StacksVerified U.S. regulatory reference

17 CFR §239.23

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
This form shall be used by a registered investment company or a business development company as defined by section 2(a)(48) of the Investment Company Act of 1940 for registration under the Securities Act of 1933 of securities to be issued:
  1. (a)In a transaction of the type specified in paragraph (a) of Rule 145 (§ 230.145 of this chapter);
  2. (b)In a merger in which the applicable state law would not require the solicitation of the votes or consents of all the security holders of the company being acquired;
  3. (c)In an exchange offer for securities of the issuer or another entity;
  4. (d)In a public reoffering or resale of any such securities acquired pursuant to this registration statement;
  5. (e)In more than one of the kinds of transactions listed in paragraphs (a) through (d) registered on one registration statement.