Regulation 13D-G | Midpage

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Code of Federal Regulations

ECFRb8a264d3a4d1c48

Regulation 13D-G

240.13d-1Filing of Schedules 13D and 13G.240.13d-2Filing of amendments to Schedules 13D or 13G.240.13d-3Determination of beneficial owner.240.13d-4Disclaimer of beneficial ownership.240.13d-5Acquisition of beneficial ownership.240.13d-6Exemption of certain acquisitions.240.13d-7[Reserved]240.13d-101Schedule 13D—Information to be included in statements filed pursuant to § 240.13d-1(a) and amendments thereto filed pursuant to § 240.13d-2(a).240.13d-102Schedule 13G—Information to be included in statements filed pursuant to § 240.13d-1(b), (c), and (d) and amendments thereto filed pursuant to § 240.13d-2.240.13e-1Purchase of securities by the issuer during a third-party tender offer.240.13e-2[Reserved]240.13e-3Going private transactions by certain issuers or their affiliates.240.13e-4Tender offers by issuers.240.13e-100Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder.240.13e-101[Reserved]240.13e-102Schedule 13E-4F. Tender offer statement pursuant to section 13(e) (1) of the Securities Exchange Act of 1934 and § 240.13e-4 thereunder.240.13f-1Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion.240.13f-2Reporting by institutional investment managers regarding gross short position and activity information.240.13h-1Large trader reporting.240.13k-1Foreign bank exemption from the insider lending prohibition under section 13(k).240.13n-1Registration of security-based swap data repository.240.13n-2Withdrawal from registration; revocation and cancellation.240.13n-3Registration of successor to registered security-based swap data repository.240.13n-4Duties and core principles of security-based swap data repository.240.13n-5Data collection and maintenance.240.13n-6Automated systems.240.13n-7Recordkeeping of security-based swap data repository.240.13n-8Reports to be provided to the Commission.240.13n-9Privacy requirements of security-based swap data repository.240.13n-10Disclosure requirements of security-based swap data repository.240.13n-11Chief compliance officer of security-based swap data repository; compliance reports and financial reports.240.13n-12Exemption from requirements governing security-based swap data repositories for certain non-U.S. persons.240.13p-1Requirement of report regarding disclosure of registrant's supply chain information regarding conflict minerals.240.13q-1Disclosure of payments made by resource extraction issuers.