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- 17 CFR 260.0-2 · -2 Definitions of terms used in the rules and regulations.
- 17 CFR 260.0-3 · -3 Definition of “rules and regulations” as used in certain sections of the Act.
- 17 CFR 260.0-4 · -4 Sequential numbering of documents filed with the Commission.
- 17 CFR 260.0-5 · -5 Business hours of the Commission.
- 17 CFR 260.0-6 · -6 Nondisclosure of information obtained in the course of examinations and investigations.
- 17 CFR 260.0-7 · -7 Small entities for purposes of the Regulatory Flexibility Act.
- 17 CFR 260.0-11 · -11 Liability for certain statements by issuers.
- 17 CFR 260.3(4)-1 · (4)-1 Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions.
- 17 CFR 260.3(4)-2 · (4)-2 Definition of “distribution” in section 303(4) for certain transactions.
- 17 CFR 260.3(4)-3 · (4)-3 Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
- 17 CFR 260.4a-1 · a-1 Exempted securities under section 304(a)(8).
- 17 CFR 260.4a-2 · a-2 Exempted securities under section 304(d).
- 17 CFR 260.4a-3 · a-3 Exempted securities under section 304(a)(9).
- 17 CFR 260.4c-1 · c-1 Form for applications under section 304(c).
- 17 CFR 260.4c-2 · c-2 General requirements as to form and content of applications.
- 17 CFR 260.4c-3 · c-3 Number of copies; filing; signatures; binding.
- 17 CFR 260.4c-4 · c-4 Applications under section 304(c)(1).
- 17 CFR 260.4c-5 · c-5 Applications under section 304(c)(2).
- 17 CFR 260.4d-7 · d-7 Application for exemption from one or more provisions of the Act.
- 17 CFR 260.4d-8 · d-8 Content.
- 17 CFR 260.4d-9 · d-9 Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
- 17 CFR 260.4d-10 · d-10 Exemption for securities issued pursuant to § 230.802 of this chapter.
- 17 CFR 260.4d-11 · d-11 Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
- 17 CFR 260.4d-12 · d-12 Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240).
- 17 CFR 260.5a-1 · a-1 Forms for statements of eligibility and qualification.
- 17 CFR 260.5a-2 · a-2 General requirements as to form and content of statements of eligibility and qualification.
- 17 CFR 260.5a-3 · a-3 Number of copies; filing; signatures; binding.
- 17 CFR 260.5b-1 · b-1 Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
- 17 CFR 260.5b-2 · b-2 General requirements as to form and content of applications.
- 17 CFR 260.5b-3 · b-3 Number of copies—Filing—Signatures.
- 17 CFR 260.7a-1 · a-1 Form for application.
- 17 CFR 260.7a-2 · a-2 Powers of agent for service named in application.
- 17 CFR 260.7a-3 · a-3 Number of copies; filing; signatures; binding.
- 17 CFR 260.7a-4 · a-4 Calculation of time.
- 17 CFR 260.7a-5 · a-5 Filing of amendments; number of copies.
- 17 CFR 260.7a-6 · a-6 Telegraphic delaying amendments.
- 17 CFR 260.7a-7 · a-7 Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
- 17 CFR 260.7a-8 · a-8 Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
- 17 CFR 260.7a-9 · a-9 Delaying amendments.
- 17 CFR 260.7a-15 · a-15 Scope of §§ 260.7a-15 to 260.7a-37.
- 17 CFR 260.7a-16 · a-16 Inclusion of items, differentiation between items and answers, omission of instructions.
- 17 CFR 260.7a-17 · a-17 Quality, color and size of paper.
- 17 CFR 260.7a-18 · a-18 Legibility.
- 17 CFR 260.7a-19 · a-19 Margin for binding.
- 17 CFR 260.7a-20 · a-20 Riders; inserts.
- 17 CFR 260.7a-21 · a-21 Clarity.
- 17 CFR 260.7a-22 · a-22 Information unknown or not reasonably available.
- 17 CFR 260.7a-23 · a-23 Statements required where item is inapplicable or where answer is “none”.
- 17 CFR 260.7a-24 · a-24 Words relating to periods of time in the past.
- 17 CFR 260.7a-25 · a-25 Words relating to the future.
- 17 CFR 260.7a-26 · a-26 Disclaimer of control.
- 17 CFR 260.7a-27 · a-27 Title of securities.
- 17 CFR 260.7a-28 · a-28 Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
- 17 CFR 260.7a-29 · a-29 Incorporation of exhibits as such.
- 17 CFR 260.7a-30 · a-30 Identification of material incorporated; form of incorporation.
- 17 CFR 260.7a-31 · a-31 Incorporation by reference of contested material.
- 17 CFR 260.7a-32 · a-32 Incorporation by reference rendering document incomplete, unclear, or confusing.
- 17 CFR 260.7a-33 · a-33 Additional exhibits.
- 17 CFR 260.7a-34 · a-34 Omission of substantially identical documents.
- 17 CFR 260.7a-35 · a-35 Formal requirements as to amendments.
- 17 CFR 260.7a-36 · a-36 Signatures to amendments.
- 17 CFR 260.7a-37 · a-37 Inspection of applications, statements and reports.
- 17 CFR 260.10a-1 · a-1 Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
- 17 CFR 260.10a-2 · a-2 General requirements as to form and content of applications.
- 17 CFR 260.10a-3 · a-3 Number of copies—Filing—Signatures.
- 17 CFR 260.10a-4 · a-4 Consent of trustee to service of process.
- 17 CFR 260.10a-5 · a-5 Eligibility of Canadian Trustees.
- 17 CFR 260.10b-1 · b-1 Calculation of percentages.
- 17 CFR 260.10b-2 · b-2 Applications under section 310(b)(1)(ii).
- 17 CFR 260.10b-3 · b-3 Applications relative to affiliations between trustees and underwriters.
- 17 CFR 260.10b-4 · b-4 Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
- 17 CFR 260.10b-5 · b-5 Content.
- 17 CFR 260.10b-6 · b-6 Notices—Exemptive Application Procedure.
- 17 CFR 260.11b-4 · b-4 Definition of “cash transaction” in section 311(b)(4).
- 17 CFR 260.11b-6 · b-6 Definition of “self-liquidating paper” in section 311(b)(6).
- 17 CFR 260.14a-1 · a-1 Application of §§ 260.7a-15 to 260.7a-38.
- 17 CFR 260.19a-1 · a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
- 17 CFR 269.0-1 · -1 Availability of forms.
- 17 CFR 269.1 · Form T-1, for statement of eligibility and qualification for corporate trustees.
- 17 CFR 269.2 · Form T-2, for statement of eligibility and qualification for individual trustees.
- 17 CFR 269.3 · Form T-3, for application for qualification of trust indentures.
- 17 CFR 269.4 · Form T-4, for application for exemption pursuant to section 304(c) of the Act.
- 17 CFR 269.5 · Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§§ 239.38, 239.39, 239.40 or 239.41 of this chapter) , 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), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37 of this chapter) , F-8, F-9, F-10 or F-80.
- 17 CFR 269.6 · [Reserved]
- 17 CFR 269.7 · Form ID, application for EDGAR access.
- 17 CFR 269.8 · Form SE, form for submission of paper format exhibits by electronic filers.
- 17 CFR 269.9 · Form T-6 for application under section 310(a)(1) of the Trust Indenture Act for determination of the eligibility of a foreign person to act as institutional trustee.
- 17 CFR 269.10 · Form TH—Notification of reliance on temporary hardship exemption.
- 17 CFR 270.0-1 · -1 Definition of terms used in this part.
- 17 CFR 270.0-2 · -2 General requirements of papers and applications.
- 17 CFR 270.0-3 · -3 Amendments to registration statements and reports.
- 17 CFR 270.0-4 · -4 Incorporation by reference.
- 17 CFR 270.0-5 · -5 Procedure with respect to applications and other matters.
- 17 CFR 270.0-8 · -8 Payment of filing fees.
- 17 CFR 270.0-9 · -9 [Reserved]
- 17 CFR 270.0-10 · -10 Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.
- 17 CFR 270.0-11 · -11 Customer identification programs.
- 17 CFR 270.2a-1 · a-1 Valuation of portfolio securities in special cases.
- 17 CFR 270.2a-2 · a-2 Effect of eliminations upon valuation of portfolio securities.
- 17 CFR 270.2a3-1 · a3-1 Investment company limited partners not deemed affiliated persons.