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). |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
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CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
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CREATE INDEX idx_cfr_agency ON cfr_sections(agency);