Title 17

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

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 Authority: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). Source:47 FR 11401, Mar. 16, 1982, unless otherwise noted. 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PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

17:3.0.1.1.12.1SUBPART 229.1
Subpart 229.1 - General
17:3.0.1.1.12.1.36.1SECTION 229.10
   229.10 (Item 10) General.
17:3.0.1.1.12.2SUBPART 229.100
Subpart 229.100 - Business
17:3.0.1.1.12.2.36.1SECTION 229.101
   229.101 (Item 101) Description of business.
17:3.0.1.1.12.2.36.2SECTION 229.102
   229.102 (Item 102) Description of property.
17:3.0.1.1.12.2.36.3SECTION 229.103
   229.103 (Item 103) Legal proceedings.
17:3.0.1.1.12.2.36.4SECTION 229.104
   229.104 (Item 104) Mine safety disclosure.
17:3.0.1.1.12.2.36.5SECTION 229.105
   229.105 (Item 105) Risk factors.
17:3.0.1.1.12.3SUBPART 229.200
Subpart 229.200 - Securities of the Registrant
17:3.0.1.1.12.3.36.1SECTION 229.201
   229.201 (Item 201) Market price of and dividends on the registrant's common equity and related stockholder matters.
17:3.0.1.1.12.3.36.2SECTION 229.202
   229.202 (Item 202) Description of registrant's securities.
17:3.0.1.1.12.4SUBPART 229.300
Subpart 229.300 - Financial Information
17:3.0.1.1.12.4.36.1SECTION 229.301
   229.301 (Item 301) Selected financial data.
17:3.0.1.1.12.4.36.2SECTION 229.302
   229.302 (Item 302) Supplementary financial information.
17:3.0.1.1.12.4.36.3SECTION 229.303
   229.303 (Item 303) Management's discussion and analysis of financial condition and results of operations.
17:3.0.1.1.12.4.36.4SECTION 229.304
   229.304 (Item 304) Changes in and disagreements with accountants on accounting and financial disclosure.
17:3.0.1.1.12.4.36.5SECTION 229.305
   229.305 (Item 305) Quantitative and qualitative disclosures about market risk.
17:3.0.1.1.12.4.36.6SECTION 229.306
   229.306 [Reserved]
17:3.0.1.1.12.4.36.7SECTION 229.307
   229.307 (Item 307) Disclosure controls and procedures.
17:3.0.1.1.12.4.36.8SECTION 229.308
   229.308 (Item 308) Internal control over financial reporting.
17:3.0.1.1.12.5SUBPART 229.400
Subpart 229.400 - Management and Certain Security Holders
17:3.0.1.1.12.5.36.1SECTION 229.401
   229.401 (Item 401) Directors, executive officers, promoters and control persons.
17:3.0.1.1.12.5.36.2SECTION 229.402
   229.402 (Item 402) Executive compensation.
17:3.0.1.1.12.5.36.3SECTION 229.403
   229.403 (Item 403) Security ownership of certain beneficial owners and management.
17:3.0.1.1.12.5.36.4SECTION 229.404
   229.404 (Item 404) Transactions with related persons, promoters and certain control persons.
17:3.0.1.1.12.5.36.5SECTION 229.405
   229.405 (Item 405) Compliance with Section 16(a) of the Exchange Act.
17:3.0.1.1.12.5.36.6SECTION 229.406
   229.406 (Item 406) Code of ethics.
17:3.0.1.1.12.5.36.7SECTION 229.407
   229.407 (Item 407) Corporate governance.
17:3.0.1.1.12.6SUBPART 229.500
Subpart 229.500 - Registration Statement and Prospectus Provisions
17:3.0.1.1.12.6.36.1SECTION 229.501
   229.501 (Item 501) Forepart of Registration Statement and Outside Front Cover Page of Prospectus.
17:3.0.1.1.12.6.36.2SECTION 229.502
   229.502 (Item 502) Inside front and outside back cover pages of prospectus.
17:3.0.1.1.12.6.36.3SECTION 229.503
   229.503 (Item 503) Prospectus summary.
17:3.0.1.1.12.6.36.4SECTION 229.504
   229.504 (Item 504) Use of proceeds.
17:3.0.1.1.12.6.36.5SECTION 229.505
   229.505 (Item 505) Determination of offering price.
17:3.0.1.1.12.6.36.6SECTION 229.506
   229.506 (Item 506) Dilution.
17:3.0.1.1.12.6.36.7SECTION 229.507
   229.507 (Item 507) Selling security holders.
17:3.0.1.1.12.6.36.8SECTION 229.508
   229.508 (Item 508) Plan of distribution.
17:3.0.1.1.12.6.36.9SECTION 229.509
   229.509 (Item 509) Interests of named experts and counsel.
17:3.0.1.1.12.6.36.10SECTION 229.510
   229.510 (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities.
17:3.0.1.1.12.6.36.11SECTION 229.511
   229.511 (Item 511) Other expenses of issuance and distribution.
17:3.0.1.1.12.6.36.12SECTION 229.512
   229.512 (Item 512) Undertakings.
17:3.0.1.1.12.7SUBPART 229.600
Subpart 229.600 - Exhibits
17:3.0.1.1.12.7.36.1SECTION 229.601
   229.601 (Item 601) Exhibits.
17:3.0.1.1.12.8SUBPART 229.700
Subpart 229.700 - Miscellaneous
17:3.0.1.1.12.8.36.1SECTION 229.701
   229.701 (Item 701) Recent sales of unregistered securities; use of proceeds from registered securities.
17:3.0.1.1.12.8.36.2SECTION 229.702
   229.702 (Item 702) Indemnification of directors and officers.
17:3.0.1.1.12.8.36.3SECTION 229.703
   229.703 Purchases of equity securities by the issuer and affiliated purchasers.
17:3.0.1.1.12.9SUBPART 229.800
Subpart 229.800 - List of Industry Guides
17:3.0.1.1.12.9.36.1SECTION 229.801
   229.801 Securities Act industry guides.
17:3.0.1.1.12.9.36.2SECTION 229.802
   229.802 Exchange Act industry guides.
17:3.0.1.1.12.10SUBPART 229.900
Subpart 229.900 - Roll-Up Transactions
17:3.0.1.1.12.10.36.1SECTION 229.901
   229.901 (Item 901) Definitions.
17:3.0.1.1.12.10.36.2SECTION 229.902
   229.902 (Item 902) Individual partnership supplements.
17:3.0.1.1.12.10.36.3SECTION 229.903
   229.903 (Item 903) Summary.
17:3.0.1.1.12.10.36.4SECTION 229.904
   229.904 (Item 904) Risk factors and other considerations.
17:3.0.1.1.12.10.36.5SECTION 229.905
   229.905 (Item 905) comparative information.
17:3.0.1.1.12.10.36.6SECTION 229.906
   229.906 (Item 906) Allocation of roll-up consideration.
17:3.0.1.1.12.10.36.7SECTION 229.907
   229.907 (Item 907) Background of the roll-up transaction.
17:3.0.1.1.12.10.36.8SECTION 229.908
   229.908 (Item 908) Reasons for and alternatives to the roll-up transaction.
17:3.0.1.1.12.10.36.9SECTION 229.909
   229.909 (Item 909) Conflicts of interest.
17:3.0.1.1.12.10.36.10SECTION 229.910
   229.910 (Item 910) Fairness of the transaction.
17:3.0.1.1.12.10.36.11SECTION 229.911
   229.911 (Item 911) Reports, opinions and appraisals.
17:3.0.1.1.12.10.36.12SECTION 229.912
   229.912 (Item 912) Source and amount of funds and transactional expenses.
17:3.0.1.1.12.10.36.13SECTION 229.913
   229.913 (Item 913) Other provisions of the transaction.
17:3.0.1.1.12.10.36.14SECTION 229.914
   229.914 (Item 914) Pro forma financial statements: selected financial data.
17:3.0.1.1.12.10.36.15SECTION 229.915
   229.915 (Item 915) Federal income tax consequences.
17:3.0.1.1.12.11SUBPART 229.1000
Subpart 229.1000 - Mergers and Acquisitions (Regulation M-A)
17:3.0.1.1.12.11.36.1SECTION 229.1000
   229.1000 (Item 1000) Definitions.
17:3.0.1.1.12.11.36.2SECTION 229.1001
   229.1001 (Item 1001) Summary term sheet.
17:3.0.1.1.12.11.36.3SECTION 229.1002
   229.1002 (Item 1002) Subject company information.
17:3.0.1.1.12.11.36.4SECTION 229.1003
   229.1003 (Item 1003) Identity and background of filing person.
17:3.0.1.1.12.11.36.5SECTION 229.1004
   229.1004 (Item 1004) Terms of the transaction.
17:3.0.1.1.12.11.36.6SECTION 229.1005
   229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements.
17:3.0.1.1.12.11.36.7SECTION 229.1006
   229.1006 (Item 1006) Purposes of the transaction and plans or proposals.
17:3.0.1.1.12.11.36.8SECTION 229.1007
   229.1007 (Item 1007) Source and amount of funds or other consideration.
17:3.0.1.1.12.11.36.9SECTION 229.1008
   229.1008 (Item 1008) Interest in securities of the subject company.
17:3.0.1.1.12.11.36.10SECTION 229.1009
   229.1009 (Item 1009) Persons/assets, retained, employed, compensated or used.
17:3.0.1.1.12.11.36.11SECTION 229.1010
   229.1010 (Item 1010) Financial statements.
17:3.0.1.1.12.11.36.12SECTION 229.1011
   229.1011 (Item 1011) Additional information.
17:3.0.1.1.12.11.36.13SECTION 229.1012
   229.1012 (Item 1012) The solicitation or recommendation.
17:3.0.1.1.12.11.36.14SECTION 229.1013
   229.1013 (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.
17:3.0.1.1.12.11.36.15SECTION 229.1014
   229.1014 (Item 1014) Fairness of the going-private transaction.
17:3.0.1.1.12.11.36.16SECTION 229.1015
   229.1015 (Item 1015) Reports, opinions, appraisals and negotiations.
17:3.0.1.1.12.11.36.17SECTION 229.1016
   229.1016 (Item 1016) Exhibits.
17:3.0.1.1.12.12SUBPART 229.1100
Subpart 229.1100 - Asset-Backed Securities (Regulation AB)
17:3.0.1.1.12.12.36.1SECTION 229.1100
   229.1100 (Item 1100) General.
17:3.0.1.1.12.12.36.2SECTION 229.1101
   229.1101 (Item 1101) Definitions.
17:3.0.1.1.12.12.36.3SECTION 229.1102
   229.1102 (Item 1102) Forepart of registration statement and outside cover page of the prospectus.
17:3.0.1.1.12.12.36.4SECTION 229.1103
   229.1103 (Item 1103) Transaction summary and risk factors.
17:3.0.1.1.12.12.36.5SECTION 229.1104
   229.1104 (Item 1104) Sponsors.
17:3.0.1.1.12.12.36.6SECTION 229.1105
   229.1105 (Item 1105) Static pool information.
17:3.0.1.1.12.12.36.7SECTION 229.1106
   229.1106 (Item 1106) Depositors.
17:3.0.1.1.12.12.36.8SECTION 229.1107
   229.1107 (Item 1107) Issuing entities.
17:3.0.1.1.12.12.36.9SECTION 229.1108
   229.1108 (Item 1108) Servicers.
17:3.0.1.1.12.12.36.10SECTION 229.1109
   229.1109 (Item 1109) Trustees and other transaction parties.
17:3.0.1.1.12.12.36.11SECTION 229.1110
   229.1110 (Item 1110) Originators.
17:3.0.1.1.12.12.36.12SECTION 229.1111
   229.1111 (Item 1111) Pool assets.
17:3.0.1.1.12.12.36.13SECTION 229.1112
   229.1112 (Item 1112) Significant obligors of pool assets.
17:3.0.1.1.12.12.36.14SECTION 229.1113
   229.1113 (Item 1113) Structure of the transaction.
17:3.0.1.1.12.12.36.15SECTION 229.1114
   229.1114 (Item 1114) Credit enhancement and other support, except for certain derivatives instruments.
17:3.0.1.1.12.12.36.16SECTION 229.1115
   229.1115 (Item 1115) Certain derivatives instruments.
17:3.0.1.1.12.12.36.17SECTION 229.1116
   229.1116 (Item 1116) Tax matters.
17:3.0.1.1.12.12.36.18SECTION 229.1117
   229.1117 (Item 1117) Legal proceedings.
17:3.0.1.1.12.12.36.19SECTION 229.1118
   229.1118 (Item 1118) Reports and additional information.
17:3.0.1.1.12.12.36.20SECTION 229.1119
   229.1119 (Item 1119) Affiliations and certain relationships and related transactions.
17:3.0.1.1.12.12.36.21SECTION 229.1120
   229.1120 (Item 1120) Ratings.
17:3.0.1.1.12.12.36.22SECTION 229.1121
   229.1121 (Item 1121) Distribution and pool performance information.
17:3.0.1.1.12.12.36.23SECTION 229.1122
   229.1122 (Item 1122) Compliance with applicable servicing criteria.
17:3.0.1.1.12.12.36.24SECTION 229.1123
   229.1123 (Item 1123) Servicer compliance statement.
17:3.0.1.1.12.12.36.25SECTION 229.1124
   229.1124 (Item 1124) Sponsor interest in the securities.
17:3.0.1.1.12.12.36.26SECTION 229.1125
   229.1125 (Item 1125) Schedule AL - Asset-level information.
17:3.0.1.1.12.13SUBPART 229.1200
Subpart 229.1200 - Disclosure by Registrants Engaged in Oil and Gas Producing Activities
17:3.0.1.1.12.13.36.1SECTION 229.1201
   229.1201 (Item 1201) General instructions to oil and gas industry-specific disclosures.
17:3.0.1.1.12.13.36.2SECTION 229.1202
   229.1202 (Item 1202) Disclosure of reserves.
17:3.0.1.1.12.13.36.3SECTION 229.1203
   229.1203 (Item 1203) Proved undeveloped reserves.
17:3.0.1.1.12.13.36.4SECTION 229.1204
   229.1204 (Item 1204) Oil and gas production, production prices and production costs.
17:3.0.1.1.12.13.36.5SECTION 229.1205
   229.1205 (Item 1205) Drilling and other exploratory and development activities.
17:3.0.1.1.12.13.36.6SECTION 229.1206
   229.1206 (Item 1206) Present activities.
17:3.0.1.1.12.13.36.7SECTION 229.1207
   229.1207 (Item 1207) Delivery commitments.
17:3.0.1.1.12.13.36.8SECTION 229.1208
   229.1208 (Item 1208) Oil and gas properties, wells, operations, and acreage.
17:3.0.1.1.12.14SUBPART 229.1300
Subpart 229.1300 - Disclosure by Registrants Engaged in Mining Operations
17:3.0.1.1.12.14.36.1SECTION 229.1300
   229.1300 (Item 1300) Definitions.
17:3.0.1.1.12.14.36.2SECTION 229.1301
   229.1301 (Item 1301) General instructions.
17:3.0.1.1.12.14.36.3SECTION 229.1302
   229.1302 (Item 1302) Qualified person, technical report summary, and technical studies.
17:3.0.1.1.12.14.36.4SECTION 229.1303
   229.1303 (Item 1303) Summary disclosure.
17:3.0.1.1.12.14.36.5SECTION 229.1304
   229.1304 (Item 1304) Individual property disclosure.
17:3.0.1.1.12.14.36.6SECTION 229.1305
   229.1305 (Item 1305) Internal controls disclosure.