CFR

PART 260—GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939

• 260.0-1—Application of definitions contained in the act.
• 260.0-2—Definitions of terms used in the rules and regulations.
• 260.0-3—Definition of “rules and regulations” as used in certain sections of the Act.
• 260.0-4—Sequential numbering of documents filed with the Commission.
• 260.0-5—Business hours of the Commission.
• 260.0-6—Nondisclosure of information obtained in the course of examinations and investigations.
• 260.0-7—Small entities for purposes of the Regulatory Flexibility Act.
• 260.0-11—Liability for certain statements by issuers.
• 260.3(4)-1—Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain t
• 260.3(4)-2—Definition of “distribution” in section 303(4) for certain transactions.
• 260.3(4)-3—Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
• 260.4a-1—Exempted securities under section 304(a)(8).
• 260.4a-2—Exempted securities under section 304(d).
• 260.4a-3—Exempted securities under section 304(a)(9).
• 260.4c-1—Form for applications under section 304(c).
• 260.4c-2—General requirements as to form and content of applications.
• 260.4c-3—Number of copies; filing; signatures; binding.
• 260.4c-4—Applications under section 304(c)(1).
• 260.4c-5—Applications under section 304(c)(2).
• 260.4d-7—Application for exemption from one or more provisions of the Act.
• 260.4d-8—Content.
• 260.4d-9—Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
• 260.4d-10—Exemption for securities issued pursuant to § 230.802 of this chapter.
• 260.4d-11T—Temporary exemption for eligible credit default swaps offered and sold in reliance on Securities Act of 1933 Rule 239T (§ 230.239T).
• 260.5a-1—Forms for statements of eligibility and qualification.
• 260.5a-2—General requirements as to form and content of statements of eligibility and qualification.
• 260.5a-3—Number of copies; filing; signatures; binding.
• 260.5b-1—Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
• 260.5b-2—General requirements as to form and content of applications.
• 260.5b-3—Number of copies—Filing—Signatures.
• 260.7a-1—Form for application.
• 260.7a-2—Powers of agent for service named in application.
• 260.7a-3—Number of copies; filing; signatures; binding.
• 260.7a-4—Calculation of time.
• 260.7a-5—Filing of amendments; number of copies.
• 260.7a-6—Telegraphic delaying amendments.
• 260.7a-7—Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
• 260.7a-8—Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
• 260.7a-9—Delaying amendments.
• 260.7a-15—Scope of §§ 260.7a-15 to 260.7a-37.
• 260.7a-16—Inclusion of items, differentiation between items and answers, omission of instructions.
• 260.7a-17—Quality, color and size of paper.
• 260.7a-18—Legibility.
• 260.7a-19—Margin for binding.
• 260.7a-20—Riders; inserts.
• 260.7a-21—Clarity.
• 260.7a-22—Information unknown or not reasonably available.
• 260.7a-23—Statements required where item is inapplicable or where answer is “none”.
• 260.7a-24—Words relating to periods of time in the past.
• 260.7a-25—Words relating to the future.
• 260.7a-26—Disclaimer of control.
• 260.7a-27—Title of securities.
• 260.7a-28—Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
• 260.7a-29—Incorporation of exhibits as such.
• 260.7a-30—Identification of material incorporated; form of incorporation.
• 260.7a-31—Incorporation by reference of contested material.
• 260.7a-32—Incorporation by reference rendering document incomplete, unclear, or confusing.
• 260.7a-33—Additional exhibits.
• 260.7a-34—Omission of substantially identical documents.
• 260.7a-35—Formal requirements as to amendments.
• 260.7a-36—Signatures to amendments.
• 260.7a-37—Inspection of applications, statements and reports.
• 260.10a-1—Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
• 260.10a-2—General requirements as to form and content of applications.
• 260.10a-3—Number of copies—Filing—Signatures.
• 260.10a-4—Consent of trustee to service of process.
• 260.10a-5—Eligibility of Canadian Trustees.
• 260.10b-1—Calculation of percentages.
• 260.10b-2—Applications under section 310(b)(1)(ii).
• 260.10b-3—Applications relative to affiliations between trustees and underwriters.
• 260.10b-4—Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
• 260.10b-5—Content.
• 260.10b-6—Notices—Exemptive Application Procedure.
• 260.11b-4—Definition of “cash transaction” in section 311(b)(4).
• 260.11b-6—Definition of “self-liquidating paper” in section 311(b)(6).
• 260.14a-1—Application of §§ 260.7a-15 to 260.7a-38.
• 260.19a-1—Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.

Tips