Code of Federal Regulations · Section
§ 240.0-3 — -3 Filing Of Material With The Commission
17 C.F.R. § 240.0-3
(a) All papers required to be filed with the Commission pursuant to the Act or the rules and regulations thereunder shall be filed at the principal office in Washington, DC. Material may be filed by delivery to the Commission, through the mails or otherwise. The date on which papers are actually received by the Commission shall be the date of filing thereof if all of the requirements with respect to the filing have been complied with, except that if the last day on which papers can be accepted as timely filed falls on a Saturday, Sunday or holiday, such papers may be filed on the first business day following.
(b) The manually signed original (or in the case of duplicate originals, one duplicate original) of all registrations, applications, statements, reports, or other documents filed under the Securities Exchange Act of 1934, as amended, shall be numbered sequentially (in addition to any internal numbering which otherwise may be present) by handwritten, typed, printed, or other legible form of notation from the facing page of the document through the last page of that document and any exhibits or attachments thereto. Further, the total number of pages contained in a numbered original shall be set forth on the first page of the document.
(c) Each document filed shall contain an exhibit index, which should immediately precede the exhibits filed with such document. The index shall list each exhibit filed and identify by handwritten, typed, printed, or other legible form of notation in the manually signed original, the page number in the sequential numbering system described in paragraph (b) of this section where such exhibit can be found or where it is stated that the exhibit is incorporated by reference. Further, the first page of the manually signed document shall list the page in the filing where the exhibit index is located.
Authorizing Statute
-
Records and reports15 U.S.C. § 78q
-
Registration of securities15 U.S.C. § 77f
-
Registration and regulation of brokers and dealers15 U.S.C. § 78o
-
Foreign securities exchanges15 U.S.C. § 78dd
-
Information required in registration statement15 U.S.C. § 77g
-
General provisions of a liquidation proceeding15 U.S.C. § 78fff
-
Necessity for regulation15 U.S.C. § 78b
-
Proxies15 U.S.C. § 78n
-
Classes of securities under this subchapter15 U.S.C. § 77c
-
Registration requirements for securities15 U.S.C. § 78l
-
Executive compensation and corporate governance12 U.S.C. § 5221
-
Findings and purposes12 U.S.C. § 5461
-
Creation; membership; compensation and expenses12 U.S.C. § 241
-
Short title15 U.S.C. § 78a
-
Trading by members of exchanges, brokers, and dealers15 U.S.C. § 78k
-
Manipulative and deceptive devices15 U.S.C. § 78j
-
Operations of designated financial market utilities12 U.S.C. § 5465
-
Definitions and application15 U.S.C. § 78c
-
National securities exchanges15 U.S.C. § 78f
-
Rules, regulations, and orders; annual reports15 U.S.C. § 78w
-
Comprehensive energy plan15 U.S.C. § 781
-
Transaction fees15 U.S.C. § 78ee
-
Failure of corporate officers to certify financial reports18 U.S.C. § 1350