17 CFR Part 230 — General Rules and Regulations, Securities Act of 1933 (SEC; incl. Regulation D) [eCFR point-in-time]

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["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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 §…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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 (§…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company and registered non-variable annuity sales literature."]
§ 230.156 Investment company and registered non-variable annuity sales literature.
§ 230.156 Investment company and registered non-variable annuity sales literature. (a) Under the Federal securities laws, including section 17(a) of the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies."]
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies. (a) Five copies of every form of prospectus sent or…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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 (§§…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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 the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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 §…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.461 Acceleration of effective date."]
§ 230.461 Acceleration of effective date.
§ 230.461 Acceleration of effective date. been reviewed to the extent required by the National Association of Securities Dealers, Inc. and such Association has…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company and registered non-variable annuity sales literature."]
§ 230.156 Investment company and registered non-variable annuity sales literature.
§ 230.156 Investment company and registered non-variable annuity sales literature. (2) Representations about past or future investment performance could be…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.495 Preparation of registration statement."]
§ 230.495 Preparation of registration statement.
§ 230.495 Preparation of registration statement. furnishing the information in item-and-answer form. Wherever such copies are filed in lieu of information in…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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) General conditions. To qualify for exemption under this…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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. (9) or (11) of the Act if the conditions of either of these…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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) If the covered…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 230.254 Preliminary offering circular."]
§ 230.254 Preliminary offering circular.
§ 230.254 Preliminary offering circular. Circular is filed as a part of the offering statement.
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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, well-known seasoned…
["Title 17", "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. (1) The name of the employer; (2) The class of employees being offered the securities; (3) The offering…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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)…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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) (§ 230.415(a) (6)), and any post-effective amendment…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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.
["Title 17", "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…
["Title 17", "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…
["Title 17", "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. documents or information referred to in paragraph (a) of this section to the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. registration statement. (d) Where securities are to be offered at varying prices based upon fluctuating values of underlying…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933", "§ 230.500 Use of Regulation D."]
§ 230.500 Use of Regulation D.
§ 230.500 Use of Regulation D. terms and conditions of rule 506(b) (§ 230.506(b)) shall not raise any presumption that the exemption provided by section 4(a)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. transmitted for filing as follows: (1) A form of prospectus that discloses information previously omitted…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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)(i) by an issuer eligible to use Form S-3 or Form F-3 (§ 239.13 or § 239.33 of this…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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. (2) Offering of an investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.), other…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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 §…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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) For purposes of this section, qualified institutional buyer shall mean: (i) Any of the following…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "amendments; withdrawals", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "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. (2) The term trading facility…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies."]
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies. N-4, within five days after the effective date of a…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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. Provided, That a notification may not be withdrawn after any of the securities proposed to be offered thereunder…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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. (1) Has its equity…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.402 Number of copies; binding; signatures."]
§ 230.402 Number of copies; binding; signatures.
§ 230.402 Number of copies; binding; signatures. or all documents retained pursuant to this section.
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.156 Investment company and registered non-variable annuity sales literature."]
§ 230.156 Investment company and registered non-variable annuity sales literature.
§ 230.156 Investment company and registered non-variable annuity sales literature. (4) Representations about the fees or expenses associated with an investment…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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. (2) The number of additional shares an existing security holder may purchase initially is in…
["Title 17", "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) If the covered…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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)); (B) A shell company, other than a business combination related shell company…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "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) Either: (i) Satisfies the public float threshold…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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. the form of prospectus filed with the Commission pursuant to Rule 424(b) (1) (§…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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. (3) of the Act shall not terminate until 90 days after the date funds…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "written consents", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A-R—Special Exemptions", "§ 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…
["Title 17", "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. or a written communication directed to security holders or employees, as the case may be, or…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.495 Preparation of registration statement."]
§ 230.495 Preparation of registration statement.
§ 230.495 Preparation of registration statement. should not presume a registration statement has been accepted until notice of acceptance has been received…
["Title 17", "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, including reasonably designed written policies and procedures…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.494 Newspaper prospectuses."]
§ 230.494 Newspaper prospectuses.
§ 230.494 Newspaper prospectuses. (9) of this section. All other information and documents contained in the registration statement may be omitted. The…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (2) Formed by an entity that is not a shell company solely for the purpose of completing a business combination transaction (as…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. (G) The number of non-accredited investors who have invested in the offering, as long as the change does not increase the…
["Title 17", "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. legend by substantially the same…
["Title 17", "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. a person is not engaged in a distribution. Rule 144 creates a safe…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies."]
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies. non-variable annuities being filed on Form N-4, after…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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) Offerings up to $20,000,000. The financial statement information required by paragraph (b) of Part F/S of Form 1-A…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 230.251 Scope of exemption."]
§ 230.251 Scope of exemption.
§ 230.251 Scope of exemption. the securities: (1) Is an entity organized under the laws of the United States or Canada, or any State, Province, Territory or…
["Title 17", "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) (D) or (E) of this section, except trust funds that include as participants individual…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 230.255 Solicitations of interest and other communications."]
§ 230.255 Solicitations of interest and other communications.
§ 230.255 Solicitations of interest and other communications. (2) in the case of paragraph (b) (4)(ii) of this section, the URL continues to link directly to…
["Title 17", "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. the Securities Exchange Act of 1934; and (ii) The statements are not made by or on behalf of an issuer…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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. this chapter) pursuant to General Instruction I.B.1, I.B.2, I.C, or I.D. (2)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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. (2) A statement of management's plans and objectives for future operations; (3) A statement of future…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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 securities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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) Offerings over $20,000,000. The financial statement information required by paragraph (c) of Part F/S of Form 1-A…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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. residence of offerees and purchasers: (1) A corporation, partnership, limited liability company, trust or other form of…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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 the applicable form permits, including the information in the issuer's periodic…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies."]
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies. in longhand, provided it is legible. (h) No later than…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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. document, if any…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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. (2) Include securities underlying American Depositary Shares convertible or exchangeable into the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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)(i) of this section will not apply to any calculation of a person's net worth made in connection with…
["Title 17", "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. sale in such offering. (d) Residence of purchasers. Sales of securities pursuant to this section (§ 230.147A) shall be…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. (3) but occurred before January 20, 2017.
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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) With respect to assets: Bank statements, brokerage statements…
["Title 17", "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…
["Title 17", "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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. not follow the numerical sequence of the items of the form used for registration. Every summary prospectus shall be dated…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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)…
["Title 17", "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 this section is satisfied; (iii) The…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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)…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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. or accompany any free writing prospectus provided after such availability, whether…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. (8) Any entity in which all of the equity owners are accredited investors; Note 1 to paragraph (a) (8)…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 230.431 Summary prospectuses."]
§ 230.431 Summary prospectuses.
§ 230.431 Summary prospectuses. first use or publication thereof, 5 additional copies shall be filed in the exact form in which it was used or published.
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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. similar reports.
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (2) The amount and title of the securities being sold; (3) A brief indication of the issuer's general type of business; (4) The price of…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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. to receive prospectuses or other documents and communications by electronic…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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) Be inconsistent with the offshore transaction…
["Title 17", "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…
["Title 17", "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. of this section: (A) Each series of a series company (as defined in Rule 18f-2 under the Investment…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. the plan, provided the securities to be registered are newly issued, or are purchased for the account of plan participants, at…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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) The date on which a form of prospectus is deemed to be part of and included in the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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. (6) For exchange offers conducted pursuant to § 230.802 under the Act by persons other than the…
["Title 17", "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. practicable after discovery of the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "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. (21) of this chapter, must include the following statement: You could…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies."]
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.497 Filing of investment company or registered non-variable annuity prospectuses—number of copies. (2) The text of the most recent registration statement…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (10) Any legend required by law or any foreign or U.S. regulatory or self-regulatory authority; (iv) Bona fide visits to real estate…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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. (2) of this section require to be included in the Summary Prospectus; and (C)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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 (§…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.419 Offerings by blank check companies."]
§ 230.419 Offerings by blank check companies.
§ 230.419 Offerings by blank check companies. promptly deposited into the escrow or trust account. (4) Escrow or trust agreement. A copy of the executed escrow…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. (10), the Commission will consider, among others, the following attributes: (i) The certification…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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)), must include the following statement: You could lose money by…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations", "§ 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. retained to advise it about the transaction, as well as from third-party information providers…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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) Any “family office,” as defined in rule 202(a) (11)(G)-1 under the Investment Advisers Act of 1940…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "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), must include the following statement: You could lose money by…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 230.424 Filing of prospectuses, number of copies."]
§ 230.424 Filing of prospectuses, number of copies.
§ 230.424 Filing of prospectuses, number of copies. to “form of prospectus” in paragraphs (a), (b), and (c) of this section shall be deemed also to refer to…
["Title 17", "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…
["Title 17", "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) Affiliated person has…
["Title 17", "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)…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. five years before such sale, that, at the time of such sale…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. S (§ 230.901 through § 230.905, and Preliminary Notes). (e) Domestic issuer/Foreign issuer. “Domestic issuer” means any issuer other…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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. (2) The Summary Prospectus is not bound together with any materials, except that a…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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)…
["Title 17", "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. or assembly of an asset-backed security or the composition of the pool of assets…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. verify the accuracy of information furnished under paragraph (b) (2) (i) or (ii) of this section. (vi) For business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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. in any such document immediately prior to such…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. (3) Engaging in savings association or credit union activities…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. be imposed in connection with the issuance of such receipts. (l) Notwithstanding the other provisions of this rule, the proposed…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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) It is proved that prior to or at the same time with such communication a…
["Title 17", "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…
["Title 17", "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. (2) The offer and sale of the asset-backed security (as defined by this section) is in…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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) Three copies of a form of prospectus relating to an offering of asset-backed securities pursuant to §…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities."]
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) Each distributor agrees in writing: (i) That all offers and sales of the securities prior to the expiration of the distribution…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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) A form of prospectus filed pursuant to this section that operates to reflect the payment of filing fees…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment Companies", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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. stock of another issuer if, immediately after the acquisition, the acquiring issuer has control of the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) Section 230.903, the transaction is executed in, on or through a physical trading floor of an established foreign securities…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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. 424(b) (2), (b) (5), or (b) (7). (i) Issuers relying on this section shall furnish the…
["Title 17", "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. an equivalent function, or other executive officer of the purchaser, specifying the amount of…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation A—Conditional Small Issues Exemption", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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 (e) (1) of this section or any portion thereof more than 90…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. statement: (1) The dollar amount of the previously paid filing fee to be offset against the currently due filing fee; (2) The…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) Has a class of securities registered pursuant to Section 12(b) or 12(g) of the Exchange Act (15 U.S.C. 78l(b) or 78l(g)) or is…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (2) “Substantial U.S. market interest” with respect to an issuer's debt securities means: (i) Its debt securities, in the aggregate, are…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. number of units of securities or the maximum aggregate offering price of any securities until the issuer updates the “Calculation…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1) A prospectus satisfying the requirements of section 10(a) of the Act, Rule 430 (§ 230.430), Rule 430A (§ 230.430A), Rule…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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. or she should access and save the document. (2) Greater prominence. If paragraph…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 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)…
["Title 17", "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. before the date of resale, it shall be accompanied by additional statements of profit and loss and…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "filings; fees; effective date", "§ 230.457 Computation of fee."]
§ 230.457 Computation of fee.
§ 230.457 Computation of fee. (2) of this section from the amount in paragraph (u) (1) of this section. If the resulting amount is positive, the amount is the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. (1) “U.S. person” means: (i) Any natural person resident in the United States; (ii) Any partnership or corporation organized or…
["Title 17", "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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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 provide…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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. pledged without recourse they shall be deemed to have been…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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) and (d) of this section will be deemed to be satisfied if: (i) No payment is…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "§ 230.902 Definitions."]
§ 230.902 Definitions.
§ 230.902 Definitions. affiliates and pension plans. (l) United States. “United States” means the United States of America, its territories and possessions…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "Regulation E—Exemption for Securities of Small Business Investment 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 development companies.
§ 230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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 for…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "form and content of prospectuses", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "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) or (2) of this section, whichever is applicable; (v) The…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (5) Whose contract value may reflect a positive or negative adjustment (based on calculations using a predetermined formula, a…
["Title 17", "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 securities shall be sold in one of the following manners…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (1)(ii) of this definition, and dispositions this test is met when the registrant's and its other subsidiaries' investments in…
["Title 17", "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)…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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) Neither solicits nor arranges for the solicitation of…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "registration by foreign governments or political subdivisions thereof", "§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts."]
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.498A Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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) Non-reporting issuers. If the issuer is not subject to the…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 230.405 Definitions of terms."]
§ 230.405 Definitions of terms.
§ 230.405 Definitions of terms. (41)): (i) Investment test. The value of the registrant's and its other subsidiaries' investments in and advances to the tested…
["Title 17", "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…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…
["Title 17", "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 “Form 10 information” means the information that is…
["Title 17", "PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933", "general requirements", "§ 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…

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