Title 17

PART 239

Part 239 - Forms Prescribed Under The Securities Act Of 1933

PART 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Authority:15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78l, 78m,78n, 78o(d), 78o-7 note, 78u-5, 78w(a), 78ll, 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, and 80a-37; and sec. 107, Pub. L. 112-106, 126 Stat. 312, unless otherwise noted.

Sections 239.31, 239.32 and 239.33 are also issued under 15 U.S.C. 78l, 78m, 78o, 78w, 80a-8, 80a-29, 80a-30, 80a-37 and 12 U.S.C. 241.

Sections 239.63 and 239.64 are also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 80a-8, 80a-24, 80a-29, and 80a-37.

Source:33 FR 18991, Dec. 20, 1968, unless otherwise noted.

• Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78l, 78m,78n, 78o(d), 78o-7 note, 78u-5, 78w(a), 78ll, 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, and 80a-37; and sec. 107, Pub. L. 112-106, 126 Stat. 312, unless otherwise noted.
• Source: 33 FR 18991, Dec. 20, 1968, unless otherwise noted.

17:3.0.1.1.16.0.59.1	SECTION 239.0-1	239.0-1 Availability of forms.
17:3.0.1.1.16.1	SUBPART A	Subpart A - Forms for Registration Statements
17:3.0.1.1.16.1.59.1	SECTION 239.4-239.10	239.4-239.10 [Reserved]
17:3.0.1.1.16.1.59.2	SECTION 239.11	239.11 Form S-1, registration statement under the Securities Act of 1933.
17:3.0.1.1.16.1.59.3	SECTION 239.12	239.12 [Reserved]
17:3.0.1.1.16.1.59.4	SECTION 239.13	239.13 Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.
17:3.0.1.1.16.1.59.5	SECTION 239.14	239.14 Form N-2 for closed end management investment companies registered on Form N-8A.
17:3.0.1.1.16.1.59.6	SECTION 239.15	239.15
17:3.0.1.1.16.1.59.7	SECTION 239.15A	239.15A Form N-1A, registration statement of open-end management investment companies.
17:3.0.1.1.16.1.59.8	SECTION 239.16	239.16 Form S-6, for unit investment trusts registered on Form N-8B-2.
17:3.0.1.1.16.1.59.9	SECTION 239.16b	239.16b Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.
17:3.0.1.1.16.1.59.10	SECTION 239.17	239.17 [Reserved]
17:3.0.1.1.16.1.59.11	SECTION 239.17a	239.17a Form N-3, registration statement for separate accounts organized as management investment companies.
17:3.0.1.1.16.1.59.12	SECTION 239.17b	239.17b Form N-4, registration statement for separate accounts organized as unit investment trusts.
17:3.0.1.1.16.1.59.13	SECTION 239.17c	239.17c Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.
17:3.0.1.1.16.1.59.14	SECTION 239.18	239.18 Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.
17:3.0.1.1.16.1.59.15	SECTION 239.19	239.19 [Reserved]
17:3.0.1.1.16.1.59.16	SECTION 239.20	239.20 Form S-20, for standardized options.
17:3.0.1.1.16.1.59.17	SECTION 239.23	239.23 Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.
17:3.0.1.1.16.1.59.18	SECTION 239.24	239.24 Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
17:3.0.1.1.16.1.59.19	SECTION 239.25	239.25 Form S-4, for the registration of securities issued in business combination transactions.
17:3.0.1.1.16.1.59.20	SECTION 239.26-239.30	239.26-239.30 [Reserved]
17:3.0.1.1.16.1.59.21	SECTION 239.31	239.31 Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.
17:3.0.1.1.16.1.59.22	SECTION 239.32	239.32 [Reserved]
17:3.0.1.1.16.1.59.23	SECTION 239.33	239.33 Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.
17:3.0.1.1.16.1.59.24	SECTION 239.34	239.34 Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions.
17:3.0.1.1.16.1.59.25	SECTION 239.35	239.35 [Reserved]
17:3.0.1.1.16.1.59.26	SECTION 239.36	239.36 Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts.
17:3.0.1.1.16.1.59.27	SECTION 239.37	239.37 Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.
17:3.0.1.1.16.1.59.28	SECTION 239.38	239.38 Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
17:3.0.1.1.16.1.59.29	SECTION 239.39	239.39 [Reserved]
17:3.0.1.1.16.1.59.30	SECTION 239.40	239.40 Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers.
17:3.0.1.1.16.1.59.31	SECTION 239.41	239.41 Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
17:3.0.1.1.16.1.59.32	SECTION 239.42	239.42 Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 et seq. of this chapter) on Form 1-A (§ 239.90), or by any non-U.S. issuer providing Form CB (§ 249.480 of this chapter) to the Commission in connection with a tender offer, rights offering or business combination.
17:3.0.1.1.16.1.59.33	SECTION 239.43	239.43 Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.
17:3.0.1.1.16.1.59.34	SECTION 239.44	239.44 Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.
17:3.0.1.1.16.1.59.35	SECTION 239.45	239.45 Form SF-3, for registration under the Securities Act of 1933 for offerings of asset-backed issuers offered pursuant to certain types of transactions.
17:3.0.1.1.16.1.59.36	SECTION 239.46-239.62	239.46-239.62 [Reserved]
17:3.0.1.1.16.1.59.37	SECTION 239.63	239.63 Form ID, uniform application for access codes to file on EDGAR.
17:3.0.1.1.16.1.59.38	SECTION 239.64	239.64 Form SE, form for submission of paper format exhibits by electronic filers.
17:3.0.1.1.16.1.59.39	SECTION 239.65	239.65 Form TH - Notification of reliance on temporary hardship exemption.
17:3.0.1.1.16.2	SUBPART B	Subpart B - Forms Pertaining to Exemptions
17:3.0.1.1.16.2.59.1	SECTION 239.90	239.90 Form 1-A, offering statement under Regulation A.
17:3.0.1.1.16.2.59.2	SECTION 239.91	239.91 Form 1-K.
17:3.0.1.1.16.2.59.3	SECTION 239.92	239.92 Form 1-SA.
17:3.0.1.1.16.2.59.4	SECTION 239.93	239.93 Form 1-U.
17:3.0.1.1.16.2.59.5	SECTION 239.94	239.94 Form 1-Z.
17:3.0.1.1.16.2.59.6	SECTION 239.95-239.143	239.95-239.143 [Reserved]
17:3.0.1.1.16.2.59.7	SECTION 239.144	239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.
17:3.0.1.1.16.2.59.8	SECTION 239.145-239.199	239.145-239.199 [Reserved]
17:3.0.1.1.16.2.59.9	SECTION 239.200	239.200 Form 1-E, notification under Regulation E.
17:3.0.1.1.16.2.59.10	SECTION 239.201	239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E.
17:3.0.1.1.16.2.59.11	SECTION 239.202-239.300	239.202-239.300 [Reserved]
17:3.0.1.1.16.2.59.12	SECTION 239.500	239.500 Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.
17:3.0.1.1.16.2.59.13	SECTION 239.701	239.701 [Reserved]
17:3.0.1.1.16.2.59.14	SECTION 239.800	239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering.
17:3.0.1.1.16.2.59.15	SECTION 239.900	239.900 Form C.

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