Federal regulations · Through 2026-08-25 · Newer source version available

17 CFR 210.5-01: -01 Application of §§ 210.5-01 to 210.5-04.

Where this section sits in the code

Title 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
PART 210—FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975

Sections 210.5-01 to 210.5-04 shall be applicable to financial statements filed for all persons except—

(a) Registered investment companies (see§§ 210.6-01 through 210.6-11).

(b) Employee stock purchase, savings and similar plans (see §§ 210.6A-01 to 210.6A-05).

(d) Bank holding companies and banks (see §§ 210.9-01 to 210.9-07).

(e) Brokers and dealers when filing Form X-17A-5 [249.617] (see §§ 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 1934).

Collected 2026-08-27T02:24:31Z. Source file · JSON