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FEDERAL · 17 CFR

Part 230 — General Rules and Regulations, Securities Act of 1933

214 sections · Title 17: Commodity and Securities Exchanges

§ 230.100Definitions of terms used in the rules and regulations.
§ 230.110Business hours of the Commission.
§ 230.111Payment of filing fees.
§ 230.120Inspection of registration statements.
§ 230.122Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.130Definition of “rules and regulations” as used in certain sections of the Act.
§ 230.131Definition of security issued under governmental obligations.
§ 230.132Definition of “common trust fund” as used in section 3(a)(2) of the Act.
§ 230.133Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.134Communications not deemed a prospectus.
§ 230.134aOptions material not deemed a prospectus.
§ 230.134bStatements of additional information.
§ 230.135Notice of proposed registered offerings.
§ 230.135aGeneric advertising.
§ 230.135bMaterials not deemed an offer to sell or offer to buy nor a prospectus.
§ 230.135cNotice of certain proposed unregistered offerings.
§ 230.135dCommunications involving security-based swaps.
§ 230.135eOffshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.136Definition of certain terms in relation to assessable stock.
§ 230.137Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.138Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.139Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139aPublications by brokers or dealers distributing asset-backed securities.
§ 230.139bPublications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.140Definition of “distribution” in section 2(11) for certain transactions.
§ 230.141Definition 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.
§ 230.142Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
§ 230.143Definition 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.
§ 230.144Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144APrivate resales of securities to institutions.
§ 230.145Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145aBusiness combinations with reporting shell companies.
§ 230.146Rules under section 18 of the Act.
§ 230.147Intrastate offers and sales.
§ 230.147AIntrastate sales exemption.
§ 230.148Exemption from general solicitation or general advertising.
§ 230.149Definition of “exchanged” in section 3(a)(9), for certain transactions.
§ 230.150Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
§ 230.151Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.152Integration.
§ 230.152aOffer or sale of certain fractional interests.
§ 230.153Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
§ 230.153aDefinition 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.
§ 230.153bDefinition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
§ 230.154Delivery of prospectuses to investors at the same address.
§ 230.155§ 230.155 [Reserved]
§ 230.156Investment company and registered non-variable annuity sales literature.
§ 230.157Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.158Definitions of certain terms in the last paragraph of section 11(a).
§ 230.159Information available to purchaser at time of contract of sale.
§ 230.159ACertain definitions for purposes of section 12(a)(2) of the Act.
§ 230.160Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 230.161Amendments to rules and regulations governing exemptions.
§ 230.162Submission of tenders in registered exchange offers.
§ 230.163Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163AExemption 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.
§ 230.163BExemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.164Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.165Offers made in connection with a business combination transaction.
§ 230.166Exemption from section 5(c) for certain communications in connection with business combination transactions.
§ 230.167Communications in connection with certain registered offerings of asset-backed securities.
§ 230.168Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
§ 230.169Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.170Prohibition of use of certain financial statements.
§ 230.171Disclosure detrimental to the national defense or foreign policy.
§ 230.172Delivery of prospectuses.
§ 230.173Notice of registration.
§ 230.174Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.175Liability for certain statements by issuers.
§ 230.176Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
§ 230.180Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.190Registration of underlying securities in asset-backed securities transactions.
§ 230.191Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
§ 230.192Conflicts of interest relating to certain securitizations.
§ 230.193Review of underlying assets in asset-backed securities transactions.
§ 230.194Definitions of the terms “swap” and “security-based swap” as used in the Act.
§ 230.215Accredited investor.
§ 230.236Exemption of shares offered in connection with certain transactions.
§ 230.237Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
§ 230.238Exemption for standardized options.
§ 230.239Exemption for offers and sales of certain security-based swaps.
§ 230.240Exemption for certain security-based swaps.
§ 230.241Solicitations of interest.
§ 230.251Scope of exemption.
§ 230.252Offering statement.
§ 230.253Offering circular.
§ 230.254Preliminary offering circular.
§ 230.255Solicitations of interest and other communications.
§ 230.256Definition of “qualified purchaser”.
§ 230.257Periodic and current reporting; exit report.
§ 230.258Suspension of the exemption.
§ 230.259Withdrawal or abandonment of offering statements.
§ 230.260Insignificant deviations from a term, condition or requirement of Regulation A.
§ 230.261Definitions.
§ 230.262Disqualification provisions.
§ 230.263Consent to service of process.
§ 230.300-230.346§§ 230.300-230.346 [Reserved]
§ 230.400Application of §§ 230.400 to 230.494, inclusive.
§ 230.401Requirements as to proper form.
§ 230.401aRequirements as to proper form.
§ 230.402Number of copies; binding; signatures.
§ 230.403Requirements as to paper, printing, language and pagination.
§ 230.404Preparation of registration statement.
§ 230.405Definitions of terms.
§ 230.406Confidential treatment of information filed with the Commission.
§ 230.408Additional information.
§ 230.409Information unknown or not reasonably available.
§ 230.410Disclaimer of control.
§ 230.411Incorporation by reference.
§ 230.412Modified or superseded documents.
§ 230.413Registration of additional securities and additional classes of securities.
§ 230.414Registration by certain successor issuers.
§ 230.415Delayed or continuous offering and sale of securities.
§ 230.416Securities 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.
§ 230.417Date of financial statements.
§ 230.418Supplemental information.
§ 230.419Offerings by blank check companies.
§ 230.420Legibility of prospectus.
§ 230.421Presentation of information in prospectuses.
§ 230.423Date of prospectuses.
§ 230.424Filing of prospectuses, number of copies.
§ 230.425Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
§ 230.426Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
§ 230.427Contents of prospectus used after nine months.
§ 230.428Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8.
§ 230.429Prospectus relating to several registration statements.
§ 230.430Prospectus for use prior to effective date.
§ 230.430AProspectus in a registration statement at the time of effectiveness.
§ 230.430BProspectus in a registration statement after effective date.
§ 230.430CProspectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
§ 230.430DProspectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.431Summary prospectuses.
§ 230.432Additional information required to be included in prospectuses relating to tender offers.
§ 230.433Conditions to permissible post-filing free writing prospectuses.
§ 230.436Consents required in special cases.
§ 230.437Application to dispense with consent.
§ 230.437aWritten consents.
§ 230.438Consents of persons about to become directors.
§ 230.439Consent to use of material incorporated by reference.
§ 230.445-230.447§§ 230.445-230.447 [Reserved]
§ 230.455Place of filing.
§ 230.456Date of filing; timing of fee payment.
§ 230.457Computation of fee.
§ 230.459Calculation of effective date.
§ 230.460Distribution of preliminary prospectus.
§ 230.461Acceleration of effective date.
§ 230.462Immediate effectiveness of certain registration statements and post-effective amendments.
§ 230.463Report of offering of securities and use of proceeds therefrom.
§ 230.464Effective 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.
§ 230.466Effective date of certain registration statements on Form F-6.
§ 230.467Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80.
§ 230.470Formal requirements for amendments.
§ 230.471Signatures to amendments.
§ 230.472Filing of amendments; number of copies.
§ 230.473Delaying amendments.
§ 230.474Date of filing of amendments.
§ 230.475Amendment filed with consent of Commission.
§ 230.475aCertain pre-effective amendments deemed filed with the consent of the Commission.
§ 230.476Amendment filed pursuant to order of Commission.
§ 230.477Withdrawal of registration statement or amendment.
§ 230.478Powers to amend or withdraw registration statement.
§ 230.479Procedure with respect to abandoned registration statements and post-effective amendments.
§ 230.480Title of securities.
§ 230.481Information required in prospectuses.
§ 230.482Advertising by an investment company as satisfying requirements of section 10.
§ 230.483Exhibits for certain registration statements.
§ 230.484Undertaking required in certain registration statements.
§ 230.485Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.486Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.487Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.488Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.489Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
§ 230.490Information to be furnished under paragraph (3) of Schedule B.
§ 230.491Information to be furnished under paragraph (6) of Schedule B.
§ 230.492Omissions from prospectuses.
§ 230.493Additional Schedule B disclosure and filing requirements.
§ 230.494Newspaper prospectuses.
§ 230.495Preparation of registration statement.
§ 230.496Contents of prospectus and statement of additional information used after nine months.
§ 230.497Filing of investment company or registered non-variable annuity prospectuses—number of copies.
§ 230.498Summary Prospectuses for open-end management investment companies.
§ 230.498ASummary prospectuses for separate accounts offering variable annuity and variable life insurance contracts and for offering registered non-variable annuity contracts.
§ 230.500Use of Regulation D.
§ 230.501Definitions and terms used in Regulation D.
§ 230.502General conditions to be met.
§ 230.503Filing of notice of sales.
§ 230.504Exemption for limited offerings and sales of securities not exceeding $10,000,000.
§ 230.505§ 230.505 [Reserved]
§ 230.506Exemption for limited offers and sales without regard to dollar amount of offering.
§ 230.507Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.
§ 230.508Insignificant deviations from a term, condition or requirement of Regulation D.
§ 230.601Definitions of terms used in §§ 230.601 to 230.610a.
§ 230.602Securities exempted.
§ 230.603Amount of securities exempted.
§ 230.604Filing of notification on Form 1-E.
§ 230.605Filing and use of the offering circular.
§ 230.606Offering not in excess of $100,000.
§ 230.607Sales material to be filed.
§ 230.608Prohibition of certain statements.
§ 230.609Reports of sales hereunder.
§ 230.610Suspension of exemption.
§ 230.610aSchedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§ 230.651-230.656§§ 230.651-230.656 [Reserved]
§ 230.701Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§ 230.702(T)-230.703(T)§§ 230.702(T)-230.703(T) [Reserved]
§ 230.800Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.801Exemption in connection with a rights offering.
§ 230.802Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
§ 230.901General statement.
§ 230.902Definitions.
§ 230.903Offers 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.
§ 230.904Offshore resales.
§ 230.905Resale limitations.
§ 230.1001Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.