17 CFR Part 230 — General Rules and Regulations, Securities Act of 1933
- § 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.
- § 230.134a— Options material not deemed a prospectus.
- § 230.134b— Statements of additional information.
- § 230.135— Notice of proposed registered offerings.
- § 230.135a— Generic advertising.
- § 230.135b— Materials not deemed an offer to sell or offer to buy nor a prospectus.
- § 230.135c— Notice of certain proposed unregistered offerings.
- § 230.135d— Communications involving security-based swaps.
- § 230.135e— Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
- § 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.
- § 230.139a— Publications by brokers or dealers distributing asset-backed securities.
- § 230.139b— Publications or distributions of covered investment fund 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.
- § 230.144A— Private resales of securities to institutions.
- § 230.145— Reclassification of securities, mergers, consolidations and acquisitions of assets.
- § 230.145a— Business combinations with reporting shell companies.
- § 230.146— Rules under section 18 of the Act.
- § 230.147— Intrastate offers and sales.
- § 230.147A— Intrastate sales exemption.
- § 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.
- § 230.152a— Offer or sale of certain fractional interests.
- § 230.153— Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
- § 230.153a— 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— Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
- § 230.154— Delivery of prospectuses to investors at the same address.
- § 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.
- § 230.159A— Certain definitions for purposes of section 12(a)(2) of the Act.
- § 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.
- § 230.163A— 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— Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
- § 230.164— 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.
- § 230.401a— 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.
- § 230.430A— Prospectus in a registration statement at the time of effectiveness.
- § 230.430B— Prospectus in a registration statement after effective date.
- § 230.430C— Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
- § 230.430D— Prospectus in a registration statement after effective date for asset-backed securities offerings.
- § 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.
- § 230.437a— Written consents.
- § 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.
- § 230.475a— Certain pre-effective amendments deemed filed with the consent of the 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.
- § 230.498A— Summary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
- § 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.
- § 230.506— 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.