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- 17 CFR 230.701 · Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
- 17 CFR 230.702(T)-230.703(T) · §§ 230.702(T)-230.703(T) [Reserved]
- 17 CFR 230.800 · Definitions for §§ 230.800, 230.801 and 230.802.
- 17 CFR 230.801 · Exemption in connection with a rights offering.
- 17 CFR 230.802 · Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
- 17 CFR 230.901 · General statement.
- 17 CFR 230.902 · Definitions.
- 17 CFR 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.
- 17 CFR 230.904 · Offshore resales.
- 17 CFR 230.905 · Resale limitations.
- 17 CFR 230.1001 · Exemption for transactions exempt from qualification under § 25102(n) of the California Corporations Code.
- 17 CFR 232.10 · Application of part 232.
- 17 CFR 232.11 · Definition of terms used in this part.
- 17 CFR 232.12 · Business hours of the Commission.
- 17 CFR 232.13 · Date of filing; adjustment of filing date.
- 17 CFR 232.14 · Paper filings not accepted without exemption.
- 17 CFR 232.15 · Administration of EDGAR.
- 17 CFR 232.100 · Persons and entities subject to mandated electronic filing.
- 17 CFR 232.101 · Mandated electronic submissions and exceptions.
- 17 CFR 232.102 · Exhibits.
- 17 CFR 232.103 · Liability for transmission errors or omissions in documents filed via EDGAR.
- 17 CFR 232.104 · Unofficial PDF copies included in an electronic submission.
- 17 CFR 232.105 · Use of HTML and hyperlinks.
- 17 CFR 232.106 · Prohibition against electronic submissions containing executable code.
- 17 CFR 232.201 · Temporary hardship exemption.
- 17 CFR 232.202 · Continuing hardship exemption.
- 17 CFR 232.301 · EDGAR Filer Manual.
- 17 CFR 232.302 · Signatures.
- 17 CFR 232.303 · Incorporation by reference.
- 17 CFR 232.304 · Graphic, image, audio and video material.
- 17 CFR 232.305 · Number of characters per line; tabular and columnar information.
- 17 CFR 232.306 · Foreign language documents and symbols.
- 17 CFR 232.307 · Bold face type.
- 17 CFR 232.308 · Type size and font; legibility.
- 17 CFR 232.309 · Paper size; binding; sequential numbering; number of copies.
- 17 CFR 232.310 · Marking changed material.
- 17 CFR 232.311 · Documents submitted in paper under cover of Form SE.
- 17 CFR 232.312 · [Reserved]
- 17 CFR 232.313 · Identification of investment company type and series and/or class (or contract).
- 17 CFR 232.314 · Accommodation for certain securitizers of asset-backed securities.
- 17 CFR 232.401-232.404 · §§ 232.401-232.404 [Reserved]
- 17 CFR 232.405 · Interactive Data File submissions.
- 17 CFR 232.406 · Cover Page XBRL Data Tagging.
- 17 CFR 232.407 · Interactive data financial report filings.
- 17 CFR 232.408 · Filing fee exhibit interactive data.
- 17 CFR 232.501 · Modular submissions and segmented filings.
- 17 CFR 232.600-232.903 · §§ 232.600-232.903 [Reserved]
- 17 CFR 239.0-1 · -1 Availability of forms.
- 17 CFR 239.4-239.10 · §§ 239.4-239.10 [Reserved]
- 17 CFR 239.11 · Form S-1, registration statement under the Securities Act of 1933.
- 17 CFR 239.12 · [Reserved]
- 17 CFR 239.13 · Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.
- 17 CFR 239.14 · Form N-2 for closed end management investment companies registered on Form N-8A.
- 17 CFR 239.15 · [Reserved]
- 17 CFR 239.15A · A Form N-1A, registration statement of open-end management investment companies.
- 17 CFR 239.16 · Form S-6, for unit investment trusts registered on Form N-8B-2.
- 17 CFR 239.16b · b Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.
- 17 CFR 239.17 · [Reserved]
- 17 CFR 239.17a · a Form N-3, registration statement for separate accounts organized as management investment companies.
- 17 CFR 239.17b · b Form N-4, registration statement for separate accounts organized as unit investment trusts.
- 17 CFR 239.17c · c Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.
- 17 CFR 239.18 · Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.
- 17 CFR 239.19 · [Reserved]
- 17 CFR 239.20 · Form S-20, for standardized options.
- 17 CFR 239.23 · Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.
- 17 CFR 239.24 · Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
- 17 CFR 239.25 · Form S-4, for the registration of securities issued in business combination transactions.
- 17 CFR 239.26-239.30 · §§ 239.26-239.30 [Reserved]
- 17 CFR 239.31 · Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.
- 17 CFR 239.32 · [Reserved]
- 17 CFR 239.33 · Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.
- 17 CFR 239.34 · Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions.
- 17 CFR 239.35 · [Reserved]
- 17 CFR 239.36 · Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts.
- 17 CFR 239.37 · Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.
- 17 CFR 239.38 · Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
- 17 CFR 239.39 · [Reserved]
- 17 CFR 239.40 · Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers.
- 17 CFR 239.41 · Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
- 17 CFR 239.42 · Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 et seq. of this chapter) on Form 1-A (§ 239.90), or by any non-U.S. issuer providing Form CB (§ 249.480 of this chapter) to the Commission in connection with a tender offer, rights offering or business combination.
- 17 CFR 239.43 · Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.
- 17 CFR 239.44 · Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.
- 17 CFR 239.45 · Form SF-3, for registration under the Securities Act of 1933 for offerings of asset-backed issuers offered pursuant to certain types of transactions.
- 17 CFR 239.46-239.62 · §§ 239.46-239.62 [Reserved]
- 17 CFR 239.63 · Form ID, application for EDGAR access.
- 17 CFR 239.64 · Form SE, form for submission of paper format exhibits by electronic filers.
- 17 CFR 239.65 · Form TH—Notification of reliance on temporary hardship exemption.
- 17 CFR 239.66 · Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
- 17 CFR 239.90 · Form 1-A, offering statement under Regulation A.
- 17 CFR 239.91 · Form 1-K.
- 17 CFR 239.92 · Form 1-SA.
- 17 CFR 239.93 · Form 1-U.
- 17 CFR 239.94 · Form 1-Z.
- 17 CFR 239.95-239.143 · §§ 239.95-239.143 [Reserved]
- 17 CFR 239.144 · Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.
- 17 CFR 239.145-239.199 · §§ 239.145-239.199 [Reserved]
- 17 CFR 239.200 · Form 1-E, notification under Regulation E.
- 17 CFR 239.201 · Form 2-E, report of sales pursuant to Rule 609 of Regulation E.
- 17 CFR 239.202-239.300 · §§ 239.202-239.300 [Reserved]
- 17 CFR 239.500 · Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933.