Title 17

SECTION 230.152

230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.

§ 230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions. Link to an amendment published at 86 FR 3595, Jan. 14, 2021.

The phrase transactions by an issuer not involving any public offering in section 4(a)(2) (48 Stat. 77, sec. 203(a), 48 Stat. 906; 15 U.S.C. 77d) shall be deemed to apply to transactions not involving any public offering at the time of said transactions although subsequently thereto the issuer decides to make a public offering and/or files a registration statement.

[2 FR 1076, May 26, 1937, as amended at 30 FR 2022, Feb. 13, 1965; 78 FR 44770, July 24, 2013] Cross Reference:

For regulations relating to registration statement, see §§ 230.400-230.494.

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