PocketLaw | CFR 17 | General Rules and Regulations, Securities Act of

General Rules and Regulations, Securities Act of 1933

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Section
230.100

Definitions of terms used in the rules and regulations.

Section
230.110

Business hours of the Commission.

General

Section
230.111

Payment of fees.

Regulation A-R - Special Exemptions

Regulation a - Conditional Small Issues Exemption

Regulation C - Registration

General Requirements

Form and Content of Prospectuses

Written Consents

Filings; Fees; Effective Date

Amendments; Withdrawals

Investment Companies; Business Development Companies

Registration by Foreign Governments or Political Subdivisions Thereof

Regulation D - Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933

Regulation E - Exemption for Securities of Small Business Investment Companies

Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations

Regulation S - Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933

Regulation Ce - Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law

Section
230.120

Inspection of registration statements.

Section
230.122

Non-disclosure of information obtained in the course of examinations and investigations.

Section
230.130

Definition of “rules and regulations” as used in certain sections of the Act.

Section
230.131

Definition of security issued under governmental obligations.

Section
230.132

Definition of “common trust fund” as used in section 3(a)(2) of the Act.

Section
230.133

Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.

Section
230.134

Communications not deemed a prospectus.

Section
230.134a

Options material not deemed a prospectus.

Section
230.134b

Statements of additional information.

Section
230.135

Notice of proposed registered offerings.

Section
230.135a

Generic advertising.

Section
230.135b

Materials not deemed an offer to sell or offer to buy nor a prospectus.

Section
230.135c

Notice of certain proposed unregistered offerings.

Section
230.135d

Communications involving security-based swaps.

Section
230.135e

Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.

Section
230.136

Definition of certain terms in relation to assessable stock.

Section
230.137

Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.

Section
230.138

Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.

Section
230.139

Publications or distributions of research reports by brokers or dealers distributing securities.

Section
230.139a

Publications by brokers or dealers distributing asset-backed securities.

Section
230.139b

Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.

Section
230.140

Definition of “distribution” in section 2(11) for certain transactions.

Section
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.

Section
230.142

Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.

Section
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.

Section
230.144

Persons deemed not to be engaged in a distribution and therefore not underwriters.

Section
230.144A

Private resales of securities to institutions.

Section
230.145

Reclassification of securities, mergers, consolidations and acquisitions of assets.

Section
230.146

Rules under section 18 of the Act.

Section
230.147

Intrastate offers and sales.

Section
230.147A

Intrastate sales exemption.

Section
230.148

Exemption from general solicitation or general advertising.

Section
230.149

Definition of “exchanged” in section 3(a)(9), for certain transactions.

Section
230.150

Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.

Section
230.151

Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).

Section
230.152

Integration.

Section
230.152a

Offer or sale of certain fractional interests.

Section
230.153

Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.

Section
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.

Section
230.153b

Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.

Section
230.154

Delivery of prospectuses to investors at the same address.

Section
230.155

§ 230.155 [Reserved]

Section
230.156

Investment company sales literature.

Section
230.157

Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.

Section
230.158

Definitions of certain terms in the last paragraph of section 11(a).

Section
230.159

Information available to purchaser at time of contract of sale.

Section
230.159A

Certain definitions for purposes of section 12(a)(2) of the Act.

Section
230.160

Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.

Section
230.161

Amendments to rules and regulations governing exemptions.

Section
230.162

Submission of tenders in registered exchange offers.

Section
230.163

Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.

Section
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.

Section
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.

Section
230.164

Post-filing free writing prospectuses in connection with certain registered offerings.

Section
230.165

Offers made in connection with a business combination transaction.

Section
230.166

Exemption from section 5(c) for certain communications in connection with business combination transactions.

Section
230.167

Communications in connection with certain registered offerings of asset-backed securities.

Section
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.

Section
230.169

Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.

Section
230.170

Prohibition of use of certain financial statements.

Section
230.171

Disclosure detrimental to the national defense or foreign policy.

Section
230.172

Delivery of prospectuses.

Section
230.173

Notice of registration.

Section
230.174

Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.

Section
230.175

Liability for certain statements by issuers.

Section
230.176

Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.

Section
230.180

Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.

Section
230.190

Registration of underlying securities in asset-backed securities transactions.

Section
230.191

Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.

Section
230.193

Review of underlying assets in asset-backed securities transactions.

Section
230.194

Definitions of the terms “swap” and “security-based swap” as used in the Act.

Section
230.215

Accredited investor.

Section
230.400

Application of §§ 230.400 to 230.494, inclusive.

Section
230.480

Title of securities.

Section
230.481

Information required in prospectuses.

Section
230.482

Advertising by an investment company as satisfying requirements of section 10.

Section
230.483

Exhibits for certain registration statements.

Section
230.484

Undertaking required in certain registration statements.

Section
230.485

Effective date of post-effective amendments filed by certain registered investment companies.

Section
230.486

Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.

Section
230.487

Effectiveness of registration statements filed by certain unit investment trusts.

Section
230.488

Effective date of registration statements relating to securities to be issued in certain business combination transactions.

Section
230.489

Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.

Section
230.601

Definitions of terms used in §§ 230.601 to 230.610a.

Section
230.602

Securities exempted.

Section
230.603

Amount of securities exempted.

Section
230.604

Filing of notification on Form 1-E.

Section
230.605

Filing and use of the offering circular.

Section
230.606

Offering not in excess of $100,000.

Section
230.607

Sales material to be filed.

Section
230.608

Prohibition of certain statements.

Section
230.609

Reports of sales hereunder.

Section
230.610

Suspension of exemption.

Section
230.610a

Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.

Sections
230.651-230.656

§§ 230.651-230.656 [Reserved]

Section
230.701

Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.

Sections
230.702(T)-230.703(T)

§§ 230.702(T)-230.703(T) [Reserved]

Section
230.800

Definitions for §§ 230.800, 230.801 and 230.802.

Section
230.801

Exemption in connection with a rights offering.

Section
230.802

Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.

Section
230.901

General statement.

Section
230.902

Definitions.

Section
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.

Section
230.904

Offshore resales.

Section
230.905

Resale limitations.