end management investment companies."]
§ 230.498 Summary Prospectuses for open-end management investment companies.
§ 230.498 Summary Prospectuses for open-end management investment companies. (5) Compliance with paragraph (f) not a condition to reliance on paragraphs (c)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (4) The conditions set forth in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3) Determination of holding period. The following provisions…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. organizations, their agencies, affiliates and pension plans. (l) United States. “United States” means the United States of America, its…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (4)(B)(i) through (iv)); (vi) Within the past three years (but in the case of a decree or order agreed to in a settlement, not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1) Yield. Any quotation of the money market fund's yield in an…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1) The current Initial Summary…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (3) For purposes of this paragraph (f) of this section, an issuer that is in the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3)( ii ): If the surrendered securities originally did not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (1) An issuer free writing prospectus means a free writing prospectus prepared by or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. that if the securities were pledged without recourse they shall be…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (2) An issuer shall not be an ineligible issuer if the Commission determines, upon a showing of good cause, that it is not…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1)(i) of this section. Place the quotations of total return and…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1) of this section must be presented on…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1)(i) The total return quotations are current to the most recent…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. 164. Majority-owned subsidiary. The term majority-owned subsidiary means a subsidiary more than 50 percent of whose outstanding…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.433 Conditions to permissible post-filing free writing prospectuses."]
§ 230.433 Conditions to permissible post-filing free writing prospectuses.
§ 230.433 Conditions to permissible post-filing free writing prospectuses. (5) A bona fide electronic road show means a road show that is a written…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies."]
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3)( vi) ): While there is no holding period or amount limitation…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1) The term promoter includes: (i) Any person who, acting alone or in conjunction with one or more other persons, directly or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.482 Advertising by an investment company as satisfying requirements of section 10."]
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10. (1) The maximum amount of any sales load, or any other nonrecurring…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3)(ii) and (ix) of this section. (ix) Holding company formations…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (3) of this section, as soon as…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3)( x ): If the options or warrants originally did not provide…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1) to any person requesting a copy of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (2)), that is registered under the Investment Company Act. Registrant. The term registrant means the issuer of the securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (4) Website addresses. If paragraph (f)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) If any securities are sold for the account of an affiliate of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) of this definition. A registrant that files its financial statements in accordance with or provides a reconciliation to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) of this section or, together with all sales of securities of…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1)(ii) of this section is conveyed for…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. days of the registrant's most recently completed month ending prior to the earlier of the registrant's announcement date or…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts."]
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 230.498A Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts. (1) or (2) of this section.
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (2) of this section, whichever is applicable; Note to § 230.144( e…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) Income test. (i) This test is met when: (A) The absolute value of the registrant's and its other subsidiaries' equity in…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (2) of this section, whichever is applicable; (iv) Where…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3)(i)(B) in this definition does not apply and the absolute value of the registrant's and its subsidiaries' consolidated…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (38) of the Exchange Act; or (iii) Riskless principal transactions…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (4)(i) of this definition) condition exceeds 5 percent. However, if the absolute value of the change in net assets resulting…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3) Paragraph (f) of this section shall not apply to: (i)…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3) Whether an issuer is a smaller reporting company is determined on an annual basis. (i) For issuers that are required to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (4) After reasonable inquiry is not aware of circumstances…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. and computed by multiplying the aggregate worldwide number of shares of its voting and non-voting common equity held by…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3) of this section should include, but not necessarily be limited…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (3)(iii)(A) of this definition will qualify as a smaller reporting company regardless of its revenues. Instruction 2 to…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (3) The Form 144 shall be signed by the person for whose account…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1)(ii) of this definition unless, at the determination date, the issuer also is eligible to register a primary offering of its…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1) This section is not available for the resale of securities…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1)(i) of this definition and, as to the subsidiaries' securities that are being or may be offered on that parent's…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters."]
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters. (1)(i), then those securities may be sold subject to the…
["CHAPTER II—SECURITIES AND EXCHANGE COMMISSION", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (2) For purposes of this definition, the determination date as to whether an issuer is a well-known seasoned issuer shall be…

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