17 CFR Topic General | Code of Federal Regulations | US Law | LawStack Online

17 CFR Topic

General

April 15, 2021

Definitions of terms used in the rules and regulations

Business hours of the Commission

Payment of fees

Inspection of registration statements

Non-disclosure of information obtained in the course of examinations and investigations

Definition of “rules and regulations” as used in certain sections of the Act

Definition of security issued under governmental obligations

Definition of “common trust fund” as used in section 3(a)(2) of the Act

Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”

Communications not deemed a prospectus

Options material not deemed a prospectus

Statements of additional information

Notice of proposed registered offerings

Generic advertising

Materials not deemed an offer to sell or offer to buy nor a prospectus

Notice of certain proposed unregistered offerings

Communications involving security-based swaps

Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore

Definition of certain terms in relation to assessable stock

Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities

Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing

Publications or distributions of research reports by brokers or dealers distributing securities

Publications by brokers or dealers distributing asset-backed securities

Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities

Definition of “distribution” in section 2(11) for certain transactions

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

Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions

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

Persons deemed not to be engaged in a distribution and therefore not underwriters

Private resales of securities to institutions

Reclassification of securities, mergers, consolidations and acquisitions of assets

Rules under section 18 of the Act

Intrastate offers and sales

Intrastate sales exemption

Exemption from general solicitation or general advertising

Definition of “exchanged” in section 3(a)(9), for certain transactions

Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions

Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8)

Offer or sale of certain fractional interests

Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions

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

Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options

Delivery of prospectuses to investors at the same address

Investment company sales literature

Small entities under the Securities Act for purposes of the Regulatory Flexibility Act

Definitions of certain terms in the last paragraph of section 11(a)

Information available to purchaser at time of contract of sale

Certain definitions for purposes of section 12(a)(2) of the Act

Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act

Amendments to rules and regulations governing exemptions

Submission of tenders in registered exchange offers

Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers

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

Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors

Post-filing free writing prospectuses in connection with certain registered offerings

Offers made in connection with a business combination transaction

Exemption from section 5(c) for certain communications in connection with business combination transactions

Communications in connection with certain registered offerings of asset-backed securities

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

Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information

Prohibition of use of certain financial statements

Disclosure detrimental to the national defense or foreign policy

Delivery of prospectuses

Notice of registration

Delivery of prospectus by dealers; exemptions under section 4(3) of the Act

Liability for certain statements by issuers

Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act

Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans

Registration of underlying securities in asset-backed securities transactions

Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities

Review of underlying assets in asset-backed securities transactions

Definitions of the terms “swap” and “security-based swap” as used in the Act

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