GroundRules
Browse Federal regulations
Read the original sections, or search by topic.
- 17 CFR 230.120 · Inspection of registration statements.
- 17 CFR 230.122 · Non-disclosure of information obtained in the course of examinations and investigations.
- 17 CFR 230.130 · Definition of “rules and regulations” as used in certain sections of the Act.
- 17 CFR 230.131 · Definition of security issued under governmental obligations.
- 17 CFR 230.132 · Definition of “common trust fund” as used in section 3(a)(2) of the Act.
- 17 CFR 230.133 · Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
- 17 CFR 230.134 · Communications not deemed a prospectus.
- 17 CFR 230.134a · a Options material not deemed a prospectus.
- 17 CFR 230.134b · b Statements of additional information.
- 17 CFR 230.135 · Notice of proposed registered offerings.
- 17 CFR 230.135a · a Generic advertising.
- 17 CFR 230.135b · b Materials not deemed an offer to sell or offer to buy nor a prospectus.
- 17 CFR 230.135c · c Notice of certain proposed unregistered offerings.
- 17 CFR 230.135d · d Communications involving security-based swaps.
- 17 CFR 230.135e · e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
- 17 CFR 230.136 · Definition of certain terms in relation to assessable stock.
- 17 CFR 230.137 · Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
- 17 CFR 230.138 · Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
- 17 CFR 230.139 · Publications or distributions of research reports by brokers or dealers distributing securities.
- 17 CFR 230.139a · a Publications by brokers or dealers distributing asset-backed securities.
- 17 CFR 230.139b · b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
- 17 CFR 230.140 · Definition of “distribution” in section 2(11) for certain transactions.
- 17 CFR 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.
- 17 CFR 230.142 · Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
- 17 CFR 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.
- 17 CFR 230.144 · Persons deemed not to be engaged in a distribution and therefore not underwriters.
- 17 CFR 230.144A · A Private resales of securities to institutions.
- 17 CFR 230.145 · Reclassification of securities, mergers, consolidations and acquisitions of assets.
- 17 CFR 230.145a · a Business combinations with reporting shell companies.
- 17 CFR 230.146 · Rules under section 18 of the Act.
- 17 CFR 230.147 · Intrastate offers and sales.
- 17 CFR 230.147A · A Intrastate sales exemption.
- 17 CFR 230.148 · Exemption from general solicitation or general advertising.
- 17 CFR 230.149 · Definition of “exchanged” in section 3(a)(9), for certain transactions.
- 17 CFR 230.150 · Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
- 17 CFR 230.151 · Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
- 17 CFR 230.152 · Integration.
- 17 CFR 230.152a · a Offer or sale of certain fractional interests.
- 17 CFR 230.153 · Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
- 17 CFR 230.153a · a 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.
- 17 CFR 230.153b · b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
- 17 CFR 230.154 · Delivery of prospectuses to investors at the same address.
- 17 CFR 230.155 · [Reserved]
- 17 CFR 230.156 · Investment company and registered non-variable annuity sales literature.
- 17 CFR 230.157 · Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
- 17 CFR 230.158 · Definitions of certain terms in the last paragraph of section 11(a).
- 17 CFR 230.159 · Information available to purchaser at time of contract of sale.
- 17 CFR 230.159A · A Certain definitions for purposes of section 12(a)(2) of the Act.
- 17 CFR 230.160 · Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
- 17 CFR 230.161 · Amendments to rules and regulations governing exemptions.
- 17 CFR 230.162 · Submission of tenders in registered exchange offers.
- 17 CFR 230.163 · Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
- 17 CFR 230.163A · A 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.
- 17 CFR 230.163B · B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
- 17 CFR 230.164 · Post-filing free writing prospectuses in connection with certain registered offerings.
- 17 CFR 230.165 · Offers made in connection with a business combination transaction.
- 17 CFR 230.166 · Exemption from section 5(c) for certain communications in connection with business combination transactions.
- 17 CFR 230.167 · Communications in connection with certain registered offerings of asset-backed securities.
- 17 CFR 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.
- 17 CFR 230.169 · Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
- 17 CFR 230.170 · Prohibition of use of certain financial statements.
- 17 CFR 230.171 · Disclosure detrimental to the national defense or foreign policy.
- 17 CFR 230.172 · Delivery of prospectuses.
- 17 CFR 230.173 · Notice of registration.
- 17 CFR 230.174 · Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
- 17 CFR 230.175 · Liability for certain statements by issuers.
- 17 CFR 230.176 · Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
- 17 CFR 230.180 · Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
- 17 CFR 230.190 · Registration of underlying securities in asset-backed securities transactions.
- 17 CFR 230.191 · Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
- 17 CFR 230.192 · Conflicts of interest relating to certain securitizations.
- 17 CFR 230.193 · Review of underlying assets in asset-backed securities transactions.
- 17 CFR 230.194 · Definitions of the terms “swap” and “security-based swap” as used in the Act.
- 17 CFR 230.215 · Accredited investor.
- 17 CFR 230.236 · Exemption of shares offered in connection with certain transactions.
- 17 CFR 230.237 · Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
- 17 CFR 230.238 · Exemption for standardized options.
- 17 CFR 230.239 · Exemption for offers and sales of certain security-based swaps.
- 17 CFR 230.240 · Exemption for certain security-based swaps.
- 17 CFR 230.241 · Solicitations of interest.
- 17 CFR 230.251 · Scope of exemption.
- 17 CFR 230.252 · Offering statement.
- 17 CFR 230.253 · Offering circular.
- 17 CFR 230.254 · Preliminary offering circular.
- 17 CFR 230.255 · Solicitations of interest and other communications.
- 17 CFR 230.256 · Definition of “qualified purchaser”.
- 17 CFR 230.257 · Periodic and current reporting; exit report.
- 17 CFR 230.258 · Suspension of the exemption.
- 17 CFR 230.259 · Withdrawal or abandonment of offering statements.
- 17 CFR 230.260 · Insignificant deviations from a term, condition or requirement of Regulation A.
- 17 CFR 230.261 · Definitions.
- 17 CFR 230.262 · Disqualification provisions.
- 17 CFR 230.263 · Consent to service of process.
- 17 CFR 230.300-230.346 · §§ 230.300-230.346 [Reserved]
- 17 CFR 230.400 · Application of §§ 230.400 to 230.494, inclusive.
- 17 CFR 230.401 · Requirements as to proper form.
- 17 CFR 230.401a · a Requirements as to proper form.
- 17 CFR 230.402 · Number of copies; binding; signatures.
- 17 CFR 230.403 · Requirements as to paper, printing, language and pagination.
- 17 CFR 230.404 · Preparation of registration statement.