Title 17

PART 230

Part 230 - General Rules And Regulations, Securities Act Of 1933

PART 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Authority:15 U.S.C. 77b, 77b note, 77c, 77d, 77f, 77g, 77h, 77j, 77r, 77s, 77z-3, 77sss, 78c, 78d, 78j, 78l, 78m, 78n, 78o, 78o-7 note, 78t, 78w, 78ll(d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, and Pub. L. 112-106, sec. 201(a), sec. 401, 126 Stat. 313 (2012), unless otherwise noted.

Section 230.151 is also issued under 15 U.S.C. 77s(a).

Section 230.160 is also issued under Section 104(d) of the Electronic Signatures Act.

Section 230.193 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Sections 230.400 to 230.499 issued under secs. 6, 8, 10, 19, 48 Stat. 78, 79, 81, and 85, as amended (15 U.S.C. 77f, 77h, 77j, 77s).

Sec. 230.457 also issued under secs. 6 and 7, 15 U.S.C. 77f and 77g.

Section 230.502 is also issued under 15 U.S.C. 80a-8, 80a-29, 80a-30.

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PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT

17:3.0.1.1.13.0.36SUBJGRP 36
   General
17:3.0.1.1.13.0.37SUBJGRP 37
   Regulation A-R - Special Exemptions
17:3.0.1.1.13.0.37.1SECTION 230.100
   230.100 Definitions of terms used in the rules and regulations.
17:3.0.1.1.13.0.37.2SECTION 230.110
   230.110 Business hours of the Commission.
17:3.0.1.1.13.0.37.3SECTION 230.111
   230.111 Payment of fees.
17:3.0.1.1.13.0.37.4SECTION 230.120
   230.120 Inspection of registration statements.
17:3.0.1.1.13.0.37.5SECTION 230.122
   230.122 Non-disclosure of information obtained in the course of examinations and investigations.
17:3.0.1.1.13.0.37.6SECTION 230.130
   230.130 Definition of “rules and regulations” as used in certain sections of the Act.
17:3.0.1.1.13.0.37.7SECTION 230.131
   230.131 Definition of security issued under governmental obligations.
17:3.0.1.1.13.0.37.8SECTION 230.132
   230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act.
17:3.0.1.1.13.0.37.9SECTION 230.133
   230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
17:3.0.1.1.13.0.37.10SECTION 230.134
   230.134 Communications not deemed a prospectus.
17:3.0.1.1.13.0.37.11SECTION 230.134a
   230.134a Options material not deemed a prospectus.
17:3.0.1.1.13.0.37.12SECTION 230.134b
   230.134b Statements of additional information.
17:3.0.1.1.13.0.37.13SECTION 230.135
   230.135 Notice of proposed registered offerings.
17:3.0.1.1.13.0.37.14SECTION 230.135a
   230.135a Generic advertising.
17:3.0.1.1.13.0.37.15SECTION 230.135b
   230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.
17:3.0.1.1.13.0.37.16SECTION 230.135c
   230.135c Notice of certain proposed unregistered offerings.
17:3.0.1.1.13.0.37.17SECTION 230.135d
   230.135d Communications involving security-based swaps.
17:3.0.1.1.13.0.37.18SECTION 230.135e
   230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
17:3.0.1.1.13.0.37.19SECTION 230.136
   230.136 Definition of certain terms in relation to assessable stock.
17:3.0.1.1.13.0.37.20SECTION 230.137
   230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
17:3.0.1.1.13.0.37.21SECTION 230.138
   230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
17:3.0.1.1.13.0.37.22SECTION 230.139
   230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
17:3.0.1.1.13.0.37.23SECTION 230.139a
   230.139a Publications by brokers or dealers distributing asset-backed securities.
17:3.0.1.1.13.0.37.24SECTION 230.139b
   230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
17:3.0.1.1.13.0.37.25SECTION 230.140
   230.140 Definition of “distribution” in section 2(11) for certain transactions.
17:3.0.1.1.13.0.37.26SECTION 230.141
   230.141 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 2(11), for certain transactions.
17:3.0.1.1.13.0.37.27SECTION 230.142
   230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
17:3.0.1.1.13.0.37.28SECTION 230.143
   230.143 Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain transactions of foreign governments for war purposes.
17:3.0.1.1.13.0.37.29SECTION 230.144
   230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.
17:3.0.1.1.13.0.37.30SECTION 230.144A
   230.144A Private resales of securities to institutions.
17:3.0.1.1.13.0.37.31SECTION 230.145
   230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
17:3.0.1.1.13.0.37.32SECTION 230.146
   230.146 Rules under section 18 of the Act.
17:3.0.1.1.13.0.37.33SECTION 230.147
   230.147 Intrastate offers and sales.
17:3.0.1.1.13.0.37.34SECTION 230.147A
   230.147A Intrastate sales exemption.
17:3.0.1.1.13.0.37.35SECTION 230.148
   230.148 [Reserved]
17:3.0.1.1.13.0.37.36SECTION 230.149
   230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions.
17:3.0.1.1.13.0.37.37SECTION 230.150
   230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
17:3.0.1.1.13.0.37.38SECTION 230.151
   230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
17:3.0.1.1.13.0.37.39SECTION 230.152
   230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.
17:3.0.1.1.13.0.37.40SECTION 230.152a
   230.152a Offer or sale of certain fractional interests.
17:3.0.1.1.13.0.37.41SECTION 230.153
   230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
17:3.0.1.1.13.0.37.42SECTION 230.153a
   230.153a Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders.
17:3.0.1.1.13.0.37.43SECTION 230.153b
   230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
17:3.0.1.1.13.0.37.44SECTION 230.154
   230.154 Delivery of prospectuses to investors at the same address.
17:3.0.1.1.13.0.37.45SECTION 230.155
   230.155 Integration of abandoned offerings.
17:3.0.1.1.13.0.37.46SECTION 230.156
   230.156 Investment company sales literature.
17:3.0.1.1.13.0.37.47SECTION 230.157
   230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
17:3.0.1.1.13.0.37.48SECTION 230.158
   230.158 Definitions of certain terms in the last paragraph of section 11(a).
17:3.0.1.1.13.0.37.49SECTION 230.159
   230.159 Information available to purchaser at time of contract of sale.
17:3.0.1.1.13.0.37.50SECTION 230.159A
   230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
17:3.0.1.1.13.0.37.51SECTION 230.160
   230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
17:3.0.1.1.13.0.37.52SECTION 230.161
   230.161 Amendments to rules and regulations governing exemptions.
17:3.0.1.1.13.0.37.53SECTION 230.162
   230.162 Submission of tenders in registered exchange offers.
17:3.0.1.1.13.0.37.54SECTION 230.163
   230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
17:3.0.1.1.13.0.37.55SECTION 230.163A
   230.163A Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.
17:3.0.1.1.13.0.37.56SECTION 230.163B
   230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
17:3.0.1.1.13.0.37.57SECTION 230.164
   230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
17:3.0.1.1.13.0.37.58SECTION 230.165
   230.165 Offers made in connection with a business combination transaction.
17:3.0.1.1.13.0.37.59SECTION 230.166
   230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.
17:3.0.1.1.13.0.37.60SECTION 230.167
   230.167 Communications in connection with certain registered offerings of asset-backed securities.
17:3.0.1.1.13.0.37.61SECTION 230.168
   230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
17:3.0.1.1.13.0.37.62SECTION 230.169
   230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
17:3.0.1.1.13.0.37.63SECTION 230.170
   230.170 Prohibition of use of certain financial statements.
17:3.0.1.1.13.0.37.64SECTION 230.171
   230.171 Disclosure detrimental to the national defense or foreign policy.
17:3.0.1.1.13.0.37.65SECTION 230.172
   230.172 Delivery of prospectuses.
17:3.0.1.1.13.0.37.66SECTION 230.173
   230.173 Notice of registration.
17:3.0.1.1.13.0.37.67SECTION 230.174
   230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
17:3.0.1.1.13.0.37.68SECTION 230.175
   230.175 Liability for certain statements by issuers.
17:3.0.1.1.13.0.37.69SECTION 230.176
   230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
17:3.0.1.1.13.0.37.70SECTION 230.180
   230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
17:3.0.1.1.13.0.37.71SECTION 230.190
   230.190 Registration of underlying securities in asset-backed securities transactions.
17:3.0.1.1.13.0.37.72SECTION 230.191
   230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
17:3.0.1.1.13.0.37.73SECTION 230.193
   230.193 Review of underlying assets in asset-backed securities transactions.
17:3.0.1.1.13.0.37.74SECTION 230.194
   230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.
17:3.0.1.1.13.0.37.75SECTION 230.215
   230.215 Accredited investor.
17:3.0.1.1.13.0.37.76SECTION 230.236
   230.236 Exemption of shares offered in connection with certain transactions.
17:3.0.1.1.13.0.37.77SECTION 230.237
   230.237 Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
17:3.0.1.1.13.0.37.78SECTION 230.238
   230.238 Exemption for standardized options.
17:3.0.1.1.13.0.37.79SECTION 230.239
   230.239 Exemption for offers and sales of certain security-based swaps.
17:3.0.1.1.13.0.37.80SECTION 230.240
   230.240 Exemption for certain security-based swaps.
17:3.0.1.1.13.0.38SUBJGRP 38
   Regulation A - Conditional Small Issues Exemption
17:3.0.1.1.13.0.38.81SECTION 230.251
   230.251 Scope of exemption.
17:3.0.1.1.13.0.38.82SECTION 230.252
   230.252 Offering statement.
17:3.0.1.1.13.0.38.83SECTION 230.253
   230.253 Offering circular.
17:3.0.1.1.13.0.38.84SECTION 230.254
   230.254 Preliminary offering circular.
17:3.0.1.1.13.0.38.85SECTION 230.255
   230.255 Solicitations of interest and other communications.
17:3.0.1.1.13.0.38.86SECTION 230.256
   230.256 Definition of “qualified purchaser”.
17:3.0.1.1.13.0.38.87SECTION 230.257
   230.257 Periodic and current reporting; exit report.
17:3.0.1.1.13.0.38.88SECTION 230.258
   230.258 Suspension of the exemption.
17:3.0.1.1.13.0.38.89SECTION 230.259
   230.259 Withdrawal or abandonment of offering statements.
17:3.0.1.1.13.0.38.90SECTION 230.260
   230.260 Insignificant deviations from a term, condition or requirement of Regulation A.
17:3.0.1.1.13.0.38.91SECTION 230.261
   230.261 Definitions.
17:3.0.1.1.13.0.38.92SECTION 230.262
   230.262 Disqualification provisions.
17:3.0.1.1.13.0.38.93SECTION 230.263
   230.263 Consent to service of process.
17:3.0.1.1.13.0.38.94SECTION 230.300-230.346
   230.300-230.346 [Reserved]
17:3.0.1.1.13.0.39SUBJGRP 39
   Regulation C - Registration
17:3.0.1.1.13.0.40SUBJGRP 40
   general requirements
17:3.0.1.1.13.0.40.95SECTION 230.400
   230.400 Application of §§ 230.400 to 230.494, inclusive.
17:3.0.1.1.13.0.40.96SECTION 230.401
   230.401 Requirements as to proper form.
17:3.0.1.1.13.0.40.97SECTION 230.401a
   230.401a Requirements as to proper form.
17:3.0.1.1.13.0.40.98SECTION 230.402
   230.402 Number of copies; binding; signatures.
17:3.0.1.1.13.0.40.99SECTION 230.403
   230.403 Requirements as to paper, printing, language and pagination.
17:3.0.1.1.13.0.40.100SECTION 230.404
   230.404 Preparation of registration statement.
17:3.0.1.1.13.0.40.101SECTION 230.405
   230.405 Definitions of terms.
17:3.0.1.1.13.0.40.102SECTION 230.406
   230.406 Confidential treatment of information filed with the Commission.
17:3.0.1.1.13.0.40.103SECTION 230.408
   230.408 Additional information.
17:3.0.1.1.13.0.40.104SECTION 230.409
   230.409 Information unknown or not reasonably available.
17:3.0.1.1.13.0.40.105SECTION 230.410
   230.410 Disclaimer of control.
17:3.0.1.1.13.0.40.106SECTION 230.411
   230.411 Incorporation by reference.
17:3.0.1.1.13.0.40.107SECTION 230.412
   230.412 Modified or superseded documents.
17:3.0.1.1.13.0.40.108SECTION 230.413
   230.413 Registration of additional securities and additional classes of securities.
17:3.0.1.1.13.0.40.109SECTION 230.414
   230.414 Registration by certain successor issuers.
17:3.0.1.1.13.0.40.110SECTION 230.415
   230.415 Delayed or continuous offering and sale of securities.
17:3.0.1.1.13.0.40.111SECTION 230.416
   230.416 Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans.
17:3.0.1.1.13.0.40.112SECTION 230.417
   230.417 Date of financial statements.
17:3.0.1.1.13.0.40.113SECTION 230.418
   230.418 Supplemental information.
17:3.0.1.1.13.0.40.114SECTION 230.419
   230.419 Offerings by blank check companies.
17:3.0.1.1.13.0.41SUBJGRP 41
   form and content of prospectuses
17:3.0.1.1.13.0.41.115SECTION 230.420
   230.420 Legibility of prospectus.
17:3.0.1.1.13.0.41.116SECTION 230.421
   230.421 Presentation of information in prospectuses.
17:3.0.1.1.13.0.41.117SECTION 230.423
   230.423 Date of prospectuses.
17:3.0.1.1.13.0.41.118SECTION 230.424
   230.424 Filing of prospectuses, number of copies.
17:3.0.1.1.13.0.41.119SECTION 230.425
   230.425 Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
17:3.0.1.1.13.0.41.120SECTION 230.426
   230.426 Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
17:3.0.1.1.13.0.41.121SECTION 230.427
   230.427 Contents of prospectus used after nine months.
17:3.0.1.1.13.0.41.122SECTION 230.428
   230.428 Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8.
17:3.0.1.1.13.0.41.123SECTION 230.429
   230.429 Prospectus relating to several registration statements.
17:3.0.1.1.13.0.41.124SECTION 230.430
   230.430 Prospectus for use prior to effective date.
17:3.0.1.1.13.0.41.125SECTION 230.430A
   230.430A Prospectus in a registration statement at the time of effectiveness.
17:3.0.1.1.13.0.41.126SECTION 230.430B
   230.430B Prospectus in a registration statement after effective date.
17:3.0.1.1.13.0.41.127SECTION 230.430C
   230.430C Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
17:3.0.1.1.13.0.41.128SECTION 230.430D
   230.430D Prospectus in a registration statement after effective date for asset-backed securities offerings.
17:3.0.1.1.13.0.41.129SECTION 230.431
   230.431 Summary prospectuses.
17:3.0.1.1.13.0.41.130SECTION 230.432
   230.432 Additional information required to be included in prospectuses relating to tender offers.
17:3.0.1.1.13.0.41.131SECTION 230.433
   230.433 Conditions to permissible post-filing free writing prospectuses.
17:3.0.1.1.13.0.42SUBJGRP 42
   written consents
17:3.0.1.1.13.0.42.132SECTION 230.436
   230.436 Consents required in special cases.
17:3.0.1.1.13.0.42.133SECTION 230.437
   230.437 Application to dispense with consent.
17:3.0.1.1.13.0.42.134SECTION 230.437a
   230.437a Written consents.
17:3.0.1.1.13.0.42.135SECTION 230.438
   230.438 Consents of persons about to become directors.
17:3.0.1.1.13.0.42.136SECTION 230.439
   230.439 Consent to use of material incorporated by reference.
17:3.0.1.1.13.0.42.137SECTION 230.445-230.447
   230.445-230.447 [Reserved]
17:3.0.1.1.13.0.43SUBJGRP 43
   filings; fees; effective date
17:3.0.1.1.13.0.43.138SECTION 230.455
   230.455 Place of filing.
17:3.0.1.1.13.0.43.139SECTION 230.456
   230.456 Date of filing; timing of fee payment.
17:3.0.1.1.13.0.43.140SECTION 230.457
   230.457 Computation of fee.
17:3.0.1.1.13.0.43.141SECTION 230.459
   230.459 Calculation of effective date.
17:3.0.1.1.13.0.43.142SECTION 230.460
   230.460 Distribution of preliminary prospectus.
17:3.0.1.1.13.0.43.143SECTION 230.461
   230.461 Acceleration of effective date.
17:3.0.1.1.13.0.43.144SECTION 230.462
   230.462 Immediate effectiveness of certain registration statements and post-effective amendments.
17:3.0.1.1.13.0.43.145SECTION 230.463
   230.463 Report of offering of securities and use of proceeds therefrom.
17:3.0.1.1.13.0.43.146SECTION 230.464
   230.464 Effective date of post-effective amendments to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2 and F-3.
17:3.0.1.1.13.0.43.147SECTION 230.466
   230.466 Effective date of certain registration statements on Form F-6.
17:3.0.1.1.13.0.43.148SECTION 230.467
   230.467 Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80.
17:3.0.1.1.13.0.44SUBJGRP 44
   amendments; withdrawals
17:3.0.1.1.13.0.44.149SECTION 230.470
   230.470 Formal requirements for amendments.
17:3.0.1.1.13.0.44.150SECTION 230.471
   230.471 Signatures to amendments.
17:3.0.1.1.13.0.44.151SECTION 230.472
   230.472 Filing of amendments; number of copies.
17:3.0.1.1.13.0.44.152SECTION 230.473
   230.473 Delaying amendments.
17:3.0.1.1.13.0.44.153SECTION 230.474
   230.474 Date of filing of amendments.
17:3.0.1.1.13.0.44.154SECTION 230.475
   230.475 Amendment filed with consent of Commission.
17:3.0.1.1.13.0.44.155SECTION 230.475a
   230.475a Certain pre-effective amendments deemed filed with the consent of the Commission.
17:3.0.1.1.13.0.44.156SECTION 230.476
   230.476 Amendment filed pursuant to order of Commission.
17:3.0.1.1.13.0.44.157SECTION 230.477
   230.477 Withdrawal of registration statement or amendment.
17:3.0.1.1.13.0.44.158SECTION 230.478
   230.478 Powers to amend or withdraw registration statement.
17:3.0.1.1.13.0.44.159SECTION 230.479
   230.479 Procedure with respect to abandoned registration statements and post-effective amendments.
17:3.0.1.1.13.0.45SUBJGRP 45
   investment companies; business development companies
17:3.0.1.1.13.0.46SUBJGRP 46
   registration by foreign governments or political subdivisions thereof
17:3.0.1.1.13.0.46.160SECTION 230.480
   230.480 Title of securities.
17:3.0.1.1.13.0.46.161SECTION 230.481
   230.481 Information required in prospectuses.
17:3.0.1.1.13.0.46.162SECTION 230.482
   230.482 Advertising by an investment company as satisfying requirements of section 10.
17:3.0.1.1.13.0.46.163SECTION 230.483
   230.483 Exhibits for certain registration statements.
17:3.0.1.1.13.0.46.164SECTION 230.484
   230.484 Undertaking required in certain registration statements.
17:3.0.1.1.13.0.46.165SECTION 230.485
   230.485 Effective date of post-effective amendments filed by certain registered investment companies.
17:3.0.1.1.13.0.46.166SECTION 230.486
   230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
17:3.0.1.1.13.0.46.167SECTION 230.487
   230.487 Effectiveness of registration statements filed by certain unit investment trusts.
17:3.0.1.1.13.0.46.168SECTION 230.488
   230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
17:3.0.1.1.13.0.46.169SECTION 230.489
   230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
17:3.0.1.1.13.0.46.170SECTION 230.490
   230.490 Information to be furnished under paragraph (3) of Schedule B.
17:3.0.1.1.13.0.46.171SECTION 230.491
   230.491 Information to be furnished under paragraph (6) of Schedule B.
17:3.0.1.1.13.0.46.172SECTION 230.492
   230.492 Omissions from prospectuses.
17:3.0.1.1.13.0.46.173SECTION 230.493
   230.493 Additional Schedule B disclosure and filing requirements.
17:3.0.1.1.13.0.46.174SECTION 230.494
   230.494 Newspaper prospectuses.
17:3.0.1.1.13.0.46.175SECTION 230.495
   230.495 Preparation of registration statement.
17:3.0.1.1.13.0.46.176SECTION 230.496
   230.496 Contents of prospectus and statement of additional information used after nine months.
17:3.0.1.1.13.0.46.177SECTION 230.497
   230.497 Filing of investment company prospectuses - number of copies.
17:3.0.1.1.13.0.46.178SECTION 230.498
   230.498 Summary Prospectuses for open-end management investment companies.
17:3.0.1.1.13.0.46.180SECTION 230.498A
   230.498A xxx
17:3.0.1.1.13.0.47SUBJGRP 47
   Regulation D - Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933
17:3.0.1.1.13.0.47.181SECTION 230.500
   230.500 Use of Regulation D.
17:3.0.1.1.13.0.47.182SECTION 230.501
   230.501 Definitions and terms used in Regulation D.
17:3.0.1.1.13.0.47.183SECTION 230.502
   230.502 General conditions to be met.
17:3.0.1.1.13.0.47.184SECTION 230.503
   230.503 Filing of notice of sales.
17:3.0.1.1.13.0.47.185SECTION 230.504
   230.504 Exemption for limited offerings and sales of securities not exceeding $5,000,000.
17:3.0.1.1.13.0.47.186SECTION 230.505
   230.505 [Reserved]
17:3.0.1.1.13.0.47.187SECTION 230.506
   230.506 Exemption for limited offers and sales without regard to dollar amount of offering.
17:3.0.1.1.13.0.47.188SECTION 230.507
   230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.
17:3.0.1.1.13.0.47.189SECTION 230.508
   230.508 Insignificant deviations from a term, condition or requirement of Regulation D.
17:3.0.1.1.13.0.48SUBJGRP 48
   Regulation E - Exemption for Securities of Small Business Investment Companies
17:3.0.1.1.13.0.49SUBJGRP 49
   Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations
17:3.0.1.1.13.0.49.190SECTION 230.601
   230.601 Definitions of terms used in §§ 230.601 to 230.610a.
17:3.0.1.1.13.0.49.191SECTION 230.602
   230.602 Securities exempted.
17:3.0.1.1.13.0.49.192SECTION 230.603
   230.603 Amount of securities exempted.
17:3.0.1.1.13.0.49.193SECTION 230.604
   230.604 Filing of notification on Form 1-E.
17:3.0.1.1.13.0.49.194SECTION 230.605
   230.605 Filing and use of the offering circular.
17:3.0.1.1.13.0.49.195SECTION 230.606
   230.606 Offering not in excess of $100,000.
17:3.0.1.1.13.0.49.196SECTION 230.607
   230.607 Sales material to be filed.
17:3.0.1.1.13.0.49.197SECTION 230.608
   230.608 Prohibition of certain statements.
17:3.0.1.1.13.0.49.198SECTION 230.609
   230.609 Reports of sales hereunder.
17:3.0.1.1.13.0.49.199SECTION 230.610
   230.610 Suspension of exemption.
17:3.0.1.1.13.0.49.200SECTION 230.610a
   230.610a Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
17:3.0.1.1.13.0.49.201SECTION 230.651-230.656
   230.651-230.656 [Reserved]
17:3.0.1.1.13.0.49.202SECTION 230.701
   230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
17:3.0.1.1.13.0.49.203SECTION 230.702(T)-230.703(T)
   230.702(T)-230.703(T) [Reserved]
17:3.0.1.1.13.0.50SUBJGRP 50
   Regulation S - Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
17:3.0.1.1.13.0.50.204SECTION 230.800
   230.800 Definitions for §§ 230.800, 230.801 and 230.802.
17:3.0.1.1.13.0.50.205SECTION 230.801
   230.801 Exemption in connection with a rights offering.
17:3.0.1.1.13.0.50.206SECTION 230.802
   230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
17:3.0.1.1.13.0.51SUBJGRP 51
   Regulation CE - Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law
17:3.0.1.1.13.0.51.207SECTION 230.901
   230.901 General statement.
17:3.0.1.1.13.0.51.208SECTION 230.902
   230.902 Definitions.
17:3.0.1.1.13.0.51.209SECTION 230.903
   230.903 Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities.
17:3.0.1.1.13.0.51.210SECTION 230.904
   230.904 Offshore resales.
17:3.0.1.1.13.0.51.211SECTION 230.905
   230.905 Resale limitations.
17:3.0.1.1.13.0.51.212SECTION 230.1001
   230.1001 Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.