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.

17:3.0.1.1.16.0.59.1SECTION 239.0-1
   239.0-1 Availability of forms.
17:3.0.1.1.16.1SUBPART A
Subpart A - Forms for Registration Statements
17:3.0.1.1.16.1.59.1SECTION 239.4-239.10
   239.4-239.10 [Reserved]
17:3.0.1.1.16.1.59.2SECTION 239.11
   239.11 Form S-1, registration statement under the Securities Act of 1933.
17:3.0.1.1.16.1.59.3SECTION 239.12
   239.12 [Reserved]
17:3.0.1.1.16.1.59.4SECTION 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.
17:3.0.1.1.16.1.59.5SECTION 239.14
   239.14 Form N-2 for closed end management investment companies registered on Form N-8A.
17:3.0.1.1.16.1.59.6SECTION 239.15
   239.15 Form N-1 for open-end management investment companies registered on Form N-8A.
17:3.0.1.1.16.1.59.7SECTION 239.15A
   239.15A Form N-1A, registration statement of open-end management investment companies.
17:3.0.1.1.16.1.59.8SECTION 239.16
   239.16 Form S-6, for unit investment trusts registered on Form N-8B-2.
17:3.0.1.1.16.1.59.9SECTION 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.
17:3.0.1.1.16.1.59.10SECTION 239.17
   239.17 [Reserved]
17:3.0.1.1.16.1.59.11SECTION 239.17a
   239.17a Form N-3, registration statement for separate accounts organized as management investment companies.
17:3.0.1.1.16.1.59.12SECTION 239.17b
   239.17b Form N-4, registration statement for separate accounts organized as unit investment trusts.
17:3.0.1.1.16.1.59.13SECTION 239.17c
   239.17c Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.
17:3.0.1.1.16.1.59.14SECTION 239.18
   239.18 Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.
17:3.0.1.1.16.1.59.15SECTION 239.19
   239.19 [Reserved]
17:3.0.1.1.16.1.59.16SECTION 239.20
   239.20 Form S-20, for standardized options.
17:3.0.1.1.16.1.59.17SECTION 239.23
   239.23 Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.
17:3.0.1.1.16.1.59.18SECTION 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.
17:3.0.1.1.16.1.59.19SECTION 239.25
   239.25 Form S-4, for the registration of securities issued in business combination transactions.
17:3.0.1.1.16.1.59.20SECTION 239.26-239.30
   239.26-239.30 [Reserved]
17:3.0.1.1.16.1.59.21SECTION 239.31
   239.31 Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.
17:3.0.1.1.16.1.59.22SECTION 239.32
   239.32 [Reserved]
17:3.0.1.1.16.1.59.23SECTION 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.
17:3.0.1.1.16.1.59.24SECTION 239.34
   239.34 Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions.
17:3.0.1.1.16.1.59.25SECTION 239.35
   239.35 [Reserved]
17:3.0.1.1.16.1.59.26SECTION 239.36
   239.36 Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts.
17:3.0.1.1.16.1.59.27SECTION 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.
17:3.0.1.1.16.1.59.28SECTION 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.
17:3.0.1.1.16.1.59.29SECTION 239.39
   239.39 [Reserved]
17:3.0.1.1.16.1.59.30SECTION 239.40
   239.40 Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers.
17:3.0.1.1.16.1.59.31SECTION 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.
17:3.0.1.1.16.1.59.32SECTION 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.
17:3.0.1.1.16.1.59.33SECTION 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.
17:3.0.1.1.16.1.59.34SECTION 239.44
   239.44 Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.
17:3.0.1.1.16.1.59.35SECTION 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.
17:3.0.1.1.16.1.59.36SECTION 239.46-239.62
   239.46-239.62 [Reserved]
17:3.0.1.1.16.1.59.37SECTION 239.63
   239.63 Form ID, uniform application for access codes to file on EDGAR.
17:3.0.1.1.16.1.59.38SECTION 239.64
   239.64 Form SE, form for submission of paper format exhibits by electronic filers.
17:3.0.1.1.16.1.59.39SECTION 239.65
   239.65 Form TH - Notification of reliance on temporary hardship exemption.
17:3.0.1.1.16.2SUBPART B
Subpart B - Forms Pertaining to Exemptions
17:3.0.1.1.16.2.59.1SECTION 239.90
   239.90 Form 1-A, offering statement under Regulation A.
17:3.0.1.1.16.2.59.2SECTION 239.91
   239.91 Form 1-K.
17:3.0.1.1.16.2.59.3SECTION 239.92
   239.92 Form 1-SA.
17:3.0.1.1.16.2.59.4SECTION 239.93
   239.93 Form 1-U.
17:3.0.1.1.16.2.59.5SECTION 239.94
   239.94 Form 1-Z.
17:3.0.1.1.16.2.59.6SECTION 239.95-239.143
   239.95-239.143 [Reserved]
17:3.0.1.1.16.2.59.7SECTION 239.144
   239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.
17:3.0.1.1.16.2.59.8SECTION 239.145-239.199
   239.145-239.199 [Reserved]
17:3.0.1.1.16.2.59.9SECTION 239.200
   239.200 Form 1-E, notification under Regulation E.
17:3.0.1.1.16.2.59.10SECTION 239.201
   239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E.
17:3.0.1.1.16.2.59.11SECTION 239.202-239.300
   239.202-239.300 [Reserved]
17:3.0.1.1.16.2.59.12SECTION 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.
17:3.0.1.1.16.2.59.13SECTION 239.701
   239.701 [Reserved]
17:3.0.1.1.16.2.59.14SECTION 239.800
   239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering.
17:3.0.1.1.16.2.59.15SECTION 239.900
   239.900 Form C.