17 CFR Part 230
93 sections.
- § 230.100Definitions of terms used in the rules and regulations
- § 230.110Business hours of the Commission
- § 230.111Payment of filing fees
- § 230.120Inspection of registration statements
- § 230.122Non-disclosure of information obtained in the course of examinations and investigations
- § 230.130Definition of “rules and regulations” as used in certain sections of the Act
- § 230.131Definition of security issued under governmental obligations
- § 230.132Definition of “common trust fund” as used in section 3(a)(2) of the Act
- § 230.133Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”
- § 230.134Communications not deemed a prospectus
- § 230.134aOptions material not deemed a prospectus
- § 230.134bStatements of additional information
- § 230.135Notice of proposed registered offerings
- § 230.135aGeneric advertising
- § 230.135bMaterials not deemed an offer to sell or offer to buy nor a prospectus
- § 230.135cNotice of certain proposed unregistered offerings
- § 230.135dCommunications involving security-based swaps
- § 230.135eOffshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore
- § 230.136Definition of certain terms in relation to assessable stock
- § 230.137Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities
- § 230.138Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing
- § 230.139Publications or distributions of research reports by brokers or dealers distributing securities
- § 230.139aPublications by brokers or dealers distributing asset-backed securities
- § 230.139bPublications or distributions of covered investment fund research reports by brokers or dealers distributing securities
- § 230.140Definition of “distribution” in section 2(11) for certain transactions
- § 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
- § 230.142Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions
- § 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
- § 230.144Persons deemed not to be engaged in a distribution and therefore not underwriters
- § 230.144APrivate resales of securities to institutions
- § 230.145Reclassification of securities, mergers, consolidations and acquisitions of assets
- § 230.145aBusiness combinations with reporting shell companies
- § 230.146Rules under section 18 of the Act
- § 230.147Intrastate offers and sales
- § 230.147AIntrastate sales exemption
- § 230.148Exemption from general solicitation or general advertising
- § 230.149Definition of “exchanged” in section 3(a)(9), for certain transactions
- § 230.150Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions
- § 230.151Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8)
- § 230.152Integration
- § 230.152aOffer or sale of certain fractional interests
- § 230.153Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions
- § 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
- § 230.153bDefinition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options
- § 230.154Delivery of prospectuses to investors at the same address
- § 230.155[Reserved]
- § 230.156Investment company and registered non-variable annuity sales literature
- § 230.157Small entities under the Securities Act for purposes of the Regulatory Flexibility Act
- § 230.158Definitions of certain terms in the last paragraph of section 11(a)
- § 230.159Information available to purchaser at time of contract of sale
- § 230.159ACertain definitions for purposes of section 12(a)(2) of the Act
- § 230.160Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act
- § 230.161Amendments to rules and regulations governing exemptions
- § 230.162Submission of tenders in registered exchange offers
- § 230.163Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers
- § 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
- § 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
- § 230.164Post-filing free writing prospectuses in connection with certain registered offerings
- § 230.165Offers made in connection with a business combination transaction
- § 230.166Exemption from section 5(c) for certain communications in connection with business combination transactions
- § 230.167Communications in connection with certain registered offerings of asset-backed securities
- § 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
- § 230.169Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information
- § 230.170Prohibition of use of certain financial statements
- § 230.171Disclosure detrimental to the national defense or foreign policy
- § 230.172Delivery of prospectuses
- § 230.173Notice of registration
- § 230.174Delivery of prospectus by dealers; exemptions under section 4(3) of the Act
- § 230.175Liability for certain statements by issuers
- § 230.176Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act
- § 230.180Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans
- § 230.190Registration of underlying securities in asset-backed securities transactions
- § 230.191Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities
- § 230.192Conflicts of interest relating to certain securitizations
- § 230.193Review of underlying assets in asset-backed securities transactions
- § 230.194Definitions of the terms “swap” and “security-based swap” as used in the Act
- § 230.215Accredited investor
- § 230.400Application of §§ 230.400 to 230.494, inclusive
- § 230.480Title of securities
- § 230.481Information required in prospectuses
- § 230.482Advertising by an investment company as satisfying requirements of section 10
- § 230.483Exhibits for certain registration statements
- § 230.484Undertaking required in certain registration statements
- § 230.485Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities
- § 230.486Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies
- § 230.487Effectiveness of registration statements filed by certain unit investment trusts
- § 230.488Effective date of registration statements relating to securities to be issued in certain business combination transactions
- § 230.489Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries
- § 230.901General statement
- § 230.902Definitions
- § 230.903Offers 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
- § 230.904Offshore resales
- § 230.905Resale limitations
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.