17 C.F.R. Part 230 – General Rules and Regulations, Securities Act of 1933 | Midpage

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Code of Federal Regulations

Part 230

17 C.F.R. Part 230

General Rules and Regulations, Securities Act of 1933

230.100Definitions of terms used in the rules and regulations.230.110Business hours of the Commission.230.111Payment of filing fees.230.120Inspection of registration statements.230.122Non-disclosure of information obtained in the course of examinations and investigations.230.130Definition of “rules and regulations” as used in certain sections of the Act.230.131Definition of security issued under governmental obligations.230.132Definition of “common trust fund” as used in section 3(a)(2) of the Act.230.133Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.230.134Communications not deemed a prospectus.230.134aOptions material not deemed a prospectus.230.134bStatements of additional information.230.135Notice of proposed registered offerings.230.135aGeneric advertising.230.135bMaterials not deemed an offer to sell or offer to buy nor a prospectus.230.135cNotice of certain proposed unregistered offerings.230.135dCommunications involving security-based swaps.230.135eOffshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.230.136Definition of certain terms in relation to assessable stock.230.137Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.230.138Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.230.139Publications or distributions of research reports by brokers or dealers distributing securities.230.139aPublications by brokers or dealers distributing asset-backed securities.230.139bPublications or distributions of covered investment fund research reports by brokers or dealers distributing securities.230.140Definition of “distribution” in section 2(11) for certain transactions.230.141Definition 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.230.142Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.230.143Definition 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.230.144Persons deemed not to be engaged in a distribution and therefore not underwriters.230.144APrivate resales of securities to institutions.230.145Reclassification of securities, mergers, consolidations and acquisitions of assets.230.145aBusiness combinations with reporting shell companies.230.146Rules under section 18 of the Act.230.147Intrastate offers and sales.230.147AIntrastate sales exemption.230.148Exemption from general solicitation or general advertising.230.149Definition of “exchanged” in section 3(a)(9), for certain transactions.230.150Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.230.151Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).230.152Integration.230.152aOffer or sale of certain fractional interests.230.153Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.230.153aDefinition 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.230.153bDefinition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.230.154Delivery of prospectuses to investors at the same address.230.155[Reserved]230.156Investment company and registered non-variable annuity sales literature.230.157Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.230.158Definitions of certain terms in the last paragraph of section 11(a).230.159Information available to purchaser at time of contract of sale.230.159ACertain definitions for purposes of section 12(a)(2) of the Act.230.160Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.230.161Amendments to rules and regulations governing exemptions.230.162Submission of tenders in registered exchange offers.230.163Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.230.163AExemption 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.230.163BExemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.230.164Post-filing free writing prospectuses in connection with certain registered offerings.230.165Offers made in connection with a business combination transaction.230.166Exemption from section 5(c) for certain communications in connection with business combination transactions.230.167Communications in connection with certain registered offerings of asset-backed securities.230.168Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.230.169Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.230.170Prohibition of use of certain financial statements.230.171Disclosure detrimental to the national defense or foreign policy.230.172Delivery of prospectuses.230.173Notice of registration.230.174Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.230.175Liability for certain statements by issuers.230.176Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.230.180Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.230.190Registration of underlying securities in asset-backed securities transactions.230.191Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.230.192Conflicts of interest relating to certain securitizations.230.193Review of underlying assets in asset-backed securities transactions.230.194Definitions of the terms “swap” and “security-based swap” as used in the Act.230.215Accredited investor.ECFR6e1bce42879fbb1Regulation A-R—Special Exemptions ECFR68d879261fb42fbRegulation A—Conditional Small Issues Exemption 230.400Application of §§ 230.400 to 230.494, inclusive.ECFR3ba3c08ffc29ca2General Requirements ECFRb0116042526d15dForm and Content of Prospectuses ECFRd2807e8d0abc81eWritten Consents ECFRbb835bc991fe974Filings; Fees; Effective Date ECFRdd19ee6995b0c88Amendments; Withdrawals ECFR3fbf6e4d949e5c6Investment Companies; Business Development Companies 230.480Title of securities.230.481Information required in prospectuses.230.482Advertising by an investment company as satisfying requirements of section 10.230.483Exhibits for certain registration statements.230.484Undertaking required in certain registration statements.230.485Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.230.486Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.230.487Effectiveness of registration statements filed by certain unit investment trusts.230.488Effective date of registration statements relating to securities to be issued in certain business combination transactions.230.489Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.ECFR503bf91e47b67cdRegistration by Foreign Governments or Political Subdivisions Thereof ECFR6e651a4c86c0174Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 ECFRb33419ac951ceaeRegulation E—Exemption for Securities of Small Business Investment Companies ECFR56b1bcc55e30ccaExemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations ECFR69201f82e35ad1cRegulation S—Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933 230.901General statement.230.902Definitions.230.903Offers 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.230.904Offshore resales.230.905Resale limitations.ECFR4201a6c69acde52Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law