Code of Federal Regulations · Part

Part 230 — General Rules And Regulations, Securities Act Of 1933

17 C.F.R. pt. 230

• § 230.100 Definitions Of Terms Used In The Rules And Regulations
• § 230.110 Business Hours Of The Commission
• § 230.111 Payment Of Filing Fees
• § 230.120 Inspection Of Registration Statements
• § 230.122 Non-disclosure Of Information Obtained In The Course Of Examinations And Investigations
• § 230.130 Definition Of “rules And Regulations” As Used In Certain Sections Of The Act
• § 230.131 Definition Of Security Issued Under Governmental Obligations
• § 230.132 Definition Of “common Trust Fund” As Used In Section 3(a)(2) Of The Act
• § 230.133 Definition For Purposes Of Section 5 Of The Act, Of “sale”, “offer”, “offer To Sell”, And “offer For Sale”
• § 230.134 Communications Not Deemed A Prospectus
• § 230.135 Notice Of Proposed Registered Offerings
• § 230.136 Definition Of Certain Terms In Relation To Assessable Stock
• § 230.137 Publications Or Distributions Of Research Reports By Brokers Or Dealers That Are Not Participating In An Issuer's Registered Distribution Of Securities
• § 230.138 Publications Or Distributions Of Research Reports By Brokers Or Dealers About Securities Other Than Those They Are Distributing
• § 230.139 Publications Or Distributions Of Research Reports By Brokers Or Dealers Distributing Securities
• § 230.140 Definition Of “distribution” 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
• § 230.142 Definition Of “participates” And “participation,” As Used In Section 2(11), In Relation To Certain Transactions
• § 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
• § 230.144 Persons Deemed Not To Be Engaged In A Distribution And Therefore Not Underwriters
• § 230.145 Reclassification Of Securities, Mergers, Consolidations And Acquisitions Of Assets
• § 230.146 Rules Under Section 18 Of The Act
• § 230.147 Intrastate Offers And Sales
• § 230.148 Exemption From General Solicitation Or General Advertising
• § 230.149 Definition Of “exchanged” In Section 3(a)(9), For Certain Transactions
• § 230.150 Definition Of “commission Or Other Remuneration” In Section 3(a)(9), For Certain Transactions
• § 230.151 Safe Harbor Definition Of Certain “annuity Contracts Or Optional Annuity Contracts” Within The Meaning Of Section 3(a)(8)
• § 230.152 Integration
• § 230.153 Definition Of “preceded By A Prospectus” As Used In Section 5(b)(2) Of The Act, In Relation To Certain Transactions
• § 230.154 Delivery Of Prospectuses To Investors At The Same Address
• § 230.155 [reserved]
• § 230.156 Investment Company And Registered Non-variable Annuity Sales Literature
• § 230.157 Small Entities Under The Securities Act For Purposes Of The Regulatory Flexibility Act
• § 230.158 Definitions Of Certain Terms In The Last Paragraph Of Section 11(a)
• § 230.159 Information Available To Purchaser At Time Of Contract Of Sale
• § 230.160 Registered Investment Company Exemption From Section 101(c)(1) Of The Electronic Signatures In Global And National Commerce Act
• § 230.161 Amendments To Rules And Regulations Governing Exemptions
• § 230.162 Submission Of Tenders In Registered Exchange Offers
• § 230.163 Exemption From Section 5(c) Of The Act For Certain Communications By Or On Behalf Of Well-known Seasoned Issuers
• § 230.164 Post-filing Free Writing Prospectuses In Connection With Certain Registered Offerings
• § 230.165 Offers Made In Connection With A Business Combination Transaction
• § 230.166 Exemption From Section 5(c) For Certain Communications In Connection With Business Combination Transactions
• § 230.167 Communications In Connection With Certain Registered Offerings Of Asset-backed Securities
• § 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
• § 230.169 Exemption From Sections 2(a)(10) And 5(c) Of The Act For Certain Communications Of Regularly Released Factual Business Information
• § 230.170 Prohibition Of Use Of Certain Financial Statements
• § 230.171 Disclosure Detrimental To The National Defense Or Foreign Policy
• § 230.172 Delivery Of Prospectuses
• § 230.173 Notice Of Registration
• § 230.174 Delivery Of Prospectus By Dealers; Exemptions Under Section 4(3) Of The Act
• § 230.175 Liability For Certain Statements By Issuers
• § 230.176 Circumstances Affecting The Determination Of What Constitutes Reasonable Investigation And Reasonable Grounds For Belief Under Section 11 Of The Securities Act
• § 230.180 Exemption From Registration Of Interests And Participations Issued In Connection With Certain H.r. 10 Plans
• § 230.190 Registration Of Underlying Securities In Asset-backed Securities Transactions
• § 230.191 Definition Of “issuer” In Section 2(a)(4) Of The Act In Relation To Asset-backed Securities
• § 230.192 Conflicts Of Interest Relating To Certain Securitizations
• § 230.193 Review Of Underlying Assets In Asset-backed Securities Transactions
• § 230.194 Definitions Of The Terms “swap” And “security-based Swap” As Used In The Act
• § 230.215 Accredited Investor
• § 230.236 Exemption Of Shares Offered In Connection With Certain Transactions
• § 230.237 Exemption For Offers And Sales To Certain Canadian Tax-deferred Retirement Savings Accounts
• § 230.238 Exemption For Standardized Options
• § 230.239 Exemption For Offers And Sales Of Certain Security-based Swaps
• § 230.240 Exemption For Certain Security-based Swaps
• § 230.241 Solicitations Of Interest
• § 230.251 Scope Of Exemption
• § 230.252 Offering Statement
• § 230.253 Offering Circular
• § 230.254 Preliminary Offering Circular
• § 230.255 Solicitations Of Interest And Other Communications
• § 230.256 Definition Of “qualified Purchaser”
• § 230.257 Periodic And Current Reporting; Exit Report
• § 230.258 Suspension Of The Exemption
• § 230.259 Withdrawal Or Abandonment Of Offering Statements
• § 230.260 Insignificant Deviations From A Term, Condition Or Requirement Of Regulation A
• § 230.261 Definitions
• § 230.262 Disqualification Provisions
• § 230.263 Consent To Service Of Process
• § 230.400 Application Of §§ 230.400 To 230.494, Inclusive
• § 230.401 Requirements As To Proper Form
• § 230.402 Number Of Copies; Binding; Signatures
• § 230.403 Requirements As To Paper, Printing, Language And Pagination
• § 230.404 Preparation Of Registration Statement
• § 230.405 Definitions Of Terms
• § 230.406 Confidential Treatment Of Information Filed With The Commission
• § 230.408 Additional Information
• § 230.409 Information Unknown Or Not Reasonably Available
• § 230.410 Disclaimer Of Control
• § 230.411 Incorporation By Reference
• § 230.412 Modified Or Superseded Documents
• § 230.413 Registration Of Additional Securities And Additional Classes Of Securities
• § 230.414 Registration By Certain Successor Issuers
• § 230.415 Delayed Or Continuous Offering And Sale Of Securities
• § 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
• § 230.417 Date Of Financial Statements
• § 230.418 Supplemental Information
• § 230.419 Offerings By Blank Check Companies
• § 230.420 Legibility Of Prospectus
• § 230.421 Presentation Of Information In Prospectuses
• § 230.423 Date Of Prospectuses
• § 230.424 Filing Of Prospectuses, Number Of Copies
• § 230.425 Filing Of Certain Prospectuses And Communications Under § 230.135 In Connection With Business Combination Transactions
• § 230.426 Filing Of Certain Prospectuses Under § 230.167 In Connection With Certain Offerings Of Asset-backed Securities
• § 230.427 Contents Of Prospectus Used After Nine Months
• § 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
• § 230.429 Prospectus Relating To Several Registration Statements
• § 230.430 Prospectus For Use Prior To Effective Date
• § 230.431 Summary Prospectuses
• § 230.432 Additional Information Required To Be Included In Prospectuses Relating To Tender Offers
• § 230.433 Conditions To Permissible Post-filing Free Writing Prospectuses
• § 230.436 Consents Required In Special Cases
• § 230.437 Application To Dispense With Consent
• § 230.438 Consents Of Persons About To Become Directors
• § 230.439 Consent To Use Of Material Incorporated By Reference
• § 230.455 Place Of Filing
• § 230.456 Date Of Filing; Timing Of Fee Payment
• § 230.457 Computation Of Fee
• § 230.459 Calculation Of Effective Date
• § 230.460 Distribution Of Preliminary Prospectus
• § 230.461 Acceleration Of Effective Date
• § 230.462 Immediate Effectiveness Of Certain Registration Statements And Post-effective Amendments
• § 230.463 Report Of Offering Of Securities And Use Of Proceeds Therefrom
• § 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
• § 230.466 Effective Date Of Certain Registration Statements On Form F-6
• § 230.467 Effectiveness Of Registration Statements And Post-effective Amendments Thereto Made On Forms F-7, F-8, F-10 And F-80
• § 230.470 Formal Requirements For Amendments
• § 230.471 Signatures To Amendments
• § 230.472 Filing Of Amendments; Number Of Copies
• § 230.473 Delaying Amendments
• § 230.474 Date Of Filing Of Amendments
• § 230.475 Amendment Filed With Consent Of Commission
• § 230.476 Amendment Filed Pursuant To Order Of Commission
• § 230.477 Withdrawal Of Registration Statement Or Amendment
• § 230.478 Powers To Amend Or Withdraw Registration Statement
• § 230.479 Procedure With Respect To Abandoned Registration Statements And Post-effective Amendments
• § 230.480 Title Of Securities
• § 230.481 Information Required In Prospectuses
• § 230.482 Advertising By An Investment Company As Satisfying Requirements Of Section 10
• § 230.483 Exhibits For Certain Registration Statements
• § 230.484 Undertaking Required In Certain Registration Statements
• § 230.485 Effective Date Of Post-effective Amendments Filed By Certain Registered Investment Companies Or Issuers Offering Registered Non-variable Annuities
• § 230.486 Effective Date Of Post-effective Amendments And Registration Statements Filed By Certain Closed-end Management Investment Companies
• § 230.487 Effectiveness Of Registration Statements Filed By Certain Unit Investment Trusts
• § 230.488 Effective Date Of Registration Statements Relating To Securities To Be Issued In Certain Business Combination Transactions
• § 230.489 Filing Of Form By Foreign Banks And Insurance Companies And Certain Of Their Holding Companies And Finance Subsidiaries
• § 230.490 Information To Be Furnished Under Paragraph (3) Of Schedule B
• § 230.491 Information To Be Furnished Under Paragraph (6) Of Schedule B
• § 230.492 Omissions From Prospectuses
• § 230.493 Additional Schedule B Disclosure And Filing Requirements
• § 230.494 Newspaper Prospectuses
• § 230.495 Preparation Of Registration Statement
• § 230.496 Contents Of Prospectus And Statement Of Additional Information Used After Nine Months
• § 230.497 Filing Of Investment Company Or Registered Non-variable Annuity Prospectuses—Number Of Copies
• § 230.498 Summary Prospectuses For Open-end Management Investment Companies
• § 230.500 Use Of Regulation D
• § 230.501 Definitions And Terms Used In Regulation D
• § 230.502 General Conditions To Be Met
• § 230.503 Filing Of Notice Of Sales
• § 230.504 Exemption For Limited Offerings And Sales Of Securities Not Exceeding $10,000,000
• § 230.505 [reserved]
• § 230.506 Exemption For Limited Offers And Sales Without Regard To Dollar Amount Of Offering
• § 230.507 Disqualifying Provision Relating To Exemptions Under §§ 230.504 And 230.506
• § 230.508 Insignificant Deviations From A Term, Condition Or Requirement Of Regulation D
• § 230.601 Definitions Of Terms Used In §§ 230.601 To 230.610a
• § 230.602 Securities Exempted
• § 230.603 Amount Of Securities Exempted
• § 230.604 Filing Of Notification On Form 1-e
• § 230.605 Filing And Use Of The Offering Circular
• § 230.606 Offering Not In Excess Of $100,000
• § 230.607 Sales Material To Be Filed
• § 230.608 Prohibition Of Certain Statements
• § 230.609 Reports Of Sales Hereunder
• § 230.610 Suspension Of Exemption
• § 230.701 Exemption For Offers And Sales Of Securities Pursuant To Certain Compensatory Benefit Plans And Contracts Relating To Compensation
• § 230.800 Definitions For §§ 230.800, 230.801 And 230.802
• § 230.801 Exemption In Connection With A Rights Offering
• § 230.802 Exemption For Offerings In Connection With An Exchange Offer Or Business Combination For The Securities Of Foreign Private Issuers
• § 230.901 General Statement
• § 230.902 Definitions
• § 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
• § 230.904 Offshore Resales
• § 230.905 Resale Limitations
• § 230.1001 Exemption For Transactions Exempt From Qualification Under § 25102(n) Of The California Corporations Code
• § 230.134a a Options Material Not Deemed A Prospectus
• § 230.134b b Statements Of Additional Information
• § 230.135a a Generic Advertising
• § 230.135b b Materials Not Deemed An Offer To Sell Or Offer To Buy Nor A Prospectus
• § 230.135c c Notice Of Certain Proposed Unregistered Offerings
• § 230.135d d Communications Involving Security-based Swaps
• § 230.135e e Offshore Press Conferences, Meetings With Issuer Representatives Conducted Offshore, And Press-related Materials Released Offshore
• § 230.139a a Publications By Brokers Or Dealers Distributing Asset-backed Securities
• § 230.139b b Publications Or Distributions Of Covered Investment Fund Research Reports By Brokers Or Dealers Distributing Securities
• § 230.144A a Private Resales Of Securities To Institutions
• § 230.145a a Business Combinations With Reporting Shell Companies
• § 230.147A a Intrastate Sales Exemption
• § 230.152a a Offer Or Sale Of Certain Fractional Interests
• § 230.153a a 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
• § 230.153b b Definition Of “preceded By A Prospectus”, As Used In Section 5(b)(2), In Connection With Certain Transactions In Standardized Options
• § 230.159A a Certain Definitions For Purposes Of Section 12(a)(2) Of The Act
• § 230.163A a 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
• § 230.163B b Exemption From Section 5(b)(1) And Section 5(c) Of The Act For Certain Communications To Qualified Institutional Buyers Or Institutional Accredited Investors
• § 230.300-230.346 §§ 230.300-230.346 [reserved]
• § 230.401a a Requirements As To Proper Form
• § 230.430A a Prospectus In A Registration Statement At The Time Of Effectiveness
• § 230.430B b Prospectus In A Registration Statement After Effective Date
• § 230.430C c Prospectus In A Registration Statement Pertaining To An Offering Other Than Pursuant To Rule 430a Or Rule 430b After The Effective Date
• § 230.430D d Prospectus In A Registration Statement After Effective Date For Asset-backed Securities Offerings
• § 230.437a a Written Consents
• § 230.445-230.447 §§ 230.445-230.447 [reserved]
• § 230.475a a Certain Pre-effective Amendments Deemed Filed With The Consent Of The Commission
• § 230.498A a Summary Prospectuses For Separate Accounts Offering Variable Annuity And Variable Life Insurance Contracts And For Offering Registered Non-variable Annuity Contracts
• § 230.610a a Schedule A: Contents Of Offering Circular For Small Business Investment Companies; Schedule B: Contents Of Offering Circular For Business Development Companies
• § 230.651-230.656 §§ 230.651-230.656 [reserved]
• § 230.702(T)-230.703(T) §§ 230.702(t)-230.703(t) [reserved]