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| 17:3.0.1.1.1 | PART 200
| PART 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | |
| 17:3.0.1.1.1.1.2 | SUBJGRP 2
| General Organization | |
| 17:3.0.1.1.2 | PART 201
| PART 201 - RULES OF PRACTICE | |
| 17:3.0.1.1.2.4.10 | SUBJGRP 10
| General Rules | |
| 17:3.0.1.1.2.4.11 | SUBJGRP 11
| Initiation of Proceedings and Prehearing Rules | |
| 17:3.0.1.1.2.4.12 | SUBJGRP 12
| Rules Regarding Hearings | |
| 17:3.0.1.1.2.4.13 | SUBJGRP 13
| Appeal to the Commission and Commission Review | |
| 17:3.0.1.1.2.4.14 | SUBJGRP 14
| Rules Relating to Temporary Orders and Suspensions | |
| 17:3.0.1.1.2.4.15 | SUBJGRP 15
| Rules Regarding Disgorgement and Penalty Payments | |
| 17:3.0.1.1.2.4.16 | SUBJGRP 16
| Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings | |
| 17:3.0.1.1.3 | PART 202
| PART 202 - INFORMAL AND OTHER PROCEDURES | |
| 17:3.0.1.1.4 | PART 203
| PART 203 - RULES RELATING TO INVESTIGATIONS | |
| 17:3.0.1.1.5 | PART 204
| PART 204 - RULES RELATING TO DEBT COLLECTION | |
| 17:3.0.1.1.6 | PART 205
| PART 205 - STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER | |
| 17:3.0.1.1.7 | PART 209
| PART 209 - FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE | |
| 17:3.0.1.1.8 | PART 210
| PART 210 - FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 | |
| 17:3.0.1.1.8.0.17 | SUBJGRP 17
| Application of Regulation S-X (17 CFR Part 210) | |
| 17:3.0.1.1.8.0.18 | SUBJGRP 18
| Qualifications and Reports of Accountants | |
| 17:3.0.1.1.8.0.19 | SUBJGRP 19
| General Instructions as to Financial Statements | |
| 17:3.0.1.1.8.0.20 | SUBJGRP 20
| Consolidated and Combined Financial Statements | |
| 17:3.0.1.1.8.0.21 | SUBJGRP 21
| Rules of General Application | |
| 17:3.0.1.1.8.0.22 | SUBJGRP 22
| Commercial and Industrial Companies | |
| 17:3.0.1.1.8.0.23 | SUBJGRP 23
| Registered Investment Companies and Business Development Companies | |
| 17:3.0.1.1.8.0.24 | SUBJGRP 24
| Employee Stock Purchase, Savings and Similar Plans | |
| 17:3.0.1.1.8.0.25 | SUBJGRP 25
| Insurance Companies | |
| 17:3.0.1.1.8.0.26 | SUBJGRP 26
| Article 8 Financial Statements of Smaller Reporting Companies | |
| 17:3.0.1.1.8.0.27 | SUBJGRP 27
| Bank Holding Companies | |
| 17:3.0.1.1.8.0.28 | SUBJGRP 28
| Interim Financial Statements | |
| 17:3.0.1.1.8.0.29 | SUBJGRP 29
| Pro Forma Financial Information | |
| 17:3.0.1.1.8.0.30 | SUBJGRP 30
| Form and Content of Schedules | |
| 17:3.0.1.1.8.0.31 | SUBJGRP 31
| general | |
| 17:3.0.1.1.8.0.32 | SUBJGRP 32
| For Management Investment Companies | |
| 17:3.0.1.1.8.0.33 | SUBJGRP 33
| for face-amount certificate investment companies | |
| 17:3.0.1.1.8.0.34 | SUBJGRP 34
| for certain real estate companies | |
| 17:3.0.1.1.8.0.35 | SUBJGRP 35
| Financial and Non-Financial Disclosures for Certain Securities Registered or Being Registered | |
| 17:3.0.1.1.9 | PART 211
| PART 211 - INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS | |
| 17:3.0.1.1.10 | PART 227
| PART 227 - REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | |
| 17:3.0.1.1.11 | PART 228
| PART 228 [RESERVED] | |
| 17:3.0.1.1.12 | PART 229
| PART 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975 - REGULATION S-K | |
| 17:3.0.1.1.13 | PART 230
| PART 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 | |
| 17:3.0.1.1.13.0.36 | SUBJGRP 36
| General | |
| 17:3.0.1.1.13.0.37 | SUBJGRP 37
| Regulation A-R - Special Exemptions | |
| 17:3.0.1.1.13.0.38 | SUBJGRP 38
| Regulation A - Conditional Small Issues Exemption | |
| 17:3.0.1.1.13.0.39 | SUBJGRP 39
| Regulation C - Registration | |
| 17:3.0.1.1.13.0.40 | SUBJGRP 40
| general requirements | |
| 17:3.0.1.1.13.0.41 | SUBJGRP 41
| form and content of prospectuses | |
| 17:3.0.1.1.13.0.42 | SUBJGRP 42
| written consents | |
| 17:3.0.1.1.13.0.43 | SUBJGRP 43
| filings; fees; effective date | |
| 17:3.0.1.1.13.0.44 | SUBJGRP 44
| amendments; withdrawals | |
| 17:3.0.1.1.13.0.45 | SUBJGRP 45
| investment companies; business development companies | |
| 17:3.0.1.1.13.0.46 | SUBJGRP 46
| registration by foreign governments or political subdivisions thereof | |
| 17:3.0.1.1.13.0.47 | SUBJGRP 47
| Regulation D - Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 | |
| 17:3.0.1.1.13.0.48 | SUBJGRP 48
| Regulation E - Exemption for Securities of Small Business Investment Companies | |
| 17:3.0.1.1.13.0.49 | SUBJGRP 49
| Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations | |
| 17:3.0.1.1.13.0.50 | SUBJGRP 50
| Regulation S - Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933 | |
| 17:3.0.1.1.13.0.51 | SUBJGRP 51
| Regulation CE - Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law | |
| 17:3.0.1.1.14 | PART 231
| PART 231 - INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER | |
| 17:3.0.1.1.15 | PART 232
| PART 232 - REGULATION S-T - GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS | |
| 17:3.0.1.1.15.0.52 | SUBJGRP 52
| General | |
| 17:3.0.1.1.15.0.53 | SUBJGRP 53
| Electronic Filing Requirements | |
| 17:3.0.1.1.15.0.54 | SUBJGRP 54
| Hardship Exemptions | |
| 17:3.0.1.1.15.0.55 | SUBJGRP 55
| Preparation of Electronic Submissions | |
| 17:3.0.1.1.15.0.56 | SUBJGRP 56
| Interactive Data | |
| 17:3.0.1.1.15.0.57 | SUBJGRP 57
| EDGAR Functions | |
| 17:3.0.1.1.15.0.58 | SUBJGRP 58
| Foreign Private Issuers and Foreign Governments | |
| 17:3.0.1.1.16 | PART 239
| PART 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | |