Title 17

PART 229 SUBPART 229.400

Subpart 229.400 - Management and Certain Security Holders

• 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2, 77z-3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78j-3, 78l, 78m, 78n, 78n-1, 78o, 78u-5, 78w, 78ll, 78 mm, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c), 80a-37, 80a-38(a), 80a-39, 80b-11 and 7201 et seq.; 18 U.S.C. 1350; sec. 953(b), Pub. L. 111-203, 124 Stat. 1904 (2010); and sec. 102(c), Pub. L. 112-106, 126 Stat. 310 (2012).
• 47 FR 11401, Mar. 16, 1982, unless otherwise noted.

17:3.0.1.1.12.5.36.1	SECTION 229.401	229.401 (Item 401) Directors, executive officers, promoters and control persons.
17:3.0.1.1.12.5.36.2	SECTION 229.402	229.402 (Item 402) Executive compensation.
17:3.0.1.1.12.5.36.3	SECTION 229.403	229.403 (Item 403) Security ownership of certain beneficial owners and management.
17:3.0.1.1.12.5.36.4	SECTION 229.404	229.404 (Item 404) Transactions with related persons, promoters and certain control persons.
17:3.0.1.1.12.5.36.5	SECTION 229.405	229.405 (Item 405) Compliance with Section 16(a) of the Exchange Act.
17:3.0.1.1.12.5.36.6	SECTION 229.406	229.406 (Item 406) Code of ethics.
17:3.0.1.1.12.5.36.7	SECTION 229.407	229.407 (Item 407) Corporate governance.

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