Forms Pertaining to Exemptions

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Forms Prescribed Under the Securities Act of 1933
  6. Forms Pertaining to Exemptions

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Section
239.90

Form 1-A, offering statement under Regulation A.

Section
239.91

Form 1-K.

Section
239.92

Form 1-SA.

Section
239.93

Form 1-U.

Section
239.94

Form 1-Z.

Sections
239.95-239.143

§§ 239.95-239.143 [Reserved]

Section
239.144

Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.

Sections
239.145-239.199

§§ 239.145-239.199 [Reserved]

Section
239.200

Form 1-E, notification under Regulation E.

Section
239.201

Form 2-E, report of sales pursuant to Rule 609 of Regulation E.

Sections
239.202-239.300

§§ 239.202-239.300 [Reserved]

Section
239.500

Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.

Section
239.701

§ 239.701 [Reserved]

Section
239.800

Form CB, report of sales of securities in connection with an exchange offer or a rights offering.

Section
239.900

Form C.