1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Extensions and Temporary Exemptions; Definitions
  7. 17 CFR § 240.12h-5
17 CFR § 240.12h-5
Exemption for subsidiary issuers of guaranteed securities and subsidiary guarantors
April 15, 2021
CFR

Any issuer of a guaranteed security, or guarantor of a security, that is permitted to omit financial statements by §210.3-10 (Rule 3-10 of Regulation S-X) of this chapter is exempt from the requirements of 15 U.S.C. 78m(a) (Section 13(a) of the Act) or 78o(d) (Section 15(d) of the Act).

[85 FR 22006, Apr. 20, 2020]

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§ 240.12h-4 Exemption from duty to file reports under section 15(d)
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§ 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)

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