Title 17

PART 260

Part 260 - General Rules And Regulations, Trust Indenture Act Of 1939

PART 260 - GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Authority:15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted. Source:5 FR 293, Jan. 25, 1940, unless otherwise noted. Editorial Note:Nomenclature changes to part 260 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992. Note:

In §§ 260.0-1 to 260.14a-1 the numbers to the right of the decimal point correspond with the respective rule number of the general rules and regulations under the Trust Indenture Act of 1939.

ATTENTION ELECTRONIC FILERS THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

17:4.0.1.1.17.0.128SUBJGRP 128
   Terms Used in the Rules and Regulations
17:4.0.1.1.17.0.128.1SECTION 260.0-1
   260.0-1 Application of definitions contained in the act.
17:4.0.1.1.17.0.128.2SECTION 260.0-2
   260.0-2 Definitions of terms used in the rules and regulations.
17:4.0.1.1.17.0.128.3SECTION 260.0-3
   260.0-3 Definition of “rules and regulations” as used in certain sections of the Act.
17:4.0.1.1.17.0.128.4SECTION 260.0-4
   260.0-4 Sequential numbering of documents filed with the Commission.
17:4.0.1.1.17.0.129SUBJGRP 129
   Office of the Commission
17:4.0.1.1.17.0.129.5SECTION 260.0-5
   260.0-5 Business hours of the Commission.
17:4.0.1.1.17.0.129.6SECTION 260.0-6
   260.0-6 Nondisclosure of information obtained in the course of examinations and investigations.
17:4.0.1.1.17.0.129.7SECTION 260.0-7
   260.0-7 Small entities for purposes of the Regulatory Flexibility Act.
17:4.0.1.1.17.0.129.8SECTION 260.0-11
   260.0-11 Liability for certain statements by issuers.
17:4.0.1.1.17.0.130SUBJGRP 130
   Rules Under Section 303
17:4.0.1.1.17.0.130.9SECTION 260.3(4)-1
   260.3(4)-1 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions.
17:4.0.1.1.17.0.130.10SECTION 260.3(4)-2
   260.3(4)-2 Definition of “distribution” in section 303(4) for certain transactions.
17:4.0.1.1.17.0.130.11SECTION 260.3(4)-3
   260.3(4)-3 Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
17:4.0.1.1.17.0.131SUBJGRP 131
   Rules Under Section 304
17:4.0.1.1.17.0.131.12SECTION 260.4a-1
   260.4a-1 Exempted securities under section 304(a)(8).
17:4.0.1.1.17.0.131.13SECTION 260.4a-2
   260.4a-2 Exempted securities under section 304(d).
17:4.0.1.1.17.0.131.14SECTION 260.4a-3
   260.4a-3 Exempted securities under section 304(a)(9).
17:4.0.1.1.17.0.131.15SECTION 260.4c-1
   260.4c-1 Form for applications under section 304(c).
17:4.0.1.1.17.0.131.16SECTION 260.4c-2
   260.4c-2 General requirements as to form and content of applications.
17:4.0.1.1.17.0.131.17SECTION 260.4c-3
   260.4c-3 Number of copies; filing; signatures; binding.
17:4.0.1.1.17.0.131.18SECTION 260.4c-4
   260.4c-4 Applications under section 304(c)(1).
17:4.0.1.1.17.0.131.19SECTION 260.4c-5
   260.4c-5 Applications under section 304(c)(2).
17:4.0.1.1.17.0.131.20SECTION 260.4d-7
   260.4d-7 Application for exemption from one or more provisions of the Act.
17:4.0.1.1.17.0.131.21SECTION 260.4d-8
   260.4d-8 Content.
17:4.0.1.1.17.0.131.22SECTION 260.4d-9
   260.4d-9 Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
17:4.0.1.1.17.0.131.23SECTION 260.4d-10
   260.4d-10 Exemption for securities issued pursuant to § 230.802 of this chapter.
17:4.0.1.1.17.0.131.24SECTION 260.4d-11
   260.4d-11 Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
17:4.0.1.1.17.0.131.25SECTION 260.4d-12
   260.4d-12 Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240).
17:4.0.1.1.17.0.132SUBJGRP 132
   Rules Under Section 305
17:4.0.1.1.17.0.132.26SECTION 260.5a-1
   260.5a-1 Forms for statements of eligibility and qualification.
17:4.0.1.1.17.0.132.27SECTION 260.5a-2
   260.5a-2 General requirements as to form and content of statements of eligibility and qualification.
17:4.0.1.1.17.0.132.28SECTION 260.5a-3
   260.5a-3 Number of copies; filing; signatures; binding.
17:4.0.1.1.17.0.132.29SECTION 260.5b-1
   260.5b-1 Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
17:4.0.1.1.17.0.132.30SECTION 260.5b-2
   260.5b-2 General requirements as to form and content of applications.
17:4.0.1.1.17.0.132.31SECTION 260.5b-3
   260.5b-3 Number of copies - Filing - Signatures.
17:4.0.1.1.17.0.133SUBJGRP 133
   Rules Under Section 307
17:4.0.1.1.17.0.134SUBJGRP 134
   Applications for Qualification of Indentures
17:4.0.1.1.17.0.134.32SECTION 260.7a-1
   260.7a-1 Form for application.
17:4.0.1.1.17.0.134.33SECTION 260.7a-2
   260.7a-2 Powers of agent for service named in application.
17:4.0.1.1.17.0.134.34SECTION 260.7a-3
   260.7a-3 Number of copies; filing; signatures; binding.
17:4.0.1.1.17.0.134.35SECTION 260.7a-4
   260.7a-4 Calculation of time.
17:4.0.1.1.17.0.134.36SECTION 260.7a-5
   260.7a-5 Filing of amendments; number of copies.
17:4.0.1.1.17.0.134.37SECTION 260.7a-6
   260.7a-6 Telegraphic delaying amendments.
17:4.0.1.1.17.0.134.38SECTION 260.7a-7
   260.7a-7 Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
17:4.0.1.1.17.0.134.39SECTION 260.7a-8
   260.7a-8 Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
17:4.0.1.1.17.0.134.40SECTION 260.7a-9
   260.7a-9 Delaying amendments.
17:4.0.1.1.17.0.135SUBJGRP 135
   General Requirements as to Form and Content of Applications, Statements and Reports
17:4.0.1.1.17.0.136SUBJGRP 136
   General
17:4.0.1.1.17.0.136.41SECTION 260.7a-15
   260.7a-15 Scope of §§ 260.7a-15 to 260.7a-37.
17:4.0.1.1.17.0.137SUBJGRP 137
   Formal Requirements
17:4.0.1.1.17.0.137.42SECTION 260.7a-16
   260.7a-16 Inclusion of items, differentiation between items and answers, omission of instructions.
17:4.0.1.1.17.0.137.43SECTION 260.7a-17
   260.7a-17 Quality, color and size of paper.
17:4.0.1.1.17.0.137.44SECTION 260.7a-18
   260.7a-18 Legibility.
17:4.0.1.1.17.0.137.45SECTION 260.7a-19
   260.7a-19 Margin for binding.
17:4.0.1.1.17.0.137.46SECTION 260.7a-20
   260.7a-20 Riders; inserts.
17:4.0.1.1.17.0.138SUBJGRP 138
   General Requirements as to Contents
17:4.0.1.1.17.0.138.47SECTION 260.7a-21
   260.7a-21 Clarity.
17:4.0.1.1.17.0.138.48SECTION 260.7a-22
   260.7a-22 Information unknown or not reasonably available.
17:4.0.1.1.17.0.138.49SECTION 260.7a-23
   260.7a-23 Statements required where item is inapplicable or where answer is “none”.
17:4.0.1.1.17.0.138.50SECTION 260.7a-24
   260.7a-24 Words relating to periods of time in the past.
17:4.0.1.1.17.0.138.51SECTION 260.7a-25
   260.7a-25 Words relating to the future.
17:4.0.1.1.17.0.138.52SECTION 260.7a-26
   260.7a-26 Disclaimer of control.
17:4.0.1.1.17.0.138.53SECTION 260.7a-27
   260.7a-27 Title of securities.
17:4.0.1.1.17.0.139SUBJGRP 139
   Incorporation by Reference
17:4.0.1.1.17.0.139.54SECTION 260.7a-28
   260.7a-28 Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
17:4.0.1.1.17.0.139.55SECTION 260.7a-29
   260.7a-29 Incorporation of exhibits as such.
17:4.0.1.1.17.0.139.56SECTION 260.7a-30
   260.7a-30 Identification of material incorporated; form of incorporation.
17:4.0.1.1.17.0.139.57SECTION 260.7a-31
   260.7a-31 Incorporation by reference of contested material.
17:4.0.1.1.17.0.139.58SECTION 260.7a-32
   260.7a-32 Incorporation by reference rendering document incomplete, unclear, or confusing.
17:4.0.1.1.17.0.140SUBJGRP 140
   Exhibits
17:4.0.1.1.17.0.140.59SECTION 260.7a-33
   260.7a-33 Additional exhibits.
17:4.0.1.1.17.0.140.60SECTION 260.7a-34
   260.7a-34 Omission of substantially identical documents.
17:4.0.1.1.17.0.141SUBJGRP 141
   Amendments
17:4.0.1.1.17.0.141.61SECTION 260.7a-35
   260.7a-35 Formal requirements as to amendments.
17:4.0.1.1.17.0.141.62SECTION 260.7a-36
   260.7a-36 Signatures to amendments.
17:4.0.1.1.17.0.142SUBJGRP 142
   Inspection and Publication of Applications, Statements and Reports
17:4.0.1.1.17.0.142.63SECTION 260.7a-37
   260.7a-37 Inspection of applications, statements and reports.
17:4.0.1.1.17.0.143SUBJGRP 143
   Rule Under Section 310
17:4.0.1.1.17.0.143.64SECTION 260.10a-1
   260.10a-1 Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
17:4.0.1.1.17.0.143.65SECTION 260.10a-2
   260.10a-2 General requirements as to form and content of applications.
17:4.0.1.1.17.0.143.66SECTION 260.10a-3
   260.10a-3 Number of copies - Filing - Signatures.
17:4.0.1.1.17.0.143.67SECTION 260.10a-4
   260.10a-4 Consent of trustee to service of process.
17:4.0.1.1.17.0.143.68SECTION 260.10a-5
   260.10a-5 Eligibility of Canadian Trustees.
17:4.0.1.1.17.0.143.69SECTION 260.10b-1
   260.10b-1 Calculation of percentages.
17:4.0.1.1.17.0.143.70SECTION 260.10b-2
   260.10b-2 Applications under section 310(b)(1)(ii).
17:4.0.1.1.17.0.143.71SECTION 260.10b-3
   260.10b-3 Applications relative to affiliations between trustees and underwriters.
17:4.0.1.1.17.0.143.72SECTION 260.10b-4
   260.10b-4 Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
17:4.0.1.1.17.0.143.73SECTION 260.10b-5
   260.10b-5 Content.
17:4.0.1.1.17.0.143.74SECTION 260.10b-6
   260.10b-6 Notices - Exemptive Application Procedure.
17:4.0.1.1.17.0.144SUBJGRP 144
   Rules Under Section 311
17:4.0.1.1.17.0.144.75SECTION 260.11b-4
   260.11b-4 Definition of “cash transaction” in section 311(b)(4).
17:4.0.1.1.17.0.144.76SECTION 260.11b-6
   260.11b-6 Definition of “self-liquidating paper” in section 311(b)(6).
17:4.0.1.1.17.0.145SUBJGRP 145
   Rules Under Section 314
17:4.0.1.1.17.0.146SUBJGRP 146
   Periodic Reports
17:4.0.1.1.17.0.146.77SECTION 260.14a-1
   260.14a-1 Application of §§ 260.7a-15 to 260.7a-38.
17:4.0.1.1.17.0.146.78SECTION 260.19a-1
   260.19a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.