Federal (United States) · Regulations
Part 230 — GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
208 sections
208 sections
- 17 C.F.R. § 230.100Definitions of terms used in the rules and regulations.
- 17 C.F.R. § 230.110Business hours of the Commission.
- 17 C.F.R. § 230.111Payment of filing fees.
- 17 C.F.R. § 230.120Inspection of registration statements.
- 17 C.F.R. § 230.122Non-disclosure of information obtained in the course of examinations and investigations.
- 17 C.F.R. § 230.130Definition of “rules and regulations” as used in certain sections of the Act.
- 17 C.F.R. § 230.131Definition of security issued under governmental obligations.
- 17 C.F.R. § 230.132Definition of “common trust fund” as used in section 3(a)(2) of the Act.
- 17 C.F.R. § 230.133Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
- 17 C.F.R. § 230.134Communications not deemed a prospectus.
- 17 C.F.R. § 230.134aOptions material not deemed a prospectus.
- 17 C.F.R. § 230.134bStatements of additional information.
- 17 C.F.R. § 230.135Notice of proposed registered offerings.
- 17 C.F.R. § 230.135aGeneric advertising.
- 17 C.F.R. § 230.135bMaterials not deemed an offer to sell or offer to buy nor a prospectus.
- 17 C.F.R. § 230.135cNotice of certain proposed unregistered offerings.
- 17 C.F.R. § 230.135dCommunications involving security-based swaps.
- 17 C.F.R. § 230.135eOffshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
- 17 C.F.R. § 230.136Definition of certain terms in relation to assessable stock.
- 17 C.F.R. § 230.137Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
- 17 C.F.R. § 230.138Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
- 17 C.F.R. § 230.139Publications or distributions of research reports by brokers or dealers distributing securities.
- 17 C.F.R. § 230.139aPublications by brokers or dealers distributing asset-backed securities.
- 17 C.F.R. § 230.139bPublications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
- 17 C.F.R. § 230.140Definition of “distribution” in section 2(11) for certain transactions.
- 17 C.F.R. § 230.141Definition 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 C.F.R. § 230.142Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
- 17 C.F.R. § 230.143Definition 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 C.F.R. § 230.144Persons deemed not to be engaged in a distribution and therefore not underwriters.
- 17 C.F.R. § 230.144APrivate resales of securities to institutions.
- 17 C.F.R. § 230.145Reclassification of securities, mergers, consolidations and acquisitions of assets.
- 17 C.F.R. § 230.145aBusiness combinations with reporting shell companies.
- 17 C.F.R. § 230.146Rules under section 18 of the Act.
- 17 C.F.R. § 230.147Intrastate offers and sales.
- 17 C.F.R. § 230.147AIntrastate sales exemption.
- 17 C.F.R. § 230.148Exemption from general solicitation or general advertising.
- 17 C.F.R. § 230.149Definition of “exchanged” in section 3(a)(9), for certain transactions.
- 17 C.F.R. § 230.150Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
- 17 C.F.R. § 230.151Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
- 17 C.F.R. § 230.152Integration.
- 17 C.F.R. § 230.152aOffer or sale of certain fractional interests.
- 17 C.F.R. § 230.153Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
- 17 C.F.R. § 230.153aDefinition 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 C.F.R. § 230.153bDefinition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
- 17 C.F.R. § 230.154Delivery of prospectuses to investors at the same address.
- 17 C.F.R. § 230.156Investment company and registered non-variable annuity sales literature.
- 17 C.F.R. § 230.157Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
- 17 C.F.R. § 230.158Definitions of certain terms in the last paragraph of section 11(a).
- 17 C.F.R. § 230.159Information available to purchaser at time of contract of sale.
- 17 C.F.R. § 230.159ACertain definitions for purposes of section 12(a)(2) of the Act.
- 17 C.F.R. § 230.160Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
- 17 C.F.R. § 230.161Amendments to rules and regulations governing exemptions.
- 17 C.F.R. § 230.162Submission of tenders in registered exchange offers.
- 17 C.F.R. § 230.163Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
- 17 C.F.R. § 230.163AExemption 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 C.F.R. § 230.163BExemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
- 17 C.F.R. § 230.164Post-filing free writing prospectuses in connection with certain registered offerings.
- 17 C.F.R. § 230.165Offers made in connection with a business combination transaction.
- 17 C.F.R. § 230.166Exemption from section 5(c) for certain communications in connection with business combination transactions.
- 17 C.F.R. § 230.167Communications in connection with certain registered offerings of asset-backed securities.
- 17 C.F.R. § 230.168Exemption 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 C.F.R. § 230.169Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
- 17 C.F.R. § 230.170Prohibition of use of certain financial statements.
- 17 C.F.R. § 230.171Disclosure detrimental to the national defense or foreign policy.
- 17 C.F.R. § 230.172Delivery of prospectuses.
- 17 C.F.R. § 230.173Notice of registration.
- 17 C.F.R. § 230.174Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
- 17 C.F.R. § 230.175Liability for certain statements by issuers.
- 17 C.F.R. § 230.176Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
- 17 C.F.R. § 230.180Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
- 17 C.F.R. § 230.190Registration of underlying securities in asset-backed securities transactions.
- 17 C.F.R. § 230.191Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
- 17 C.F.R. § 230.192Conflicts of interest relating to certain securitizations.
- 17 C.F.R. § 230.193Review of underlying assets in asset-backed securities transactions.
- 17 C.F.R. § 230.194Definitions of the terms “swap” and “security-based swap” as used in the Act.
- 17 C.F.R. § 230.215Accredited investor.
- 17 C.F.R. § 230.236Exemption of shares offered in connection with certain transactions.
- 17 C.F.R. § 230.237Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts.
- 17 C.F.R. § 230.238Exemption for standardized options.
- 17 C.F.R. § 230.239Exemption for offers and sales of certain security-based swaps.
- 17 C.F.R. § 230.240Exemption for certain security-based swaps.
- 17 C.F.R. § 230.241Solicitations of interest.
- 17 C.F.R. § 230.251Scope of exemption.
- 17 C.F.R. § 230.252Offering statement.
- 17 C.F.R. § 230.253Offering circular.
- 17 C.F.R. § 230.254Preliminary offering circular.
- 17 C.F.R. § 230.255Solicitations of interest and other communications.
- 17 C.F.R. § 230.256Definition of “qualified purchaser”.
- 17 C.F.R. § 230.257Periodic and current reporting; exit report.
- 17 C.F.R. § 230.258Suspension of the exemption.
- 17 C.F.R. § 230.259Withdrawal or abandonment of offering statements.
- 17 C.F.R. § 230.260Insignificant deviations from a term, condition or requirement of Regulation A.
- 17 C.F.R. § 230.261Definitions.
- 17 C.F.R. § 230.262Disqualification provisions.
- 17 C.F.R. § 230.263Consent to service of process.
- 17 C.F.R. § 230.400Application of §§ 230.400 to 230.494, inclusive.
- 17 C.F.R. § 230.401Requirements as to proper form.
- 17 C.F.R. § 230.401aRequirements as to proper form.
- 17 C.F.R. § 230.402Number of copies; binding; signatures.
- 17 C.F.R. § 230.403Requirements as to paper, printing, language and pagination.