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Section 230.100
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Business hours of the Commission |
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Section 230.110
|
Payment of fees |
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Section 230.111
|
Inspection of registration statements |
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Section 230.120
|
Non-disclosure of information obtained in the course of examinations and investigations |
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Section 230.122
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Definition of ``rules and regulations'' as used in certain sections of the Act |
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Section 230.130
|
Definition of security issued under governmental obligations |
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Section 230.131
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Definition of ``common trust fund'' as used in section 3(a)(2) of the Act |
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Section 230.132
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Definition for purposes of section 5 of the Act, of ``sale'', ``offer'', ``offer to sell'', and ``offer for sale'' |
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Section 230.133
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Communications not deemed a prospectus |
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Section 230.134
|
Notice of proposed registered offerings |
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Section 230.135
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Definition of certain terms in relation to assessable stock |
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Section 230.136
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Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution |
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Section 230.137
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Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing |
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Section 230.138
|
Publications or distributions of research reports by brokers or dealers distributing securities |
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Section 230.139
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Definition of ``distribution'' in section 2(11) for certain transactions |
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Section 230.140
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Definition of ``commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' |
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Section 230.141
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Definition of ``participates'' and ``participation,'' as used in section 2(11), in relation to certain transactions |
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Section 230.142
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Definition of ``has purchased'', ``sells for'', ``participates'', and ``participation'', as used in section 2(11), |
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Section 230.143
|
Persons deemed not to be engaged in a distribution and therefore not underwriters |
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Section 230.144
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Reclassification of securities, mergers, consolidations and acquisitions of assets |
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Section 230.145
|
Rules under section 18 of the Act |
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Section 230.146
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Definition of ``exchanged'' in section 3(a)(9), for certain transactions |
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Section 230.149
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Definition of ``commission or other remuneration'' in section 3(a)(9), for certain transactions |
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Section 230.150
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Safe harbor definition of certain ``annuity contracts or optional annuity contracts'' within the meaning of section 3(a)(8) |
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Section 230.151
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Definition of ``transactions by an issuer not involving any public offering'' in section 4(2), for certain transactions |
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Section 230.152
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Definition of ``preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions |
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Section 230.153
|
Delivery of prospectuses to investors at the same address |
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Section 230.154
|
Integration of abandoned offerings |
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Section 230.155
|
Investment company sales literature |
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Section 230.156
|
Small entities under the Securities Act for purposes of the Regulatory Flexibility Act |
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Section 230.157
|
Definitions of certain terms in the last paragraph of section 11(a) |
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Section 230.158
|
Information available to purchaser at time of contract of sale |
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Section 230.159
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Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National |
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Section 230.160
|
Amendments to rules and regulations governing exemptions |
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Section 230.161
|
Submission of tenders in registered exchange offers |
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Section 230.162
|
Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers |
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Section 230.163
|
Post-filing free writing prospectuses in connection with certain registered offerings |
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Section 230.164
|
Offers made in connection with a business combination transaction |
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Section 230.165
|
Exemption from section 5(c) for certain communications in connection with business combination transactions |
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Section 230.166
|
Communications in connection with certain registered offerings of asset-backed securities |
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Section 230.167
|
Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information |
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Section 230.168
|
Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business |
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Section 230.169
|
Prohibition of use of certain financial statements |
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Section 230.170
|
Disclosure detrimental to the national defense or foreign policy |
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Section 230.171
|
Delivery of prospectuses |
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Section 230.172
|
Notice of registration |
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Section 230.173
|
Delivery of prospectus by dealers; exemptions under section 4(3) of the Act |
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Section 230.174
|
Liability for certain statements by issuers |
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Section 230.175
|
Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief |
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Section 230.176
|
Exemption from registration of interests and participations issued in connection with certain H |
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Section 230.180
|
Registration of underlying securities in asset-backed securities transactions |
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Section 230.190
|
Definition of ``issuer'' in section 2(a)(4) of the Act in relation to asset-backed securities |
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Section 230.191
|
Review of underlying assets in asset-backed securities transactions |
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Section 230.193
|
Definitions of the terms ``swap'' and ``security-based swap'' as used in the Act |
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Section 230.194
|
Accredited investor |
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Section 230.215
|
Exemption of shares offered in connection with certain transactions |
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Section 230.236
|
Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts |
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Section 230.237
|
Exemption for standardized options |
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Section 230.238
|
Exemption for offers and sales of certain security-based swaps |
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Section 230.239
|
Exemption for certain security-based swaps |
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Section 230.240
|
Scope of exemption |
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Section 230.251
|
Offering statement |
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Section 230.252
|
Offering circular |
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Section 230.253
|
Solicitation of interest document for use prior to an offering statement |
|
Section 230.254
|
Preliminary Offering Circulars |
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Section 230.255
|
Filing of sales material |
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Section 230.256
|
Reports of sales and use of proceeds |
|
Section 230.257
|
Suspension of the exemption |
|
Section 230.258
|
Withdrawal or abandonment of offering statements |
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Section 230.259
|
Insignificant deviations from a term, condition or requirement of Regulation A |
|
Section 230.260
|
Definitions |
|
Section 230.261
|
Disqualification provisions |
|
Section 230.262
|
Consent to Service of Process |
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Section 230.263
|
Application of Sec |
|
Section 230.400
|
Requirements as to proper form |
|
Section 230.401
|
Number of copies; binding; signatures |
|
Section 230.402
|
Requirements as to paper, printing, language and pagination |
|
Section 230.403
|
Preparation of registration statement |
|
Section 230.404
|
Definitions of terms |
|
Section 230.405
|
Confidential treatment of information filed with the Commission |
|
Section 230.406
|
Additional information |
|
Section 230.408
|
Information unknown or not reasonably available |
|
Section 230.409
|
Disclaimer of control |
|
Section 230.410
|
Incorporation by reference |
|
Section 230.411
|
Modified or superseded documents |
|
Section 230.412
|
Registration of additional securities and additional classes of securities |
|
Section 230.413
|
Registration by certain successor issuers |
|
Section 230.414
|
Delayed or continuous offering and sale of securities |
|
Section 230.415
|
Securities to be issued as a result of stock splits, stock dividends and anti-dilution provisions and interests to be issued |
|
Section 230.416
|
Date of financial statements |
|
Section 230.417
|
Supplemental information |
|
Section 230.418
|
Offerings by blank check companies |
|
Section 230.419
|
Legibility of prospectus |
|
Section 230.420
|
Presentation of information in prospectuses |
|
Section 230.421
|
Date of prospectuses |
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Section 230.423
|
Filing of prospectuses, number of copies |
|
Section 230.424
|
Filing of certain prospectuses and communications under Sec |
|
Section 230.425
|
Filing of certain prospectuses under Sec |
|
Section 230.426
|
Contents of prospectus used after nine months |
|
Section 230.427
|
Documents constituting a section 10(a) prospectus for Form S-8 registration statement; requirements relating to offerings of |
|
Section 230.428
|
Prospectus relating to several registration statements |
|
Section 230.429
|
Prospectus for use prior to effective date |
|
Section 230.430
|
Summary prospectuses |
|
Section 230.431
|
Additional information required to be included in prospectuses relating to tender offers |
|
Section 230.432
|
Conditions to permissible post-filing free writing prospectuses |
|
Section 230.433
|
Consents required in special cases |
|
Section 230.436
|
Application to dispense with consent |
|
Section 230.437
|
Consents of persons about to become directors |
|
Section 230.438
|
Consent to use of material incorporated by reference |
|
Section 230.439
|
Place of filing |
|
Section 230.455
|
Date of filing; timing of fee payment |
|
Section 230.456
|
Computation of fee |
|
Section 230.457
|
Calculation of effective date |
|
Section 230.459
|
Distribution of preliminary prospectus |
|
Section 230.460
|
Acceleration of effective date |
|
Section 230.461
|
Immediate effectiveness of certain registration statements and post-effective amendments |
|
Section 230.462
|
Report of offering of securities and use of proceeds therefrom |
|
Section 230.463
|
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 |
|
Section 230.464
|
Effective date of certain registration statements on Form F-6 |
|
Section 230.466
|
Effectiveness of registration statements and post-effective amendments thereto made on Forms F-7, F-8, F-10 and F-80 |
|
Section 230.467
|
Formal requirements for amendments |
|
Section 230.470
|
Signatures to amendments |
|
Section 230.471
|
Filing of amendments; number of copies |
|
Section 230.472
|
Delaying amendments |
|
Section 230.473
|
Date of filing of amendments |
|
Section 230.474
|
Amendment filed with consent of Commission |
|
Section 230.475
|
Amendment filed pursuant to order of Commission |
|
Section 230.476
|
Withdrawal of registration statement or amendment |
|
Section 230.477
|
Powers to amend or withdraw registration statement |
|
Section 230.478
|
Procedure with respect to abandoned registration statements and post-effective amendments |
|
Section 230.479
|
Title of securities |
|
Section 230.480
|
Information required in prospectuses |
|
Section 230.481
|
Advertising by an investment company as satisfying requirements of section 10 |
|
Section 230.482
|
Exhibits for certain registration statements |
|
Section 230.483
|
Undertaking required in certain registration statements |
|
Section 230.484
|
Effective date of post-effective amendments filed by certain registered investment companies |
|
Section 230.485
|
Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies |
|
Section 230.486
|
Effectiveness of registration statements filed by certain unit investment trusts |
|
Section 230.487
|
Effective date of registration statements relating to securities to be issued in certain business combination transactions |
|
Section 230.488
|
Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries |
|
Section 230.489
|
Information to be furnished under paragraph (3) of Schedule B |
|
Section 230.490
|
Information to be furnished under paragraph (6) of Schedule B |
|
Section 230.491
|
Omissions from prospectuses |
|
Section 230.492
|
Additional Schedule B disclosure and filing requirements |
|
Section 230.493
|
Newspaper prospectuses |
|
Section 230.494
|
Preparation of registration statement |
|
Section 230.495
|
Contents of prospectus and statement of additional information used after nine months |
|
Section 230.496
|
Filing of investment company prospectuses--number of copies |
|
Section 230.497
|
Summary Prospectuses for open-end management investment companies |
|
Section 230.498
|
Use of Regulation D |
|
Section 230.500
|
Definitions and terms used in Regulation D |
|
Section 230.501
|
General conditions to be met |
|
Section 230.502
|
Filing of notice of sales |
|
Section 230.503
|
Exemption for limited offerings and sales of securities not exceeding $1,000,000 |
|
Section 230.504
|
Exemption for limited offers and sales of securities not exceeding $5,000,000 |
|
Section 230.505
|
Exemption for limited offers and sales without regard to dollar amount of offering |
|
Section 230.506
|
Disqualifying provision relating to exemptions under Sec |
|
Section 230.507
|
Insignificant deviations from a term, condition or requirement of Regulation D |
|
Section 230.508
|
Definitions of terms used in Sec |
|
Section 230.601
|
Securities exempted |
|
Section 230.602
|
Amount of securities exempted |
|
Section 230.603
|
Filing of notification on Form 1-E |
|
Section 230.604
|
Filing and use of the offering circular |
|
Section 230.605
|
Offering not in excess of $100,000 |
|
Section 230.606
|
Sales material to be filed |
|
Section 230.607
|
Prohibition of certain statements |
|
Section 230.608
|
Reports of sales hereunder |
|
Section 230.609
|
Suspension of exemption |
|
Section 230.610
|
Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation |
|
Section 230.701
|
Definitions for Sec |
|
Section 230.800
|
Exemption in connection with a rights offering |
|
Section 230.801
|
Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers |
|
Section 230.802
|
General statement |
|
Section 230.901
|
Definitions |
|
Section 230.902
|
Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any |
|
Section 230.903
|
Offshore resales |
|
Section 230.904
|
Resale limitations |
|
Section 230.905
|
Exemption for transactions exempt from qualification under Sec |
|
Section 230.1001
|
Application of part 232 |