CFR

PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933

• 230.100—Definitions of terms used in the rules and regulations.
• 230.110—Business hours of the Commission.
• 230.111—Payment of fees.
• 230.120—Inspection of registration statements.
• 230.122—Non-disclosure of information obtained in the course of examinations and investigations.
• 230.130—Definition of “rules and regulations” as used in certain sections of the Act.
• 230.131—Definition of security issued under governmental obligations.
• 230.132—Definition of “common trust fund” as used in section 3(a)(2) of the Act.
• 230.133—Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
• 230.134—Communications not deemed a prospectus.
• 230.134a—Options material not deemed a prospectus.
• 230.134b—Statements of additional information.
• 230.135—Notice of proposed registered offerings.
• 230.135a—Generic advertising.
• 230.135b—Materials not deemed an offer to sell or offer to buy nor a prospectus.
• 230.135c—Notice of certain proposed unregistered offerings.
• 230.135e—Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
• 230.136—Definition of certain terms in relation to assessable stock.
• 230.137—Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
• 230.138—Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
• 230.139—Publications or distributions of research reports by brokers or dealers distributing securities.
• 230.139a—Publications by brokers or dealers distributing asset-backed securities.
• 230.140—Definition of “distribution” in section 2(11) for certain transactions.
• 230.141—Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 2(11), for certain trans
• 230.142—Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
• 230.143—Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain
• 230.144—Persons deemed not to be engaged in a distribution and therefore not underwriters.
• 230.144A—Private resales of securities to institutions.
• 230.145—Reclassification of securities, mergers, consolidations and acquisitions of assets.
• 230.146—Rules under section 18 of the Act.
• 230.147—“Part of an issue”, “person resident”, and “doing business within” for purposes of section 3(a)(11).
• 230.149—Definition of “exchanged” in section 3(a)(9), for certain transactions.
• 230.150—Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
• 230.151—Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
• 230.152—Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.
• 230.152a—Offer or sale of certain fractional interests.
• 230.153—Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
• 230.153a—Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders.
• 230.153b—Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
• 230.154—Delivery of prospectuses to investors at the same address.
• 230.155—Integration of abandoned offerings.
• 230.156—Investment company sales literature.
• 230.157—Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
• 230.158—Definitions of certain terms in the last paragraph of section 11(a).
• 230.159—Information available to purchaser at time of contract of sale.
• 230.159A—Certain definitions for purposes of section 12(a)(2) of the Act.
• 230.160—Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
• 230.161—Amendments to rules and regulations governing exemptions.
• 230.162—Submission of tenders in registered exchange offers.
• 230.163—Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
• 230.163A—Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.
• 230.164—Post-filing free writing prospectuses in connection with certain registered offerings.
• 230.165—Offers made in connection with a business combination transaction.
• 230.166—Exemption from section 5(c) for certain communications in connection with business combination transactions.
• 230.167—Communications in connection with certain registered offerings of asset-backed securities.
• 230.168—Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
• 230.169—Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
• 230.170—Prohibition of use of certain financial statements.
• 230.171—Disclosure detrimental to the national defense or foreign policy.
• 230.172—Delivery of prospectuses.
• 230.173—Notice of registration.
• 230.174—Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
• 230.175—Liability for certain statements by issuers.
• 230.176—Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
• 230.180—Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
• 230.190—Registration of underlying securities in asset-backed securities transactions.
• 230.191—Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
• 230.193—Review of underlying assets in asset-backed securities transactions.
• 230.215—Accredited investor.
• 230.236—Exemption of shares offered in connection with certain transactions.
• 230.237—Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
• 230.238—Exemption for standardized options.
• 230.239T—Temporary exemption for eligible credit default swaps.
• 230.251—Scope of exemption.
• 230.252—Offering statement.
• 230.253—Offering circular.
• 230.254—Solicitation of interest document for use prior to an offering statement.
• 230.255—Preliminary Offering Circulars.
• 230.256—Filing of sales material.
• 230.257—Reports of sales and use of proceeds.
• 230.258—Suspension of the exemption.
• 230.259—Withdrawal or abandonment of offering statements.
• 230.260—Insignificant deviations from a term, condition or requirement of Regulation A.
• 230.261—Definitions.
• 230.262—Disqualification provisions.
• 230.263—Consent to Service of Process.
• 230.400—Application of §§ 230.400 to 230.494, inclusive.
• 230.401—Requirements as to proper form.
• 230.401a—Requirements as to proper form.
• 230.402—Number of copies; binding; signatures.
• 230.403—Requirements as to paper, printing, language and pagination.
• 230.404—Preparation of registration statement.
• 230.405—Definitions of terms.
• 230.406—Confidential treatment of information filed with the Commission.
• 230.408—Additional information.
• 230.409—Information unknown or not reasonably available.
• 230.410—Disclaimer of control.
• 230.411—Incorporation by reference.
• 230.412—Modified or superseded documents.
• 230.413—Registration of additional securities and additional classes of securities.
• 230.414—Registration by certain successor issuers.
• 230.415—Delayed or continuous offering and sale of securities.
• 230.416—Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued pursuant to certain employee benefit plans.
• 230.417—Date of financial statements.
• 230.418—Supplemental information.
• 230.419—Offerings by blank check companies.
• 230.420—Legibility of prospectus.
• 230.421—Presentation of information in prospectuses.
• 230.423—Date of prospectuses.
• 230.424—Filing of prospectuses, number of copies.
• 230.425—Filing of certain prospectuses and communications under § 230.135 in connection with business combination transactions.
• 230.426—Filing of certain prospectuses under § 230.167 in connection with certain offerings of asset-backed securities.
• 230.427—Contents of prospectus used after nine months.
• 230.428—Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of securities registered on Form S-8.
• 230.429—Prospectus relating to several registration statements.
• 230.430—Prospectus for use prior to effective date.
• 230.430A—Prospectus in a registration statement at the time of effectiveness.
• 230.430B—Prospectus in a registration statement after effective date.
• 230.430C—Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
• 230.431—Summary prospectuses.
• 230.432—Additional information required to be included in prospectuses relating to tender offers.
• 230.433—Conditions to permissible post-filing free writing prospectuses.
• 230.436—Consents required in special cases.
• 230.437—Application to dispense with consent.
• 230.437a—Written consents.
• 230.438—Consents of persons about to become directors.
• 230.439—Consent to use of material incorporated by reference.
• 230.455—Place of filing.
• 230.456—Date of filing; timing of fee payment.
• 230.457—Computation of fee.
• 230.459—Calculation of effective date.
• 230.460—Distribution of preliminary prospectus.
• 230.461—Acceleration of effective date.
• 230.462—Immediate effectiveness of certain registration statements and post-effective amendments.
• 230.463—Report of offering of securities and use of proceeds therefrom.
• 230.464—Effective date of post-effective amendments to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2 and F-3.
• 230.466—Effective date of certain registration statements on Form F-6.
• 230.467—Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-9, F-10 and F-80.
• 230.470—Formal requirements for amendments.
• 230.471—Signatures to amendments.
• 230.472—Filing of amendments; number of copies.
• 230.473—Delaying amendments.
• 230.474—Date of filing of amendments.
• 230.475—Amendment filed with consent of Commission.
• 230.475a—Certain pre-effective amendments deemed filed with the consent of the Commission.
• 230.476—Amendment filed pursuant to order of Commission.
• 230.477—Withdrawal of registration statement or amendment.
• 230.478—Powers to amend or withdraw registration statement.
• 230.479—Procedure with respect to abandoned registration statements and post-effective amendments.
• 230.480—Title of securities.
• 230.481—Information required in prospectuses.
• 230.482—Advertising by an investment company as satisfying requirements of section 10.
• 230.483—Exhibits for certain registration statements.
• 230.484—Undertaking required in certain registration statements.
• 230.485—Effective date of post-effective amendments filed by certain registered investment companies.
• 230.486—Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
• 230.487—Effectiveness of registration statements filed by certain unit investment trusts.
• 230.488—Effective date of registration statements relating to securities to be issued in certain business combination transactions.
• 230.489—Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
• 230.490—Information to be furnished under paragraph (3) of Schedule B.
• 230.491—Information to be furnished under paragraph (6) of Schedule B.
• 230.492—Omissions from prospectuses.
• 230.493—Additional Schedule B disclosure and filing requirements.
• 230.494—Newspaper prospectuses.
• 230.495—Preparation of registration statement.
• 230.496—Contents of prospectus and statement of additional information used after nine months.
• 230.497—Filing of investment company prospectuses—number of copies.
• 230.498—Summary Prospectuses for open-end management investment companies.
• 230.501—Definitions and terms used in Regulation D.
• 230.502—General conditions to be met.
• 230.503—Filing of notice of sales.
• 230.504—Exemption for limited offerings and sales of securities not exceeding $1,000,000.
• 230.505—Exemption for limited offers and sales of securities not exceeding $5,000,000.
• 230.506—Exemption for limited offers and sales without regard to dollar amount of offering.
• 230.507—Disqualifying provision relating to exemptions under §§ 230.504, 230.505 and 230.506.
• 230.508—Insignificant deviations from a term, condition or requirement of Regulation D.
• 230.601—Definitions of terms used in §§ 230.601 to 230.610a.
• 230.602—Securities exempted.
• 230.603—Amount of securities exempted.
• 230.604—Filing of notification on Form -1-E.
• 230.605—Filing and use of the offering circular.
• 230.606—Offering not in excess of $100,000.
• 230.607—Sales material to be filed.
• 230.608—Prohibition of certain statements.
• 230.609—Reports of sales hereunder.
• 230.610—Suspension of exemption.
• 230.610a—Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
• 230.701—Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
• 230.800—Definitions for §§ 230.800, 230.801 and 230.802.
• 230.801—Exemption in connection with a rights offering.
• 230.802—Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
• 230.901—General statement.
• 230.902—Definitions.
• 230.903—Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific s
• 230.904—Offshore resales.
• 230.905—Resale limitations.
• 230.1001—Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.

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