§ 77a — Short Title

Implementing Regulations

• § 230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.

  17 C.F.R. § 230.1001
• § 240.14a-101 Schedule 14A. Information required in proxy statement.

  17 C.F.R. § 240.14a-101
• § 14.7 Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding.

  17 C.F.R. § 14.7
• § 275.202(a)(30)-1 Foreign private advisers.

  17 C.F.R. § 275.202(a)(30)-1
• § 41.11 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.

  17 C.F.R. § 41.11
• § 229.1011 (Item 1011) Additional information.

  17 C.F.R. § 229.1011
• § 230.482 Advertising by an investment company as satisfying requirements of section 10.

  17 C.F.R. § 230.482
• § 229.901 (Item 901) Definitions.

  17 C.F.R. § 229.901
• § 229.1100 (Item 1100) General.

  17 C.F.R. § 229.1100
• § 229.407 (Item 407) Corporate governance.

  17 C.F.R. § 229.407
• § 239.33 Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.

  17 C.F.R. § 239.33
• § 205.2 Definitions.

  17 C.F.R. § 205.2
• § 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.

  17 C.F.R. § 230.488
• § 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.

  17 C.F.R. § 230.485
• § 243.103 No effect on Exchange Act reporting status.

  17 C.F.R. § 243.103
• § 270.8b-16 Amendments to registration statement.

  17 C.F.R. § 270.8b-16
• § 229.10 (Item 10) General.

  17 C.F.R. § 229.10
• § 229.402 (Item 402) Executive compensation.

  17 C.F.R. § 229.402
• § 239.16b Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.

  17 C.F.R. § 239.16b
• § 229.101 (Item 101) Description of business.

  17 C.F.R. § 229.101
• § 270.3a-9 Crowdfunding vehicle.

  17 C.F.R. § 270.3a-9
• § 245.100 Definitions.

  17 C.F.R. § 245.100
• § 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.

  17 C.F.R. § 249.208a
• § 270.16a-1 Exemption for initial period of directors of certain registered accounts from requirements of election by security holders.

  17 C.F.R. § 270.16a-1
• § 270.10f-3 Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.

  17 C.F.R. § 270.10f-3
• § 270.15a-3 Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.

  17 C.F.R. § 270.15a-3
• § 270.17j-1 Personal investment activities of investment company personnel.

  17 C.F.R. § 270.17j-1
• § 270.24b-4 Filing copies of covered investment fund research reports.

  17 C.F.R. § 270.24b-4
• § 270.3a-6 Foreign banks and foreign insurance companies.

  17 C.F.R. § 270.3a-6
• § 270.32a-2 Exemption for initial period from vote of security holders on independent public accountant for certain registered separate accounts.

  17 C.F.R. § 270.32a-2
• § 246.20 Safe harbor for certain foreign-related transactions.

  17 C.F.R. § 246.20
• § 1.2 Definitions.

  12 C.F.R. § 1.2
• § 269.3 Form T-3, for application for qualification of trust indentures.

  17 C.F.R. § 269.3
• § 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.

  17 C.F.R. § 270.14a-3
• § 270.30e-3 Internet availability of reports to shareholders.

  17 C.F.R. § 270.30e-3
• § 275.204A-1 Investment adviser codes of ethics.

  17 C.F.R. § 275.204A-1
• § 12.9 Settlement of securities transactions.

  12 C.F.R. § 12.9
• § 43.20 Safe harbor for certain foreign-related transactions.

  12 C.F.R. § 43.20
• § 16.2 Definitions.

  12 C.F.R. § 16.2
• § 151.130 When must I settle a securities transaction?

  12 C.F.R. § 151.130
• § 244.20 Safe harbor for certain foreign-related transactions.

  12 C.F.R. § 244.20
• § 373.20 Safe harbor for certain foreign-related transactions.

  12 C.F.R. § 373.20
• § 344.7 Settlement of securities transactions.

  12 C.F.R. § 344.7
• § 650.1 Definitions.

  12 C.F.R. § 650.1
• § 655.1 Definitions.

  12 C.F.R. § 655.1
• § 230.134a Options material not deemed a prospectus.

  17 C.F.R. § 230.134a
• § 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.

  17 C.F.R. § 230.153b
• § 1234.20 Safe harbor for certain foreign-related transactions.

  12 C.F.R. § 1234.20
• § 1320.2 Definitions.

  12 C.F.R. § 1320.2
• § 267.20 Safe harbor for certain foreign-related transactions.

  24 C.F.R. § 267.20
• § 202.507 Transactions required or authorized by Federal law or international agreements, or necessary for compliance with Federal law.

  28 C.F.R. § 202.507
• § 2520.101-3 Notice of blackout periods under individual account plans.

  29 C.F.R. § 2520.101-3
• § 1023.100 Definitions.

  31 C.F.R. § 1023.100
• § 386.2 Definitions.

  33 C.F.R. § 386.2
• § 307.19 RLF loan portfolio Sales and Securitizations.

  13 C.F.R. § 307.19
• § 35.10005 Definitions.

  40 C.F.R. § 35.10005
• § 80.3 Definitions.

  49 C.F.R. § 80.3
• PART 231—INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER

  17 C.F.R. pt. 231
• § 239.13 Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.

  17 C.F.R. § 239.13
• § 230.251 Scope of exemption.

  17 C.F.R. § 230.251
• § 200.30-7 Delegation of authority to Secretary of the Commission.

  17 C.F.R. § 200.30-7
• § 210.6-03 Special rules of general application to registered investment companies and business development companies.

  17 C.F.R. § 210.6-03
• § 1.3 Definitions.

  17 C.F.R. § 1.3
• § 200.20b Director of Division of Investment Management.

  17 C.F.R. § 200.20b
• § 200.30-14 Delegation of authority to the General Counsel.

  17 C.F.R. § 200.30-14
• § 200.30-19 Delegation of authority to Director of the EDGAR Business Office.

  17 C.F.R. § 200.30-19
• § 200.30-10 Delegation of authority to Chief Administrative Law Judge.

  17 C.F.R. § 200.30-10
• § 232.101 Mandated electronic submissions and exceptions.

  17 C.F.R. § 232.101
• § 240.12h-6 Certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).

  17 C.F.R. § 240.12h-6
• § 240.15d-23 Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act.

  17 C.F.R. § 240.15d-23
• § 200.30-1 Delegation of authority to Director of Division of Corporation Finance.

  17 C.F.R. § 200.30-1
• § 200.18 Director of Division of Corporation Finance.

  17 C.F.R. § 200.18
• § 200.30-5 Delegation of authority to Director of Division of Investment Management.

  17 C.F.R. § 200.30-5
• § 240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.

  17 C.F.R. § 240.3a68-1a
• § 200.30-3 Delegation of authority to Director of Division of Trading and Markets.

  17 C.F.R. § 200.30-3
• § 240.17a-2 Recordkeeping requirements relating to stabilizing activities.

  17 C.F.R. § 240.17a-2
• § 240.12g5-1 Definition of securities “held of record”.

  17 C.F.R. § 240.12g5-1
• § 240.13e-4 Tender offers by issuers.

  17 C.F.R. § 240.13e-4
• § 240.14d-1 Scope of and definitions applicable to Regulations 14D and 14E.

  17 C.F.R. § 240.14d-1
• § 230.401a Requirements as to proper form.

  17 C.F.R. § 230.401a
• § 240.9b-1 Options disclosure document.

  17 C.F.R. § 240.9b-1
• § 240.12h-7 Exemption for issuers of securities that are subject to insurance regulation.

  17 C.F.R. § 240.12h-7
• § 240.3a55-1 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.

  17 C.F.R. § 240.3a55-1
• § 240.13h-1 Large trader reporting.

  17 C.F.R. § 240.13h-1
• § 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.

  17 C.F.R. § 240.3a68-1b
• § 242.100 Preliminary note; definitions.

  17 C.F.R. § 242.100
• § 240.10A-3 Listing standards relating to audit committees.

  17 C.F.R. § 240.10A-3
• § 240.13k-1 Foreign bank exemption from the insider lending prohibition under section 13(k).

  17 C.F.R. § 240.13k-1
• § 1.897-1 Taxation of foreign investment in United States real property interests, definition of terms.

  26 C.F.R. § 1.897-1
• § 1.1275-1 Definitions.

  26 C.F.R. § 1.1275-1
• § 1.1441-6 Claim of reduced withholding under an income tax treaty.

  26 C.F.R. § 1.1441-6
• § 1.67-2T Treatment of pass-through entities (temporary).

  26 C.F.R. § 1.67-2T
• § 1.671-5 Reporting for widely held fixed investment trusts.

  26 C.F.R. § 1.671-5
• § 1.67-3T Allocation of expenses by real estate mortgage investment conduits (temporary).

  26 C.F.R. § 1.67-3T
• § 1.6049-4 Return of information as to interest paid and original issue discount includible in gross income after December 31, 1982.

  26 C.F.R. § 1.6049-4
• § 1.7704-1 Publicly traded partnerships.

  26 C.F.R. § 1.7704-1