2001 CFR Title 17, Volume 2

Title 17--Commodity and Securities Exchanges CHAPTER II--SECURITIES AND EXCHANGE COMMISSION 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.
	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	Definition of ``offers'', ``participates'', or ``participation'' in section 2(11) in relation to certain publications by persons independent of participants in a distribution.
	230.138	Definition of ``offer for sale'' and ``offer to sell'' in sections 2(10) and 5(c) in relation to certain publications.
	230.139	Definition of ``offer for sale'' and ``offer to sell'' in sections 2(10) and 5(c) in relation to certain publications.
	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 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.
	230.144	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), 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).
	230.160.	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.
	230.165	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.
	230.170	Prohibition of use of certain financial statements.
	230.171	Disclosure detrimental to the national defense or foreign policy.
	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.
	230.215	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.
	230.251	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.
	230.402	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.
	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.
	230.427	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.
	230.431	Summary prospectuses.
	230.432	Additional information required to be included in prospectuses relating to tender offers.
	230.434	Prospectus delivery requirements in firm commitment underwritten offerings of securities for cash.
	230.436	Consents required in special cases.
	230.437	Application to dispense with consent.
	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.
	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	Filing of opinions of counsel.
	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	Profiles for certain 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 RegulationD.
	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 &chyph;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 securities.
	230.904	Offshore resales.
	230.905	Resale limitations.
	230.1001	Exemption for transactions exempt from qualification under 25102(n) of the California Corporations Code.