Securities Act of 1933
General Rules and Regulations
| Rule 100. Definitions
of terms used in the rules and regulations. |
| Rule 110. Business
hours of the Commission. |
| Rule 111. Payment of
fees. |
| Rule 120. Inspection
of registration statements. |
| Rule 122. Non-disclosure
of information obtained in the course of examinations and investigations. |
| Rule 130. Definition
of "rules and regulations" as used in certain sections of
the Act. |
| Rule 131. Definition
of security issued under governmental obligations. |
| Rule 132. Definition
of "common trust fund" as used in section 3(a)(2) of the
Act. |
| Rule 134. Communications
not deemed a prospectus. |
| Rule 134a. Options
material not deemed a prospectus. |
| Rule 134b. Statements
of additional information. |
| Rule 135. Notice of
proposed registered offerings. |
| Rule 135a. Generic
advertising. |
| Rule 135b. Materials
not deemed an offer to sell or offer to buy nor a prospectus. |
| Rule 135c. Notice
of certain proposed unregistered offerings. |
| Rule 135d. [Reserved] |
| Rule 135e. Offshore
press conferences, meetings with issuer representatives conducted
offshore, and press-related materials released offshore. |
| Rule 136. Definition
of certain terms in relation to assessable stock. |
| Rule 137. Publications or distributions of research reports by brokers or dealers that are not participating in an issuer’s registered distribution of securities. |
| Rule 138. Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing. |
| Rule 139. Publications or distributions of research reports by brokers or dealers distributing securities. |
| Rule 139a. Publications
by brokers or dealers distributing asset-backed securities. |
| Rule 140. Definition
of "distribution" in section 2(11) for certain transactions. |
| Rule 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. |
| Rule 142. Definition
of "participates" and "participation," as used
in section 2(11), in relation to certain transactions. |
| Rule 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. |
| Rule 144. Persons deemed
not to be engaged in a distribution and therefore not underwriters. |
| Rule 144A. Private
resales of securities to institutions. |
| Rule 145. Reclassification
of securities, mergers, consolidations and acquisitions of assets. |
| Rule 146. Rules under
Section 18 of the Act. |
| Rule 147. "Part
of an issue," "person resident," and "doing business
within" for purposes of section 3(a)(11). |
| Rule 148. [Reserved] |
| Rule 149. Definition
of "exchanged" in section 3(a)(9), for certain transactions. |
| Rule 150. Definition
of "commission or other remuneration" in section 3(a)(9),
for certain transactions. |
| Rule 151. Safe harbor
definition of certain "annuity contracts or optional annuity
contracts" within the meaning of section 3(a)(8). |
| Rule 152. Definition
of "transactions by an issuer not involving any public offering"
in section 4(2), for certain transactions. |
| Rule 152a. Offer or
sale of certain fractional interests. |
| Rule 153. Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions. |
| Rule 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. |
| Rule 153b. Definition
of "preceded by a prospectus", as used in section 5(b)(2),
in connection with certain transactions in standardized options. |
| Rule 154. Delivery
of prospectuses to investors at the same address. |
| Rule 156. Investment
company sales literature. |
| Rule 157. Small entities
under the Securities Act for purposes of the Regulatory Flexibility
Act. |
| Rule 158. Definitions
of certain terms in the last paragraph of section 11(a). |
| Rule 159. Information available to purchaser at time of contract of sale. |
| Rule 159A. Certain definitions for purposes of section 12(a)(2) of the Act. |
| Rule 160. Registered
investment company exemption from Section 101(c)(1) of the Electronic
Signatures in Global and National Commerce Act. |
| Rule 161. Amendments
to rules and regulations governing exemptions. |
| Rule 162. Submission
of tenders in registered exchange offers. |
| Rule 163. Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers. |
| Rule 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. |
| Rule 164. Post-filing
free writing prospectuses in connection with certain registered offerings. |
| Rule 165. Offers made
in connection with a business combination transaction. |
| Rule 166. Exemption
from section 5(c) for certain communications in connection with business
combination transactions. |
| Rule 167. Communications
in connection with certain registered offerings of asset-backed securities. |
| Rule 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. |
| Rule 169. Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information. |
| Rule 170. Prohibition
of use of certain financial statements. |
| Rule 171. Disclosure
detrimental to the national defense or foreign policy. |
| Rule 172. Delivery of prospectuses. |
| Rule 173. Notice of registration. |
| Rule 174. Delivery
of prospectus by dealers; exemptions under section 4(3) of the Act. |
| Rule 175. Liability
for certain statements by issuers. |
| Rule 176. Circumstances
affecting the determination of what constitutes reasonable investigation
and reasonable grounds for belief under section 11 of the Securities
Act. |
| Rule 180. Exemption
from registration of interests and participations issued in connection
with certain H.R. 10 plans. |
| Rule 190. Registration
of underlying securities in asset-backed securities transactions. |
| Rule 191. Definition
of "issuer" in section 2(a)(4) of the Act in relation to asset-backed
securities. |
| Rule 215. Accredited
investor. |
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Regulation D: Rules Governing the Limited
Offer and Sale of Securities Without Registration Under the Securities
Act of 1933 (17 CFR 230.___)
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Regulation E, Regulation F,
Exemption for Certain Compensatory Benefit Plans [Omitted]
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Regulation CE: Coordinated Exemptions for
Certain Issues of Securities Exempt Under State Law (17 CFR 230.___)
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Regulation S-B: Integrated Disclosure System
for Small Business Issuers (17 CFR 228.___)
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Regulation S-K: Standard Instructions for
Filing Forms Under Securities Act of 1933, Securities Exchange Act of
1934 and Energy Policy and Conservation Act of 1975 (17 CFR 229.___)
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Subpart 200: Securities of the Registrant
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Subpart 300: Financial Information
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Subpart 400: Management and Certain Security
Holders
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Subpart 500: Registration Statement and Prospectus
Provisions
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Subpart 800: List of Industry Guides
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Subpart 1000: Mergers and Acquisitions (Regulation
M-A)
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Subpart 1100: Asset-Backed Securities (Regulation
AB)
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Regulation S-T: General Rules and Regulations
for Electronic Filings (17 CFR 232.___)
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Regulation S-X: Form and Content of and
Requirements for Financial Statements, Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment
Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy
and Conservation Act of 1975 (17 CFR 210.___)
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