17 CFR Part 230

§ 230.100 Definitions of terms used in the rules and regulations.

§ 230.110 Business hours of the Commission.

§ 230.111 Payment of filing fees.

§ 230.120 Inspection of registration statements.

§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations.

§ 230.130 Definition of “rules and regulations” as used in certain sections of the Act.

§ 230.131 Definition of security issued under governmental obligations.

§ 230.132 Definition of “common trust fund” as used in section 3(a)(2) of the Act.

§ 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.

§ 230.134 Communications not deemed a prospectus.

§ 230.134a Options material not deemed a prospectus.

§ 230.134b Statements of additional information.

§ 230.135 Notice of proposed registered offerings.

§ 230.135a Generic advertising.

§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.

§ 230.135c Notice of certain proposed unregistered offerings.

§ 230.135d Communications involving security-based swaps.

§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.

§ 230.136 Definition of certain terms in relation to assessable stock.

§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.

§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.

§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.

§ 230.139a Publications by brokers or dealers distributing asset-backed securities.

§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.

§ 230.140 Definition of “distribution” in section 2(11) for certain transactions.

§ 230.141 Definition 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.

§ 230.142 Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.

§ 230.143 Definition 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.

§ 230.144 Persons deemed not to be engaged in a distribution and therefore not underwriters.

§ 230.144A Private resales of securities to institutions.

§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.

§ 230.145a Business combinations with reporting shell companies.

§ 230.146 Rules under section 18 of the Act.

§ 230.147 Intrastate offers and sales.

§ 230.147A Intrastate sales exemption.

§ 230.148 Exemption from general solicitation or general advertising.

§ 230.149 Definition of “exchanged” in section 3(a)(9), for certain transactions.

§ 230.150 Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.

§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).

§ 230.152 Integration.

§ 230.152a Offer or sale of certain fractional interests.

§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.

§ 230.153a Definition 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.

§ 230.153b Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.

§ 230.154 Delivery of prospectuses to investors at the same address.

§ 230.155 [Reserved]

§ 230.156 Investment company and registered non-variable annuity sales literature.

§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.

§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).

§ 230.159 Information available to purchaser at time of contract of sale.

§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.

§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.

§ 230.161 Amendments to rules and regulations governing exemptions.

§ 230.162 Submission of tenders in registered exchange offers.

§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.

§ 230.163A Exemption 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.

§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.

§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.

§ 230.165 Offers made in connection with a business combination transaction.

§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.

§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.

§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.

§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.

§ 230.170 Prohibition of use of certain financial statements.

§ 230.171 Disclosure detrimental to the national defense or foreign policy.

§ 230.172 Delivery of prospectuses.

§ 230.173 Notice of registration.

§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.

§ 230.175 Liability for certain statements by issuers.

§ 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.

§ 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.

§ 230.190 Registration of underlying securities in asset-backed securities transactions.

§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.

§ 230.192 Conflicts of interest relating to certain securitizations.

§ 230.193 Review of underlying assets in asset-backed securities transactions.

§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.

§ 230.215 Accredited investor.

§ 230.400 Application of §§ 230.400 to 230.494, inclusive.

§ 230.480 Title of securities.

§ 230.481 Information required in prospectuses.

§ 230.482 Advertising by an investment company as satisfying requirements of section 10.

§ 230.483 Exhibits for certain registration statements.

§ 230.484 Undertaking required in certain registration statements.

§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.

§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.

§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.

§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.

§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.

§ 230.901 General statement.

§ 230.902 Definitions.

§ 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.

§ 230.904 Offshore resales.

§ 230.905 Resale limitations.