U.S. Code of Federal Regulations
Regulations most recently checked for updates: Sep 27, 2020
REGULATION A-R - SPECIAL EXEMPTIONS
§ 230.237 - Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
§ 230.122 - Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.133 - Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.135e - Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 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.
§ 230.139b - Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 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 transactions.
§ 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 transactions of foreign governments for war purposes.
§ 230.148 - [Reserved]
§ 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.
§ 230.153 - 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.
§ 230.160 - Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 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.
§ 230.163B - Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 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.
§ 230.176 - 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.
§ 230.191 - Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
REGULATION A - CONDITIONAL SMALL ISSUES EXEMPTION
§§ 230.300-230.346 - §[Reserved]
REGULATION C - REGISTRATION
§ 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.
FORM AND CONTENT OF PROSPECTUSES
§ 230.425 - Filing of certain prospectuses and communications under in connection with business combination transactions.
§ 230.426 - Filing of certain prospectuses under in connection with certain offerings of asset-backed securities.
§ 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.
§ 230.430C - Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date.
§ 230.430D - Prospectus in a registration statement after effective date for asset-backed securities offerings.
§ 230.432 - Additional information required to be included in prospectuses relating to tender offers.
§§ 230.445-230.447 - §[Reserved]
FILINGS; FEES; EFFECTIVE DATE
§ 230.462 - Immediate effectiveness of certain registration statements and post-effective amendments.
§ 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.
§ 230.467 - Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80.
§ 230.479 - Procedure with respect to abandoned registration statements and post-effective amendments.
INVESTMENT COMPANIES; BUSINESS DEVELOPMENT COMPANIES
REGISTRATION BY FOREIGN GOVERNMENTS OR POLITICAL SUBDIVISIONS THEREOF
§ 230.498A - Summary Prospectuses for separate accounts offering variable annuity and variable life insurance contracts.
§ 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.
§ 230.488 - 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.
REGULATION D - RULES GOVERNING THE LIMITED OFFER AND SALE OF SECURITIES WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933
§ 230.505 - [Reserved]
REGULATION E - EXEMPTION FOR SECURITIES OF SMALL BUSINESS INVESTMENT COMPANIES
EXEMPTIONS FOR CROSS-BORDER RIGHTS OFFERINGS, EXCHANGE OFFERS AND BUSINESS COMBINATIONS
§ 230.610a - Schedule A: Contents of offering circular for small business investment companies; Schedule B: Contents of offering circular for business development companies.
§§ 230.651-230.656 - §[Reserved]
§ 230.701 - Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§§ 230.702(T)-230.703(T) - §[Reserved]
REGULATION S - RULES GOVERNING OFFERS AND SALES MADE OUTSIDE THE UNITED STATES WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933
§ 230.802 - Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
REGULATION CE - COORDINATED EXEMPTIONS FOR CERTAIN ISSUES OF SECURITIES EXEMPT UNDER STATE LAW
§ 230.1001 - Exemption for transactions exempt from qualification under of the California Corporations Code.
§ 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 securities.