cfr_sections
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 17:17:3.0.1.1.16.0.61.1 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | § 239.0-1 Availability of forms. | SEC | [46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5945, Feb. 9, 1994; 73 FR 970, Jan. 4, 2008] | (a) This part identifies and describes the forms prescribed for use under the Securities Act of 1933. (b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. Any persons may inspect the forms at this address and at the Commission's regional offices. ( See § 200.11 of this chapter for the addresses of the SEC regional offices.) | ||||||
| 17:17:3.0.1.1.16.1.61.1 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | §§ 239.4-239.10 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.10 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.17 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.11 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.17a Form N-3, registration statement for separate accounts organized as management investment companies. | SEC | [50 FR 26160, June 25, 1985] | Form N-3 shall be used for registration under the Securities Act of 1933 of securities of separate accounts that offer variable annuity contracts and which register under the Investment Company Act of 1940 as management investment companies, and certain other separate accounts. This form is also to be used for the registration statement of such separate accounts pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11b of this chapter). | ||||
| 17:17:3.0.1.1.16.1.61.12 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.17b Form N-4, registration statement for separate accounts organized as unit investment trusts. | SEC | [50 FR 26160, June 25, 1985] | Form N-4 shall be used for registration under the Securities Act of 1933 of securities of separate accounts that offer variable annuity contracts and which register under the Investment Company Act of 1940 as unit investment trusts, and certain other separate accounts. This form is also to be used for the registration statement of such separate accounts pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11c of this chapter). | ||||
| 17:17:3.0.1.1.16.1.61.13 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.17c Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies. | SEC | [67 FR 19870, Apr. 23, 2002] | Form N-6 shall be used for registration under the Securities Act of 1933 of securities of separate accounts that offer variable life insurance policies and that register under the Investment Company Act of 1940 as unit investment trusts. This form is also to be used for the registration statement of such separate accounts pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11d of this chapter). | ||||
| 17:17:3.0.1.1.16.1.61.14 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.18 Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies. | SEC | [33 FR 18991, Dec. 20, 1968, as amended at 70 FR 1619, Jan. 7, 2005] | This form shall be used for registration under the Securities Act of 1933 of (a) securities issued by real estate investment trusts, as defined in section 356 of the Internal Revenue Code, or (b) securities issued by other issuers whose business is primarily that of acquiring and holding for investment real estate or interests in real estate or interests in other issuers whose business is primarily that of acquiring and holding real estate or interests in real estate for investment. This form shall not be used, however, by any issuer which is an investment company registered or required to register under the Investment Company Act of 1940. In addition, this form shall not be used for an offering of asset-backed securities, as defined in § 229.1101 of this chapter. | ||||
| 17:17:3.0.1.1.16.1.61.15 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.19 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.16 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.20 Form S-20, for standardized options. | SEC | [47 FR 41955, Sept. 23, 1982] | This form may be used to register standardized options under the Securities Act of 1933 where the issuer undertakes not to issue, clear, guarantee or accept an option registered on Form S-20 unless there is a definitive options disclosure document meeting the requirements of Rule 9b-1 of the Securities Exchange Act of 1934. | ||||
| 17:17:3.0.1.1.16.1.61.17 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.23 Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies. | SEC | [50 FR 48383, Nov. 25, 1985] | This form shall be used by a registered investment company or a business development company as defined by section 2(a)(48) of the Investment Company Act of 1940 for registration under the Securities Act of 1933 of securities to be issued: (a) In a transaction of the type specified in paragraph (a) of Rule 145 (§ 230.145 of this chapter); (b) In a merger in which the applicable state law would not require the solicitation of the votes or consents of all the security holders of the company being acquired; (c) In an exchange offer for securities of the issuer or another entity; (d) In a public reoffering or resale of any such securities acquired pursuant to this registration statement; (e) In more than one of the kinds of transactions listed in paragraphs (a) through (d) registered on one registration statement. | ||||
| 17:17:3.0.1.1.16.1.61.18 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | This form shall be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is registered under the Investment Company Act of 1940, and which is licensed under the Small Business Investment Company Act of 1958 or which has received the preliminary approval of the Small Business Administration and has been notified by the Administration that it may submit a license application. This form may also be used for the registration statement of such company pursuant to section 8(b) of the Investment Company Act of 1940. The initial registration of such company on this form will be deemed to be filed under both the Securities Act of 1933 and the Investment Company Act of 1940 unless it is indicated that the filing is made only for the purpose of one of such acts. (Same as § 274.5 of this chapter.) | |||||
| 17:17:3.0.1.1.16.1.61.19 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.25 Form S-4, for the registration of securities issued in business combination transactions. | SEC | [50 FR 19001, May 6, 1985] | This form may be used for registration under the Securities Act of 1933 of securities to be issued (a) in a transaction of the type specified in paragraph (a) of Rule 145 (§ 230.145 of this chapter); (b) in a merger in which the applicable state law would not require the solicitation of the votes or consents of all of the security holders of the company being acquired; (c) in an exchange offer for securities of the issuer or another entity; (d) in a public reoffering or resale of any such securities acquired pursuant to this registration statement; or (e) in more than one of the kinds of transactions listed in paragraphs (a) through (d) registered on one registration statement. | ||||
| 17:17:3.0.1.1.16.1.61.2 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.11 Form S-1, registration statement under the Securities Act of 1933. | SEC | [79 FR 57332, Sept. 24, 2014] | This Form shall be used for the registration under the Securities Act of 1933 of securities of all registrants for which no other form is authorized or prescribed, except that this Form shall not be used for securities of foreign governments or political subdivisions thereof or asset-backed securities, as defined in 17 CFR 229.1101(c). | ||||
| 17:17:3.0.1.1.16.1.61.20 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | §§ 239.26-239.30 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.21 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.31 Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers. | SEC | [47 FR 54771, Dec. 6, 1982, as amended at 56 FR 30055, 30056, July 1, 1991; 70 FR 1619, Jan. 7, 2005] | (a) Form F-1 shall be used for registration under the Securities Act of 1933 (“Securities Act”) of securities of all foreign private issuers, as defined in rule 405 (§ 230.405 of this chapter) for which no other form is authorized or prescribed. In addition, this form shall not be used for an offering of asset-backed securities, as defined in § 229.1101 of this chapter. (b) If a registrant is a majority-owned subsidiary, which does not itself meet the conditions of these eligibility requirements, it shall nevertheless be deemed to have met such conditions if its parent meets the conditions and if the parent fully guarantees the securities being registered as to principal and interest. In such an instance the parent-guarantor is the issuer of a separate security consisting of the guarantee which must be concurrently registered but may be registered on the same registration statement as are the guaranteed securities. Both the parent-guarantor and the subsidiary shall each disclose the information required by this Form as if each were the only registrant except that if the subsidiary will not be eligible to file annual reports on the form described in § 249.229f (Form 20-F) of this chapter after the effective date of the registration statement, then it shall disclose the information specified in the form described in § 239.11 (Form S-1) of this chapter. The requirements of § 210.3-10 (Rule 3-10 of Regulation S-X) of this chapter are applicable to financial statements for a subsidiary of a parent company that issues securities guaranteed by the parent company. | ||||
| 17:17:3.0.1.1.16.1.61.22 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.32 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.23 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [47 FR 54776, Dec. 6, 1982, as amended at 56 FR 30055, 30057, July 1, 1991; 58 FR 14681, Mar. 18, 1993; 59 FR 21652, Apr. 26, 1994; 62 FR 26388, May 14, 1997; 70 FR 1620, Jan. 7, 2005; 70 FR 44825, Aug. 3, 2005; 74 FR 6817, Feb. 10, 2009; 83 FR 40877, Aug. 16, 2018] | This instruction set forth registrant requirements and transaction requirements for the use of Form F-3. Any foreign private issuer, as defined in Rule 405 (§ 230.405 of this chapter), which meets the requirements of paragraph (a) of this section (the “Registrant Requirements”) may use this Form for the registration of securities under the Securities Act of 1933 (the “Securities Act”) which are offered in any transaction specified in paragraph (b) of this section (the “Transaction Requirements”), provided that the requirements applicable to the specified transaction are met. With respect to majority-owned subsidiaries, see paragraph (a)(5) of this section. With respect to well-known seasoned issuers and majority-owned subsidiaries of well-known seasoned issuers, see paragraph (c) of this section. (a) Registrant requirements. Except as set forth in this paragraph (a), all registrants must meet the following conditions in order to use this Form F-3 for registration under the Securities Act of securities offered in the transactions specified in paragraph (b) of this section: (1) The registrant has a class of securities registered pursuant to section 12(b) of the Securities Exchange Act of 1934 (“Exchange Act”) or has a class of equity securities registered pursuant to section 12(g) of the Exchange Act or is required to file reports pursuant to section 15(d) of the Exchange Act and has filed at least one annual report on Form 20-F (§ 249.220f of this chapter), on Form 10-K (§ 249.310 of this chapter) or, in the case of registrants described in General Instruction A(2) of Form 40-F, on Form 40-F (§ 249.240f of this chapter) under the Exchange Act. (2) The registrant: (i) Has been subject to the requirements of section 12 or 15(d) of the Exchange Act and has filed all the material required to be filed pursuant to sections 13, 14 or 15(d) of the Exchange Act for a period of at least twelve calendar months immediately preceding the filing of the registration statement on this form; and (ii) Has filed in a timely m… | ||||
| 17:17:3.0.1.1.16.1.61.24 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.34 Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions. | SEC | [56 FR 30058, July 1, 1991] | This form may be used by any foreign private issuer, as defined in rule 405 (§ 230.405 of this chapter), for registration under the Securities Act of 1933 (“Securities Act”) of securities to be issued: (a) In a transaction of the type specified in paragraph (a) of rule 145 (§ 230.145 of this chapter); (b) In a merger in which the applicable law would not require the solicitation of the votes or consents of all of the securityholders of the company being acquired; (c) In an exchange offer for securities of the issuer or another entity; (d) In a public reoffering or resale of any such securities acquired pursuant to this registration statement; or (e) In more than one of the kinds of transactions listed in paragraphs (a) through (d) registered on one registration statement. | ||||
| 17:17:3.0.1.1.16.1.61.25 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.35 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.26 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.36 Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts. | SEC | [48 FR 12348, Mar. 24, 1983] | Form F-6 may be used for the registration under the Securities Act of 1933 (the Securities Act ) of Depositary shares evidenced by American Depositary Receipts ( ADRs ) issued by a depositary against the deposit of the securities of a foreign issuer (regardless of the physical location of the certificates) if the following conditions are met: (a) The holder of the ADRs is entitled to withdraw the deposited securities at any time subject only to (1) temporary delays caused by closing transfer books of the depositary or the issuer of the deposited securities or the deposit of shares in connection with voting at a shareholders' meeting, or the payment of dividends, (2) the payment of fees, taxes, and similar charges, and (3) compliance with any laws or governmental regulations relating to ADRs or to the withdrawal of deposited securities; (b) The deposited securities are offered or sold in transactions registered under the Securities Act or in transactions that would be exempt therefrom if made in the United States; and (c) As of the filing date of this registration statement, the issuer of the deposited securities is reporting pursuant to the periodic reporting requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 or the deposited securities are exempt therefrom by Rule 12g3-2(b) (§ 240.12g3-2(b) of this chapter) unless the issuer of the deposited securities concurrently files a registration statement on another form for the deposited securities. | ||||
| 17:17:3.0.1.1.16.1.61.27 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [56 FR 30060, July 1, 1991] | (a) Form F-7 may be used for the registration under the Securities Act of 1933 (the “Securities Act”) of the registrant's securities offered for cash upon the exercise of rights to purchase or subscribe for such securities that are granted to its existing securityholders in proportion to the number of securities held by them as of the record date for the rights offer. (b) Form F-7 is available to any registrant that: (1) Is incorporated or organized under the laws of Canada or any Canadian province or territory; (2) Is a foreign private issuer; and (3) Has had a class of its securities listed on The Montreal Exchange, The Toronto Stock Exchange or the Senior Board of the Vancouver Stock Exchange for the 12 calendar months immediately preceding the filing of this Form, has been subject to the continuous disclosure requirements of any securities commission or equivalent regulatory authority in Canada for a period of at least 36 calendar months immediately preceding the filing of this Form, and is currently in compliance with obligations arising from such listing and reporting. Instruction: For purposes of this Form, “foreign private issuer” shall be construed in accordance with Rule 405 under the Securities Act. Instruction: For purposes of this Form, “foreign private issuer” shall be construed in accordance with Rule 405 under the Securities Act. (c) If the registrant is a successor registrant subsisting after a statutory amalgamation, merger, arrangement or other reorganization requiring the vote of shareholders of the participating companies (a “business combination”), the registrant shall be deemed to meet the 36-month reporting requirement and the 12-month listing requirement of paragraph (b)(3) of this section if: (1) The time the successor registrant has been subject to the continuous disclosure requirements of any securities commission or equivalent regulatory authority in Canada, when added separately to the time each predecessor had been subject to such requirements at the time of the business c… | ||||
| 17:17:3.0.1.1.16.1.61.28 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [56 FR 30061, July 1, 1991] | (a) Form F-8 may be used for registration under the Securities Act of 1933 (“Securities Act”) of securities to be issued in an exchange offer or in connection with a statutory amalgamation, merger, arrangement or other reorganization requiring the vote of shareholders of the participating companies (a “business combination”). Securities may be registered on this Form whether they constitute the sole consideration for such exchange offer or business combination, or are offered in conjunction with cash. (b) This Form shall not be used for registration of securities if no takeover bid circular or issuer bid circular (in the case of an exchange offer) or information circular (in the case of a business combination) is prepared pursuant to the requirements of any Canadian jurisdiction due to the availability of an exemption from such requirements. (c) This Form may not be used for registration of derivative securities except: (1) Warrants, options and rights, provided that such securities and the underlying securities to which they relate are issued by the registrant, its parent or an affiliate of either; and (2) Convertible securities, provided that such securities are convertible only into securities of the registrant, its parent or an affiliate of either. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. (d) In the case of an exchange offer, Form F-8 i… | ||||
| 17:17:3.0.1.1.16.1.61.29 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.39 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.3 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.12 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.30 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.40 Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers. | SEC | [56 FR 30064, July 1, 1991, as amended at 58 FR 62030, Nov. 23, 1993] | (a) Form F-10 may be used for the registration of securities under the Securities Act of 1933 (the “Securities Act”), including securities to be issued in an exchange offer or in connection with a statutory amalgamation, merger, arrangement or other reorganization requiring the vote of shareholders of the participating companies (a “business combination”). (b) This Form may not be used for registration of derivative securities except: (1) Warrants, options and rights, provided that such securities and the underlying securities to which they relate are issued by the registrant, its parent or an affiliate of either; and (2) Convertible securities, provided that such securities are convertible only into securities of the registrant, its parent or an affiliate of either. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. (c) Form F-10 is available to any registrant that: (1) Is incorporated or organized under the laws of Canada or any Canadian province or territory; (2) Is a foreign private issuer; (3) Has been subject to the continuous disclosure requirements of any securities commission or equivalent regulatory authority in Canada for a period of at least 12 calendar months immediately preceding the filing of this Form, and is currently in compliance with such obligations, provided, however, that in the case of a business combination, each particip… | ||||
| 17:17:3.0.1.1.16.1.61.31 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [56 FR 30065, July 1, 1991] | (a) Form F-80 may be used for registration under the Securities Act of 1933 (“Securities Act”) of securities to be issued in an exchange offer or in connection with a statutory amalgamation, merger, arrangement or other reorganization requiring the vote of shareholders of the participating companies (a “business combination”). Securities may be registered on this Form whether they constitute the sole consideration for such exchange offer or business combination, or are offered in conjunction with cash. (b) This Form shall not be used for registration of securities if no takeover bid circular or issuer bid circular (in the case of an exchange offer) or information circular (in the case of a business combination) is prepared pursuant to the requirements of any Canadian jurisdiction due to the availability of an exemption from such requirements. (c) This Form may not be used for registration of derivative securities except: (1) Warrants, options and rights, provided that such securities and the underlying securities to which they relate are issued by the registrant, its parent or an affiliate of either; and (2) Convertible securities, provided that such securities are convertible only into securities of the registrant, its parent or an affiliate of either. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. Instruction: For purposes of this Form, an “affiliate” of a person is anyone who beneficially owns, directly or indirectly, or exercises control or direction over, more than 10 percent of the outstanding equity shares of such person. The determination of a person's affiliates shall be made as of the end of such person's most recently completed fiscal year. (d) In the case of an exchange offer, Form F-80… | ||||
| 17:17:3.0.1.1.16.1.61.32 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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 (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 | SEC | [73 FR 972, Jan. 4, 2008, as amended at 76 FR 46620, Aug. 3, 2011] | Form F-X shall be filed with the Commission: (a) By any issuer registering securities on Form F-8, F-10, or F-80 under the Securities Act of 1933; (b) By any issuer registering securities on Form 40-F under the Securities Exchange Act of 1934; (c) By any issuer filing a periodic report on Form 40-F, if it has not previously filed a Form F-X in connection with the class of securities in relation to which the obligation to file a report on Form 40-F arises; (d) By any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F; (e) By any non-U.S. person acting as trustee with respect to securities registered on Form F-7, F-8, F-10, or F-80; (f) By a Canadian issuer qualifying an offering statement pursuant to the provisions of Regulation A; and (g) By any non-U.S. issuer providing Form CB to the Commission in connection with a tender offer, rights offering or business combination. | ||||
| 17:17:3.0.1.1.16.1.61.33 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [56 FR 56299, Nov. 4, 1991] | Form F-N shall be filed with the Commission in connection with the filing of a registration statement under the Act by those entities specified in rule 489 (17 CFR 230.489). | ||||
| 17:17:3.0.1.1.16.1.61.34 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.44 Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities. | SEC | [79 FR 57333, Sept. 24, 2014] | This Form shall be used for registration under the Securities Act of 1933 of all offerings of asset-backed securities, as defined in 17 CFR 229.1101(c). | ||||
| 17:17:3.0.1.1.16.1.61.35 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [79 FR 57337, Sept. 24, 2014] | This Form may be used for registration under the Securities Act of 1933 (“Securities Act”) of offerings of asset-backed securities, as defined in 17 CFR 229.1101(c). Any registrant which meets the requirements of paragraph (a) of this section may use this Form for the registration of asset-backed securities (as defined in 17 CFR 229.1101(c)) under the Securities Act which are offered in any transaction specified in paragraph (b) of this section provided that the requirements applicable to the specified transaction are met. Terms used have the same meaning as in Item 1101 of Regulation AB (17 CFR 229.1101). (a) Registrant requirements. Registrants must meet the following conditions in order to use this Form for registration under the Securities Act of asset-backed securities offered in the transactions specified in paragraph (b) of this section: (1) To the extent the depositor or any issuing entity previously established, directly or indirectly, by the depositor or any affiliate of the depositor (as defined in Item 1101 of Regulation AB (17 CFR 229.1101)) is or was at any time during the twelve calendar months and any portion of a month immediately preceding the filing of the registration statement on this Form required to comply with the transaction requirements in paragraphs (b)(1)(i) through (iv) of this section with respect to a previous offering of asset-backed securities involving the same asset class, the following requirements shall apply: (i) Such depositor and each such issuing entity must have filed on a timely basis all certifications required by paragraph (b)(1)(i) of this section; and (ii) Such depositor and each such issuing entity must have filed on a timely basis all transaction agreements containing the provisions that are required by paragraphs (b)(1)(ii) through (iv) of this section. (iii) If such depositor or issuing entity fails to meet the requirements of paragraphs(a)(1)(i) and (ii) of this section, such depositor or issuing entity will be deemed to satisfy such requirements for purp… | ||||
| 17:17:3.0.1.1.16.1.61.36 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | §§ 239.46-239.62 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.37 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.63 Form ID, application for EDGAR access. | SEC | [89 FR 106223, Dec. 27, 2024] | Form ID must be filed by electronic filers, or by their account administrators, to request EDGAR access and to authorize account administrators to manage the electronic filer's EDGAR account. | ||||
| 17:17:3.0.1.1.16.1.61.38 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.64 Form SE, form for submission of paper format exhibits by electronic filers. | SEC | [58 FR 14682, Mar. 18, 1993] | This form shall be used by an electronic filer for the submission of any paper format document relating to an otherwise electronic filing, as provided in Rule 311 of Regulation S-T (§ 232.311 of this chapter). | ||||
| 17:17:3.0.1.1.16.1.61.39 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.65 Form TH—Notification of reliance on temporary hardship exemption. | SEC | [58 FR 14682, Mar. 18, 1993] | Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper format that otherwise would be required to be submitted electronically, as prescribed by Rule 201(a) of Regulation S-T (§ 232.201(a) of this chapter). | ||||
| 17:17:3.0.1.1.16.1.61.4 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [47 FR 11453, Mar. 16, 1982, as amended at 56 FR 30055, July 1, 1991; 57 FR 48976, Oct. 29, 1992; 58 FR 14679, Mar. 18, 1993; 58 FR 16771, Mar. 31, 1993; 62 FR 26388, May 14, 1997; 64 FR 11116, Mar. 8, 1999; 69 FR 15618, Mar. 25, 2004; 70 FR 1618, Jan. 7, 2005; 70 FR 44820, Aug. 3, 2005; 74 FR 6816, Feb. 10, 2009; 79 FR 57332, Sept. 24, 2014; 83 FR 40877, Aug. 16, 2018; 88 FR 51943, Aug. 4, 2023; 90 FR 9688, Feb. 18, 2025] | This instruction sets forth registrant requirements and transaction requirements for the use of Form S-3. Any registrant which meets the requirements of paragraph (a) of this section (“Registrant Requirements”) may use this Form for the registration of securities under the Securities Act of 1933 (“Securities Act”) which are offered in any transaction specified in paragraph (b) of this section (“Transaction Requirement”) provided that the requirement applicable to the specified transaction are met. With respect to majority-owned subsidiaries, see paragraph (c) of this section. With respect to well-known seasoned issuers and majority-owned subsidiaries of well-known seasoned issuers, see paragraph (d) of this section. (a) Registrant requirements. Registrants must meet the following conditions in order to use this Form for registration under the Securities Act of securities offered in the transactions specified in paragraph (b) of this section: (1) The registrant is organized under the laws of the United States or any State or Territory or the District of Columbia and has its principal business operations in the United States or its territories. (2) The registrant has a class of securities registered pursuant to section 12(b) of the Securities Exchange Act of 1934 ( Exchange Act ) or a class of equity securities registered pursuant to section 12(g) of the Exchange Act or is required to file reports pursuant to section 15(d) of the Exchange Act; (3) The registrant: (i) Has been subject to the requirements of section 12 or 15(d) of the Exchange Act and has filed all the material required to be filed pursuant to sections 13, 14 or 15(d) for a period of at least twelve calendar months immediately preceding the filing of the registration statement on this Form; and (ii) Has filed in a timely manner all reports required to be filed during the twelve calendar months and any portion of a month immediately preceding the filing of the registration statement, other than a report that is required solely pursuant to Item … | ||||
| 17:17:3.0.1.1.16.1.61.40 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.66 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities. | SEC | [89 FR 60092, July 24, 2024] | Form 24F-2 shall be used as the annual report filed by face amount certificate companies, open-end management companies, unit investment trusts, and registered non-variable annuities pursuant to §§ 230.456, 230.457, or 270.24f-2 of this chapter for reporting securities sold during the fiscal year. | ||||
| 17:17:3.0.1.1.16.1.61.5 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.14 Form N-2 for closed end management investment companies registered on Form N-8A. | SEC | [43 FR 39554, Sept. 5, 1978] | Form N-2 shall be used for registration under the Securities Act of 1933 of securities of all closed end management investment companies registered under the Investment Company Act of 1940 on form N-8A (§ 274.10 of this chapter). This form is also to be used for the registration statement of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter). This form is not applicable for small business investment companies which register pursuant to §§ 239.24 and 274.5 of this chapter. | ||||
| 17:17:3.0.1.1.16.1.61.6 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.15 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.1.61.7 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.15A Form N-1A, registration statement of open-end management investment companies. | SEC | [48 FR 37940, Aug. 22, 1983] | Form N-1A shall be used for the registration under the Securities Act of 1933 of securities of open-end management investment companies other than separate accounts of insurance companies registered under the Investment Company Act of 1940 (on form N-1) (§ 270.11 of this chapter). This form is also to be used for the registration statement of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 270.11A of this chapter). This form is not applicable for small business investment companies which register pursuant to §§ 239.24 and 274.5 of this chapter. | ||||
| 17:17:3.0.1.1.16.1.61.8 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 239.16 Form S-6, for unit investment trusts registered on Form N-8B-2. | SEC | This form may be used for registration under the Securities Act of 1933 of securities of any unit investment trust registered under the Investment Company Act of 1940 on Form N-8B-2 (§ 274.12 of this chapter). | |||||
| 17:17:3.0.1.1.16.1.61.9 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | A | Subpart A—Forms for Registration Statements | § 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. | SEC | [55 FR 23925, June 13, 1990, as amended at 58 FR 14680, Mar. 18, 1993; 64 FR 11116, Mar. 8, 1999; 70 FR 42246, July 21, 2005; 74 FR 6817, Feb. 10, 2009; 83 FR 40877, Aug. 16, 2018] | (a) Any registrant that, immediately prior to the time of filing a registration statement on this form, is subject to the requirement to file reports pursuant to section 13 (15 U.S.C. 78m) or 15(d) (15 U.S.C. 78o(d)) of the Securities Exchange Act of 1934; has filed all reports and other materials required to be filed by such requirements during the preceding 12 months (or for such shorter period that the registrant was required to file such reports and materials); is not a shell company (as defined in § 230.405 of this chapter) and has not been a shell company for at least 60 calendar days previously (subject to Instruction A.1.(a)(7) to Form S-8); and if it has been a shell company at any time previously, has filed current Form 10 information (as defined in Instruction A.1.(a)(6) to Form S-8) with the Commission at least 60 calendar days previously reflecting its status as an entity that is not a shell company (subject to Instruction A.1.(a)(7) to Form S-8), may use this form for registration under the Securities Act of 1933 (the Act) (15 U.S.C. 77a et seq. ) of the following securities: (1) Securities of the registrant to be offered to its employees or employees of its subsidiaries or parents under any employee benefit plan. The form also is available for the exercise of employee benefit plan options by an employee's family member (as defined in General Instruction A.1(a)(5) to Form S-8) who has acquired the options from the employee through a gift or a domestic relations order. (2) Interests in the above plans, if such interests constitute securities and are required to be registered under the Act. ( See Release No. 33-6188 (February 1, 1980) and section 3(a)(2) of the Act.) (b) Electronic filings. In addition to satisfying the foregoing conditions, a registrant subject to the electronic filing requirements of Rule 101 of Regulation S-T (§ 232.101 of this chapter) shall have: (1) Filed with the Commission all required electronic filings, including electronic copies of documents submitted in paper purs… | ||||
| 17:17:3.0.1.1.16.2.61.1 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.90 Form 1-A, offering statement under Regulation A. | SEC | [57 FR 36476, Aug. 13, 1992] | This form shall be used for filing under Regulation A (§§ 230.251-230.263 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.10 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E. | SEC | This form shall be used for report of sales of securities under Regulation E (§§ 230.601-230.610a of this chapter) by a small business investment company described in Rule 602 (§ 230.602 of this chapter) as required by Rule 609 of Regulation E (§ 230.609 of this chapter). | |||||
| 17:17:3.0.1.1.16.2.61.11 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | §§ 239.202-239.300 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.2.61.12 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.500 Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933. | SEC | [73 FR 10626, Feb. 27, 2008, as amended at 76 FR 81806, Dec. 29, 2011; 81 FR 83553, Nov. 21, 2016] | (a) When notice of sales on Form D must be filed. (1) An issuer offering or selling securities in reliance on § 230.504 or § 230.506 of this chapter or section 4(a)(5) of the Securities Act of 1933 must file with the Commission a notice of sales containing the information required by this form for each new offering of securities no later than 15 calendar days after the first sale of securities in the offering, unless the end of that period falls on a Saturday, Sunday or holiday, in which case the due date would be the first business day following. (2) An issuer may file an amendment to a previously filed notice of sales on Form D at any time. (3) An issuer must file an amendment to a previously filed notice of sales on Form D for an offering: (i) To correct a material mistake of fact or error in the previously filed notice of sales on Form D, as soon as practicable after discovery of the mistake or error; (ii) To reflect a change in the information provided in the previously filed notice of sales on Form D, as soon as practicable after the change, except that no amendment is required to reflect a change that occurs after the offering terminates or a change that occurs solely in the following information: (A) The address or relationship to the issuer of a related person identified in response to Item 3 of the notice of sales on Form D; (B) An issuer's revenues or aggregate net asset value; (C) The minimum investment amount, if the change is an increase, or if the change, together with all other changes in that amount since the previously filed notice of sales on Form D, does not result in a decrease of more than 10%; (D) Any address or state(s) of solicitation shown in response to Item 12 of the notice of sales on Form D; (E) The total offering amount, if the change is a decrease, or if the change, together with all other changes in that amount since the previously filed notice of sales on Form D, does not result in an increase of more than 10%; (F) The amount of securities sold in the offering or the … | ||||
| 17:17:3.0.1.1.16.2.61.13 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.701 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.2.61.14 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering. | SEC | [64 FR 61403, Nov. 10, 1999] | This Form is used to report sales of securities in connection with a rights offering in reliance upon § 230.801 of this chapter and to report sales of securities in connection with an exchange offer or business combination in reliance upon § 230.802 of this chapter. | ||||
| 17:17:3.0.1.1.16.2.61.15 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.900 Form C. | SEC | [80 FR 71550, Nov. 16, 2015] | This form shall be used for filings under Regulation Crowdfunding (part 227 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.2 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.91 Form 1-K. | SEC | [80 FR 21915, Apr. 20, 2015] | This form shall be used for filing annual reports under Regulation A (§§ 230.251-230.263 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.3 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.92 Form 1-SA. | SEC | [80 FR 21917, Apr. 20, 2015] | This form shall be used for filing semiannual reports under Regulation A (§§ 230.251-230.263 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.4 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.93 Form 1-U. | SEC | [80 FR 21918, Apr. 20, 2015] | This form shall be used for filing current reports under Regulation A (§§ 230.251-230.263 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.5 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.94 Form 1-Z. | SEC | [80 FR 21922, Apr. 20, 2015] | This form shall be used to file an exit report under Regulation A (§§ 230.251-230.263 of this chapter). | ||||
| 17:17:3.0.1.1.16.2.61.6 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | §§ 239.95-239.143 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.2.61.7 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter. | SEC | [37 FR 4329, Mar. 2, 1972, as amended at 40 FR 55319, Nov. 28, 1975; 43 FR 5423, Nov. 21, 1978; 62 FR 35340, July 1, 1997; 68 FR 25799, May 13, 2003; 72 FR 71571, Dec. 17, 2007] | (a) Except as indicated in paragraph (b) of this section, each person who intends to sell securities in reliance upon § 230.144 of this chapter, where the issuer of the securities: (1) Is, and has been for a period of at least 90 days immediately before the sale, subject to the reporting requirements of section 13 or 15(d) of the Exchange Act (15 U.S.C. 78m or 78 o (d), respectively), shall file this form in electronic format by means of the Commission's Electronic Data, Gathering, Analysis, and Retrieval system (EDGAR) in accordance with the EDGAR rules set forth in part 232 of this chapter (Regulation S-T). (2) Is not subject to the reporting requirements of section 13 or 15(d) of the Exchange Act (15 U.S.C. 78m or 78 o (d), respectively), shall file three copies of this form in paper format. (b) This form need not be filed if the amount of securities to be sold during any period of three months does not exceed 5,000 shares or other units and the aggregate sale price does not exceed $50,000. (c) Under sections 2(11), 4(1), 4(2), 4(4) and 19(a) of the Securities Act of 1933 (17 CFR 230) and Rule 144 thereunder, the Commission is authorized to solicit the information required to be supplied by this form by persons desiring to sell unregistered securities. Disclosure of the information specified in this form is mandatory before processing notices of proposed sale of securities under § 230.144 of this chapter. The information will be used for the primary purpose of disclosing the proposed sale of unregistered securities by persons deemed not to be engaged in the distribution of securities. This notice will be made a matter of public record. Therefore, any information given will be available for inspection by any member of the public. Because of the public nature of the information, the Commission can utilize it for a variety of purposes, including referral to other governmental authorities or securities self-regulatory organizations for investigatory purposes or in connection with litigation involving the Feder… | ||||
| 17:17:3.0.1.1.16.2.61.8 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | §§ 239.145-239.199 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.16.2.61.9 | 17 | Commodity and Securities Exchanges | II | 239 | PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 | B | Subpart B—Forms Pertaining to Exemptions | § 239.200 Form 1-E, notification under Regulation E. | SEC | [49 FR 35347, Sept. 7, 1984] | This form shall be used for notification pursuant to Rule 604 (§ 230.604 of this chapter) of Regulation E (§§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§ 230.602 of this chapter). | ||||
| 40:40:27.0.1.4.29.1.17.1 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | A | Subpart A—General | § 239.1 Purpose. | EPA | This part specifies the requirements that state permit programs must meet to be determined adequate by the EPA under section 4005(c)(1)(C) of the Resource Conservation and Recovery Act (RCRA or the Act) and the procedures EPA will follow in determining the adequacy of state Subtitle D permit programs or other systems of prior approval and conditions required to be adopted and implemented by states under RCRA section 4005(c)(1)(B). | ||||
| 40:40:27.0.1.4.29.1.17.2 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | A | Subpart A—General | § 239.2 Scope and definitions. | EPA | (a) Scope. (1) Nothing in this part precludes a state from adopting or enforcing requirements that are more stringent or more extensive than those required under this part or from operating a permit program or other system of prior approval and conditions with more stringent requirements or a broader scope of coverage than that required under this part. (2) All states which develop and implement a Subtitle D permit program must submit an application for an adequacy determination for purposes of this part. Except as provided in § 239.12, state Subtitle D permit programs which received full approval prior to November 23, 1998 need not submit new applications for approval under this part. Similarly, except as provided in § 239.12, states that received partial approval of their Subtitle D permit programs prior to November 23, 1998 need not reapply under this part for approval for those program elements EPA has already determined to be adequate. (3) If EPA determines that a state Subtitle D permit program is inadequate, EPA will have the authority to enforce the Subtitle D federal revised criteria on the RCRA section 4010(c) regulated facilities under the state's jurisdiction. (b) Definitions. (1) For purposes of this part: Administrator means the Administrator of the U.S. Environmental Protection Agency or any authorized representative. Approved permit program or approved program means a state Subtitle D permit program or other system of prior approval and conditions required under section 4005(c)(1)(B) of RCRA that has been determined to be adequate by EPA under this part. Approved state means a state whose Subtitle D permit program or other system of prior approval and conditions required under section 4005(c)(1)(B) of RCRA has been determined to be adequate by EPA under this part. Guidance means policy memorandum, an application for approval under this Part, or other technical or policy documents that supplement state laws and regulations. These documents provide direction with regard to how state… | ||||
| 40:40:27.0.1.4.29.2.17.1 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | B | Subpart B—State Program Application | § 239.3 Components of program application. | EPA | Any state that seeks a determination of adequacy under this part must submit an application to the Regional Administrator in the appropriate EPA Region. The application must identify the scope of the program for which the state is seeking approval ( i.e. , which class of Subtitle D regulated facilities are covered by the application). The application also must demonstrate that the state's authorities and procedures are adequate to ensure compliance with the relevant Subtitle D federal revised criteria and that its permit program is uniformly applicable to all the relevant Subtitle D regulated facilities within the state's jurisdiction. The application must contain the following parts: (a) A transmittal letter, signed by the State Director, requesting program approval. If more than one state agency has implementation responsibilities, the transmittal letter must designate a lead agency and be jointly signed by all state agencies with implementation responsibilities or by the State Governor; (b) A narrative description of the state permit program in accordance with § 239.4; (c) A legal certification in accordance with § 239.5; (d) Copies of all applicable state statutes, regulations, and guidance. | ||||
| 40:40:27.0.1.4.29.2.17.2 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | B | Subpart B—State Program Application | § 239.4 Narrative description of state permit program. | EPA | The description of a state's program must include: (a) An explanation of the jurisdiction and responsibilities of all state agencies and local agencies implementing the permit program and description of the coordination and communication responsibilities of the lead state agency to facilitate communications between EPA and the state if more than one state agency has implementation responsibilities; (b) An explanation of how the state will ensure that existing and new facilities are permitted or otherwise approved and in compliance with the relevant Subtitle D federal revised criteria; (c) A demonstration that the state meets the requirements in §§ 239.6, 239.7, 239.8, and 239.9; (d) The number of facilities within the state's jurisdiction that received waste on or after the following dates: (1) For municipal solid waste landfill units, October 9, 1991. (2) For non-municipal, non-hazardous waste disposal units that receive CESQG hazardous waste, January 1, 1998. (e) A discussion of staff resources available to carry out and enforce the relevant state permit program. (f) A description of the state's public participation procedures as specified in § 239.6(a) through (c). | ||||
| 40:40:27.0.1.4.29.2.17.3 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | B | Subpart B—State Program Application | § 239.5 State legal certification. | EPA | (a) A state must submit a written certification from the state Attorney General that the laws, regulations, and any applicable guidance cited in the application are enacted at the time the certification is signed and are fully effective when the state permit program is approved. This certification may be signed by the independent legal counsel for the state rather than the Attorney General, provided that such counsel has full authority to independently represent the lead state agency in court on all matters pertaining to the state program. (b) If guidance is to be used to supplement statutes and regulations, the state legal certification must discuss that the state has the authority to use guidance to develop enforceable permits which will ensure compliance with relevant standards issued pursuant to RCRA section 4010(c) and that the guidance was duly issued in accordance with state law. (c) If any laws, regulations, or guidance are not enacted or fully effective when the legal certification is signed, the certification should specify what portion(s) of laws, regulations, or guidance are not yet enacted or fully effective and when they are expected to be enacted or fully effective. The Agency may make a tentative determination of adequacy using this legal certification. The state must submit a revised legal certification meeting the requirements of paragraph (a) of this section and, if appropriate, paragraph (b) of this section along with all the applicable fully enacted and effective statutes, regulations, or guidance, prior to the Agency making a final determination of adequacy. If the statutes, regulations or guidance originally submitted under § 239.3(d) and certified to under this section are modified in a significant way, the Regional Administrator will publish a new tentative determination to ensure adequate public participation. | ||||
| 40:40:27.0.1.4.29.3.17.1 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | C | Subpart C—Requirements for Adequate Permit Programs | § 239.6 Permitting requirements. | EPA | (a) State law must require that: (1) Documents for permit determinations are made available for public review and comment; and (2) Final determinations on permit applications are made known to the public. (b) The state shall have procedures that ensure that public comments on permit determinations are considered. (c) The state must fully describe its public participation procedures for permit issuance and post-permit actions in the narrative description required under § 239.4 and include a copy of these procedures in its permit program application. (d) The state shall have the authority to collect all information necessary to issue permits that are adequate to ensure compliance with the relevant 40 CFR part 257, subpart B or 40 CFR part 258 federal revised criteria. (e) For municipal solid waste landfill units, state law must require that: (1) Prior to construction and operation, all new municipal solid waste landfill units shall have a permit incorporating the conditions identified in paragraph (e)(3) of this section; (2) All existing municipal solid waste landfill units shall have a permit incorporating the conditions identified in paragraph (e)(3) of this section by the deadlines identified in 40 CFR 258.1; (3) The state shall have the authority to impose requirements for municipal solid waste landfill units adequate to ensure compliance with 40 CFR part 258. These requirements shall include: (i) General standards which achieve compliance with 40 CFR part 258, subpart A; (ii) Location restrictions for municipal solid waste landfill units which achieve compliance with 40 CFR part 258, subpart B; (iii) Operating criteria for municipal solid waste landfill units which achieve compliance with 40 CFR part 258, subpart C; (iv) Design criteria for municipal solid waste landfill units which achieve compliance with 40 CFR part 258, subpart D; (v) Ground-water monitoring and corrective action standards for municipal solid waste landfill units which achieve compliance with 40 CFR part 258, subpart E; (vi) … | ||||
| 40:40:27.0.1.4.29.3.17.2 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | C | Subpart C—Requirements for Adequate Permit Programs | § 239.7 Requirements for compliance monitoring authority. | EPA | (a) The state must have the authority to: (1) Obtain any and all information necessary, including records and reports, from an owner or operator of a Subtitle D regulated facility, to determine whether the owner or operator is in compliance with the state requirements; (2) Conduct monitoring or testing to ensure that owners and operators are in compliance with the state requirements; and (3) Enter any site or premise subject to the permit program or in which records relevant to the operation of Subtitle D regulated facilities or activities are kept. (b) A state must demonstrate that its compliance monitoring program provides for inspections adequate to determine compliance with the approved state permit program. (c) A state must demonstrate that its compliance monitoring program provides mechanisms or processes to: (1) Verify the accuracy of information submitted by owners or operators of Subtitle D regulated facilities; (2) Verify the adequacy of methods (including sampling) used by owners or operators in developing that information; (3) Produce evidence admissible in an enforcement proceeding; and (4) Receive and ensure proper consideration of information submitted by the public. | ||||
| 40:40:27.0.1.4.29.3.17.3 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | C | Subpart C—Requirements for Adequate Permit Programs | § 239.8 Requirements for enforcement authority. | EPA | Any state seeking approval must have the authority to impose the following remedies for violation of state program requirements: (a) To restrain immediately and effectively any person by administrative or court order or by suit in a court of competent jurisdiction from engaging in any activity which may endanger or cause damage to human health or the environment. (b) To sue in a court of competent jurisdiction to enjoin any threatened or continuing activity which violates any statute, regulation, order, or permit which is part of or issued pursuant to the state program. (c) To sue in a court of competent jurisdiction to recover civil penalties for violations of a statute or regulation which is part of the state program or of an order or permit which is issued pursuant to the state program. | ||||
| 40:40:27.0.1.4.29.3.17.4 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | C | Subpart C—Requirements for Adequate Permit Programs | § 239.9 Intervention in civil enforcement proceedings. | EPA | Any state seeking approval must provide for intervention in the state civil enforcement process by providing either: (a) Authority that allows intervention, as a right, in any civil action to obtain remedies specified in § 239.8 by any citizen having an interest that is or may be adversely affected; or, (b) Assurance by the appropriate state agency that: (1) It will provide notice and opportunity for public involvement in all proposed settlements of civil enforcement actions (except where immediate action is necessary to adequately protect human health and the environment); and, (2) It will investigate and provide responses to citizen complaints about violations; and, (3) It will not oppose citizen intervention when permissive intervention is allowed by statute, rule, or regulation. | ||||
| 40:40:27.0.1.4.29.4.17.1 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | D | Subpart D—Adequacy Determination Procedures | § 239.10 Criteria and procedures for making adequacy determinations. | EPA | (a) The State Director seeking an adequacy determination must submit to the appropriate Regional Administrator an application in accordance with § 239.3. (b) Within 30 days of receipt of a state program application, the Regional Administrator will review the application and notify the state whether its application is administratively complete in accordance with the application components required in § 239.3. The 180-day review period for final determination of adequacy, described in paragraph (d) of this section, begins when the Regional Administrator deems a state application to be administratively complete. (c) After receipt and review of a complete application, the Regional Administrator will make a tentative determination on the adequacy of the state program. The Regional Administrator shall publish the tentative determination on the adequacy of the state program in the Federal Register. Notice of the tentative determination must: (1) Specify the Regional Administrator's tentative determination; (2) Afford the public at least 30 days after the notice to comment on the state application and the Regional Administrator's tentative determination; (3) Include a specific statement of the areas of concern, if the Regional Administrator indicates the state program may not be adequate; (4) Note the availability for inspection by the public of the state permit program application; and (5) Indicate that a public hearing will be held by EPA if sufficient public interest is expressed during the comment period. The Regional Administrator may determine when such a hearing is necessary to clarify issues involved in the tentative adequacy determination. If held, the public hearing will be scheduled at least 45 days from public notice of such hearing. The public comment period may be continued after the hearing at the discretion of the Regional Administrator. (d) Within 180 days of determining that a state program application is administratively complete, the Regional Administrator will make a final determination of … | ||||
| 40:40:27.0.1.4.29.4.17.2 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | D | Subpart D—Adequacy Determination Procedures | § 239.11 Approval procedures for partial approval. | EPA | (a) EPA may partially approve state permit programs that do not meet all of the requirements in § 239.6(e)(3) ( i.e. , do not incorporate all of the relevant Subtitle D federal revised criteria). Such permit programs may be partially approved if: (1) The appropriate Regional Administrator determines that the state's permit program largely meets the technical requirements of § 239.6 and meets all other requirements of this part; (2) Changes to a specific part(s) of the state permit program are required in order for the state program to fully meet the requirements of § 239.6; and (3) Provisions not included in the partially approved portions of the state permit program are clearly identifiable and separable subsets of the relevant Subtitle D federal revised criteria. (b) A state applying for partial approval must include in its application a schedule to revise the necessary laws, regulations, and/or guidance to obtain full approval within two years of final approval of the partial permit program. The Regional Administrator and the State Director must agree to the schedule. (c) The application for partial approval must fully meet the requirements of subparts B and C of this part. (d) States with partially approved permit programs are only approved for those relevant provisions of the Subtitle D criteria included in the partial approval. (e) Any partial approval adequacy determination made by the Regional Administrator pursuant to this section and § 239.10 shall expire two years from the effective date of the final partial program adequacy determination unless the Regional Administrator grants an extension. States seeking an extension must submit a request to the appropriate Regional Administrator, must provide good cause for missing the deadline, and must supply a new schedule to revise necessary laws, regulations, and/or guidance to obtain full approval. The appropriate Regional Administrator will decide if there is good cause and if the new schedule is realistic. If the Regional Administrator extends the ex… | ||||
| 40:40:27.0.1.4.29.4.17.3 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | D | Subpart D—Adequacy Determination Procedures | § 239.12 Modifications of state programs. | EPA | (a) Approved state permit programs may be modified for various reasons, such as changes in federal or state statutory or regulatory authority. (b) If the federal statutory or regulatory authorities that have significant implications for state permit programs change, approved states may be required to revise their permit programs. These changes may necessitate submission of a revised application. Such a change at the federal level and resultant state requirements would be made known to the states either in a Federal Register document containing the change or through the appropriate EPA Regional Office. (c) States that modify their programs must notify the Regional Administrator of the modifications. Program modifications include changes in state statutory or regulatory authority or relevant guidance or shifting of responsibility for the state program within the lead agency or to a new or different state agency or agencies. Changes to the state's permit program, as described in its application which may result in the program becoming inadequate, must be reported to the Regional Administrator. In addition, changes to a state's basic statutory or regulatory authority or guidance which were not part of the state's initial application, but may have a significant impact on the adequacy of the state's permit program, also must be reported to the Regional Administrator. (d) States must notify the appropriate Regional Administrator of all permit program modifications required in paragraphs (b) and (c) of this section within a time-frame agreed to by the State Director and the Regional Administrator. (e) The Regional Administrator will review the modifications and determine whether the State Director must submit a revised application. If a revised application is necessary, the Regional Administrator will inform the State Director in writing that a revised application is necessary, specifying the required revisions and establishing a schedule for submission of the revised application. (f) For all revised municipal sol… | ||||
| 40:40:27.0.1.4.29.4.17.4 | 40 | Protection of Environment | I | I | 239 | PART 239—REQUIREMENTS FOR STATE PERMIT PROGRAM DETERMINATION OF ADEQUACY | D | Subpart D—Adequacy Determination Procedures | § 239.13 Criteria and procedures for withdrawal of determination of adequacy. | EPA | [63 FR 57040, Oct. 23, 1998, as amended at 64 FR 4315, Jan. 28, 1999] | (a) The Regional Administrator may initiate withdrawal of a determination of adequacy when the Regional Administrator has reason to believe that: (1) A state no longer has an adequate permit program; or (2) The state no longer has adequate authority to administer and enforce an approved program in accordance with this part. (b) Upon receipt of substantive information sufficient to indicate that a state program may no longer be adequate, the Regional Administrator shall inform the state in writing of the information. (c) If, within 45 days of the state's receipt of the information in paragraph (b) of this section, the state demonstrates to the satisfaction of the Regional Administrator that the state program is adequate ( i.e. , in compliance with this part), the Regional Administrator shall take no further action toward withdrawal of the determination of adequacy and shall so notify the state and any person(s) who submitted information regarding the adequacy of the state's program and authorities. (d) If the State Director does not demonstrate the state's compliance with this part to the satisfaction of the Regional Administrator, the Regional Administrator shall list the deficiencies in the program and negotiate with the state a reasonable time for the state to complete such action to correct deficiencies as the Regional Administrator determines necessary. If these negotiations reach an impasse, the Regional Administrator shall establish a time period within which the state must correct any program deficiencies and inform the State Director of the time period in writing. (e) Within the schedule negotiated by the Regional Administrator and the State Director, or set by the Regional Administrator, the state shall take appropriate action to correct deficiencies and shall file with the Regional Administrator a statement certified by the State Director describing the steps taken to correct the deficiencies. (f) If the state takes appropriate action to correct deficiencies, the Regional Administrator shall take… | |||
| 49:49:4.1.1.1.33.1.137.1 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.1 Purpose and scope. | FRA | (a) The purpose of this part is to reduce the magnitude and severity of casualties in railroad operations by ensuring that railroads involved in passenger train operations can effectively and efficiently manage passenger train emergencies. (b) This part prescribes minimum Federal safety standards for the preparation, adoption, and implementation of emergency preparedness plans by railroads connected with the operation of passenger trains, and requires each affected railroad to instruct its employees on the provisions of its plan. This part does not restrict railroads from adopting and enforcing additional or more stringent requirements not inconsistent with this part. | |||||
| 49:49:4.1.1.1.33.1.137.2 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.3 Application. | FRA | (a) Except as provided in paragraph (b) of this section, this part applies to all: (1) Railroads that operate intercity or commuter passenger train service on standard gage track which is part of the general railroad system of transportation; (2) Railroads that provide commuter or other short-haul rail passenger train service in a metropolitan or suburban area (as described by 49 U.S.C. 20102(1)), including public authorities operating passenger train service; and (3) Passenger or freight railroads hosting the operation of passenger train service described in paragraph (a)(1) or (a)(2) of this section. (b) This part does not apply to: (1) Rapid transit operations in an urban area that are not connected with the general railroad system of transportation; (2) Operation of private cars, including business/office cars and circus trains; or (3) Tourist, scenic, historic, or excursion operations, whether on or off the general railroad system. | |||||
| 49:49:4.1.1.1.33.1.137.3 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.5 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.33.1.137.4 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.7 Definitions. | FRA | [63 FR 24676, May 4, 1998, as amended at 79 FR 18147, Mar. 31, 2014; 90 FR 28127, July 1, 2025] | As used in this part— Adjacent rail modes of transportation means other railroads, trolleys, light rail, heavy transit, and other vehicles operating on rails or electromagnetic guideways which are expressly identified in a railroad's emergency preparedness plan. Administrator means the Administrator of the Federal Railroad Administration or the Administrator's delegate. Control center means a central location on a railroad with responsibility for directing the safe movement of trains. Crewmember means a person, other than a passenger, who is assigned to perform either: (1) On-board functions connected with the movement of the train ( i.e., an employee of the railroad, or of a contractor to the railroad, who is assigned to perform service subject to the Federal hours of service requirements during a tour of duty) or (2) On-board functions in a sleeping car or coach assigned to intercity service, other than food, beverage, or security service. Division headquarters means the location designated by the railroad where a high-level operating manager (e.g., a superintendent, division manager, or equivalent), who has jurisdiction over a portion of the railroad, has an office. Emergency or emergency situation means an unexpected event related to the operation of passenger train service involving a significant threat to the safety or health of one or more persons requiring immediate action, including: (1) A derailment; (2) A fatality at a grade crossing; (3) A passenger or employee fatality, or a serious illness or injury to one or more passengers or crewmembers requiring admission to a hospital; (4) An evacuation of a passenger train; and (5) A security situation (e.g., a bomb threat). Emergency preparedness plan means one or more documents focusing on preparedness and response in dealing with a passenger train emergency. Emergency responder, on-line emergency responder, or outside emergency responder means a member of a police or fire department, or other organization involved with public safety … | ||||
| 49:49:4.1.1.1.33.1.137.5 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.9 Responsibility for compliance. | FRA | Although the requirements of this part are stated in terms of the duty of a railroad, when any person, including a contractor to a railroad, performs any function required by this part, that person (whether or not a railroad) shall perform that function in accordance with this part. | |||||
| 49:49:4.1.1.1.33.1.137.6 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.11 Penalties. | FRA | [90 FR 28189, July 1, 2025] | (a) Any person who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where: (1) A grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons, or (2) A death or injury has occurred. See 49 CFR part 209, appendix A. (b) Each day a violation continues shall constitute a separate offense. Any person who knowingly and willfully falsifies a record or report required by this part may be subject to criminal penalties under 49 U.S.C. 21311. FRA's website at https://railroads.dot.gov/ contains a schedule of civil penalty amounts used in connection with this part. | ||||
| 49:49:4.1.1.1.33.1.137.7 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.13 Waivers. | FRA | (a) Any person subject to a requirement of this part may petition the Administrator for a waiver of compliance with such requirement. The filing of such a petition does not affect that person's responsibility for compliance with that requirement while the petition is being considered. (b) Each petition for waiver must be filed in the manner and contain the information required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. | |||||
| 49:49:4.1.1.1.33.1.137.8 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | A | Subpart A—General | § 239.15 Information collection. | FRA | (a) The information collection requirements of this part have been reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d) et seq. ), and have been assigned OMB control number 2130-0545. (b) The information collection requirements are found in the following sections: §§ 239.101, 239.103, 239.105, 239.107, 239.201, 239.203, 239.301, and 239.303. | |||||
| 49:49:4.1.1.1.33.2.137.1 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | B | Subpart B—Specific Requirements | § 239.101 Emergency preparedness plan. | FRA | [63 FR 24676, May 4, 1998, as amended at 79 FR 18147, Mar. 31, 2014] | (a) Each railroad to which this part applies shall adopt and comply with a written emergency preparedness plan approved by FRA under the procedures of § 239.201. The plan shall include the following elements and procedures for implementing each plan element. (1) Communication —(i) Initial and on-board notification. An on-board crewmember shall quickly and accurately assess the passenger train emergency situation and then notify the control center as soon as practicable by the quickest available means. As appropriate, an on-board crewmember shall inform the passengers about the nature of the emergency and indicate what corrective countermeasures are in progress. (ii) Notification by control center or emergency response communications center. The control center or the emergency response communications center, as applicable under the plan, shall promptly notify outside emergency responders, adjacent rail modes of transportation, and appropriate railroad officials that a passenger train emergency has occurred. Each railroad shall designate an employee responsible for maintaining current emergency telephone numbers for use in making such notifications. (2) Employee training and qualification —(i) On-board personnel. The railroad's emergency preparedness plan shall address individual employee responsibilities and provide for initial training, as well as periodic training at least once every two calendar years thereafter, on the applicable plan provisions. As a minimum, the initial and periodic training shall include: (A) Rail equipment familiarization; (B) Situational awareness; (C) Passenger evacuation; (D) Coordination of functions; and (E) “Hands-on” instruction concerning the location, function, and operation of on-board emergency equipment. (ii) Control center and emergency response communications center personnel. The railroad's emergency preparedness plan shall require initial training of responsible control center personnel and any emergency response communications center personnel employed b… | ||||
| 49:49:4.1.1.1.33.2.137.2 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | B | Subpart B—Specific Requirements | § 239.103 Passenger train emergency simulations. | FRA | (a) General. Each railroad operating passenger train service shall conduct full-scale emergency simulations, in order to determine its capability to execute the emergency preparedness plan under the variety of scenarios that could reasonably be expected to occur on its operation, and ensure coordination with all emergency responders who voluntarily agree to participate in the emergency simulations. (b) Frequency of the emergency simulations. Except as provided in paragraph (c) of this section: (1) Each railroad that provides commuter or other short-haul passenger train service and whose operations include less than 150 route miles and less than 200 million passenger miles annually, shall conduct a minimum of one full-scale emergency simulation during every two calendar years. (2) Each railroad that provides commuter or other short-haul passenger train service and whose operations include at least 150 route miles or at least 200 million passenger miles annually, shall conduct a minimum of one full-scale emergency simulation during each calendar year. (3) Each railroad that provides intercity passenger train service, shall conduct a minimum of one full-scale emergency simulation during each calendar year, regardless of the number of route miles or passenger miles. (c) Actual emergency situations. Neither a tabletop exercise nor the activation of its emergency preparedness plan during an actual emergency situation may be credited toward the minimum number of full-scale emergency simulations required under paragraph (b) of this section. However, a railroad that has activated its emergency preparedness plan in response to a major emergency may elect to postpone a scheduled full-scale simulation for up to 180 calendar days beyond the applicable calendar year completion date in order to evaluate the effectiveness of its plan during that major emergency and, as appropriate, modify the rescheduled simulation. (d) Definition. As used in this section, major emergency means an unexpected event related to the … | |||||
| 49:49:4.1.1.1.33.2.137.3 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | B | Subpart B—Specific Requirements | § 239.105 Debriefing and critique. | FRA | [63 FR 24676, May 4, 1998, as amended at 78 FR 71816, Nov. 29, 2013; 79 FR 18148, Mar. 31, 2014] | (a) General. Except as provided in paragraph (b) of this section, each railroad operating passenger train service shall conduct a debriefing and critique session after each passenger train emergency situation or full-scale simulation to determine the effectiveness of its emergency preparedness plan, and shall improve or amend its plan, or both, as appropriate, in accordance with the information developed. The debriefing and critique session shall be conducted within 60 days of the date of the passenger train emergency situation or full-scale simulation. To the extent practicable, all on-board personnel, control center personnel, and any other employees involved in the emergency situation or full-scale simulation shall participate in the session either: (1) In person; (2) Offsite via teleconference; or (3) In writing, by a statement responding to questions provided prior to the session, and by responding to any follow-up questions. (b) Exceptions. (1) No debriefing and critique session shall be required in the case of an emergency situation involving only a collision between passenger railroad rolling stock and: a pedestrian; a trespasser; or a motor vehicle or other highway conveyance at a highway-rail grade crossing, provided that the collision does not result in: a passenger or employee fatality, or an injury to one or more crewmembers or passengers requiring admission to a hospital; or the evacuation of a passenger train. (2) For purposes of this section, highway-rail grade crossing means a location where a public highway, road, street, or private roadway, including associated sidewalks and pathways, crosses one or more railroad tracks at grade, and trespasser means a person who is on that part of railroad property used in railroad operation and whose presence is prohibited, forbidden, or unlawful. (c) Purpose of debriefing and critique. The debriefing and critique session shall be designed to determine, at a minimum: (1) Whether the on-board communications equipment functioned properly; (2) H… | ||||
| 49:49:4.1.1.1.33.2.137.4 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | B | Subpart B—Specific Requirements | § 239.107 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.33.3.137.1 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | C | Subpart C—Review, Approval, and Retention of Emergency Preparedness Plans | § 239.201 Emergency preparedness plan; filing and approval. | FRA | [63 FR 24676, May 4, 1998, as amended at 74 FR 25175, May 27, 2009; 79 FR 18148, Mar. 31, 2014; 90 FR 28189, July 1, 2025] | (a) Filing of plan and amendments —(1) Filing of plan. Each passenger railroad to which this part applies and all railroads hosting its passenger train service (if applicable) shall jointly adopt a single emergency preparedness plan for that service, and the passenger railroad shall file one copy of that plan with the Associate Administrator for Railroad Safety and Chief Safety Officer, Federal Railroad Administration, via email to FRA-239@dot.gov, not less than 60 days prior to commencing passenger operations. Any passenger railroad that has an emergency preparedness plan approved by FRA as of July 29, 2014, is considered to have timely filed its plan. The emergency preparedness plan shall include the name, title, address (street address and email address), and telephone number of the primary person on each affected railroad to be contacted with regard to review of the plan, and shall include a summary of each railroad's analysis supporting each plan element and describing how every condition on the railroad's property that is likely to affect emergency response is addressed in the plan. (2) Filing of amendments to the plan. (i) Except as provided in paragraph (a)(2)(ii) of this section, each subsequent amendment to a railroad's emergency preparedness plan shall be filed with FRA by the passenger railroad not less than 60 days prior to the proposed effective date of the amendment. When filing an amendment, the railroad must include a written summary of the proposed changes to the previously approved plan and, as applicable, a training plan describing how and when current and new employees and others within the scope of the training requirement at § 239.101(a)(2) would be trained on any amendment. (ii) If the proposed amendment is limited to adding or changing the name, title, street address, email address, or telephone number of the primary person to be contacted on each affected railroad with regard to the review of the plan, approval is not required under the process in paragraph (b)(3)(i) of this sec… | ||||
| 49:49:4.1.1.1.33.3.137.2 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | C | Subpart C—Review, Approval, and Retention of Emergency Preparedness Plans | § 239.203 Retention of emergency preparedness plan. | FRA | Each passenger railroad to which this part applies, and all railroads hosting its passenger train service (if applicable), shall each retain one copy of the emergency preparedness plan required by § 239.201 and one copy of each subsequent amendment to that plan at the system and division headquarters of each, and shall make such records available to representatives of FRA and States participating under part 212 of this chapter for inspection and copying during normal business hours. | |||||
| 49:49:4.1.1.1.33.4.137.1 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | D | Subpart D—Operational Tests and Inspections; Records, Recordkeeping, and Availability of Records | § 239.301 Operational tests and inspections. | FRA | [79 FR 18149, Mar. 31, 2014] | (a) Requirement to conduct operational tests and inspections. Each railroad to which this part applies shall periodically conduct operational tests and inspections of on-board personnel, responsible control center personnel, and, as applicable, emergency response communications center personnel employed by the railroad, under a contract or subcontract with the railroad, or employed by a contractor or subcontractor to the railroad, to determine the extent of compliance with its emergency preparedness plan. (1) Program of operational tests and inspections. Operational tests and inspections shall be conducted in accordance with the railroad's program. A new railroad shall adopt such a program within 30 days of commencing rail operations. The program shall— (i) Provide for operational testing and inspection on appropriate courses of action in response to various potential emergency situations and on the responsibilities of an employee of the railroad, of an individual who is a contractor or subcontractor to the railroad, or an employee of a contractor of subcontractor to the railroad, as they relate to the railroad's emergency preparedness plan. (ii) Describe each type of operational test and inspection required, including the means and procedures used to carry it out. (iii) State the purpose of each type of operational test and inspection. (iv) State, according to operating divisions where applicable, the frequency with which each type of operational test and inspection is to be conducted. (v) Identify the officer(s) by name, job title, and division or system, who shall be responsible for ensuring that the program of operational tests and inspections is properly implemented. A railroad with operating divisions shall identify at least one officer at the system headquarters who is responsible for overseeing the entire program and the implementation by each division. (vi) Require that each railroad officer who conducts operational tests and inspections be trained on those aspects of the railroad's emergency … | ||||
| 49:49:4.1.1.1.33.4.137.2 | 49 | Transportation | II | 239 | PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS | D | Subpart D—Operational Tests and Inspections; Records, Recordkeeping, and Availability of Records | § 239.303 Electronic recordkeeping. | FRA | Each railroad to which this part applies is authorized to retain by electronic recordkeeping the information prescribed in § 239.301, provided that all of the following conditions are met: (a) The railroad adequately limits and controls accessibility to such information retained in its database system and identifies those individuals who have such access; (b) The railroad has a terminal at the system headquarters and at each division headquarters; (c) Each such terminal has a desk-top computer ( i.e., monitor, central processing unit, and keyboard) and either a facsimile machine or a printer connected to the computer to retrieve and produce information in a usable format for immediate review by representatives of FRA and States participating under part 212 of this chapter; (d) The railroad has a designated representative who is authorized to authenticate retrieved information from the electronic system as true and accurate copies of the electronically kept records; and (e) The railroad provides representatives of FRA and States participating under part 212 of this chapter with immediate access to these records for inspection and copying during normal business hours and provides printouts of such records upon request. |
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chapter TEXT,
subchapter TEXT,
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