Trust Indenture Act of 1939

General Rules and Regulations

Last Updated:
•	Terms Used in the Rules and Regulations
•	Office of the Commission
•	Rules Under Section 303
•	Rules Under Section 304
•	Rules Under Section 305
•	Rules Under Section 307: Applications for Qualification of Indentures
•	General Requirements as to Form and Content of Applications, Statements and Reports
•	General
•	Formal Requirements
•	General Requirements as to Content
•	Incorporation by Reference
•	Exhibits
•	Amendments
•	Inspection and Publication of Applications, Statements and Reports
•	Rules Under Section 310
•	Rules Under Section 311
•	Rules Under Section 314

Terms Used in the Rules and Regulations

Rule 0-1. Application of definitions contained in the act.

Rule 0-2. Definitions of terms used in the rules and regulations.

Rule 0-3. Definition of "rules and regulations" as used in certain sections of the Act.

Rule 0-4. Sequential numbering of documents filed with the Commission.

Office of the Commission

Rule 0-5. Business hours of the Commission.

Rule 0-6. Nondisclosure of information obtained in the course of examinations and investigations.

Rule 0-7. Small entities for purposes of the Regulatory Flexibility Act.

Rule 0-11. Liability for certain statements by issuers.

Rule 0-12. EDGAR temporary rule.

Rules Under Section 303

Rule 3(4)-1. Definition of "commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions" in section 303(4), for certain transactions.

Rule 3(4)-2. Definition of "distribution" in section 303(4) for certain transactions.

Rule 3(4)-3. Definitions of "participates" and "participation" as used in section 303(4), in relation to certain transactions.

Rules Under Section 304

Rule 4a-1. Exempted securities under section 304(a)(8).

Rule 4a-2. Exempted securities under section 304(d).

Rule 4a-3. Exempted securities under section 304(a)(9).

Rule 4c-1. Form for applications under section 304(c).

Rule 4c-2. General requirements as to form and content of applications.

Rule 4c-3. Number of copies; filing; signatures; binding.

Rule 4c-4. Applications under section 304(c)(1).

Rule 4c-5. Applications under section 304(c)(2).

Rule 4d-7. Application for exemption from one or more provisions of the Act.

Rule 4d-8. Content.

Rule 4d-9. Exemption for Canadian Trust Indentures from Specified Provisions of the Act.

Rule 4d-10. Exemption for securities issued pursuant to § 230.802 of this chapter.

Rules Under Section 305

Rule 5a-1. Forms for statements of eligibility and qualification.

Rule 5a-2. General requirements as to form and content of statements of eligibility and qualification.

Rule 5a-3. Number of copies; filing; signatures; binding.

Rule 5b-1. Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.

Rule 5b-2. General requirements as to form and content of applications.

Rule 5b-3. Number of copies--Filing--Signatures.

Rules Under Section 307: Applications for Qualification of Indentures

Rule 7a-1. Form for application.

Rule 7a-2. Powers of agent for service named in application.

Rule 7a-3. Number of copies; filing; signatures; binding.

Rule 7a-4. Calculation of time.

Rule 7a-5. Filing of amendments; number of copies.

Rule 7a-6. Telegraphic delaying amendments.

Rule 7a-7. Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.

Rule 7a-8. Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.

Rule 7a-9. Delaying amendments.

General Requirements as to Form and Content of Applications, Statements and Reports

General

Rule 7a-15. Scope of §§ 260.7a-15 to 260.7a-37.

Formal Requirements

Rule 7a-16. Inclusion of items, differentiation between items and answers, omission of instructions.

Rule 7a-17. Quality, color and size of paper.

Rule 7a-18. Legibility.

Rule 7a-19. Margin for binding.

Rule 7a-20. Riders; inserts.

General Requirements as to Content

Rule 7a-21. Clarity.

Rule 7a-22. Information unknown or not reasonably available.

Rule 7a-23. Statements required where item is inapplicable or where answer is "none".

Rule 7a-24. Words relating to periods of time in the past.

Rule 7a-25. Words relating to the future.

Rule 7a-26. Disclaimer of control.

Rule 7a-27. Title of securities.

Incorporation by Reference

Rule 7a-28. Incorporation of matter in application, statement or report, other than exhibits, as answer to item.

Rule 7a-29. Incorporation of exhibits as such.

Rule 7a-30. Identification of material incorporated; form of incorporation.

Rule 7a-31. Incorporation by reference of contested material.

Rule 7a-32. Incorporation by reference rendering document incomplete, unclear, or confusing.

Exhibits

Rule 7a-33. Additional exhibits.

Rule 7a-34. Omission of substantially identical documents.

Amendments

Rule 7a-35. Formal requirements as to amendments.

Rule 7a-36. Signatures to amendments.

Inspection and Publication of Applications, Statements and Reports

Rule 7a-37. Inspection of applications, statements and reports.

Rules Under Section 310

Rule 10a-1. Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.

Rule 10a-2. General requirements as to form and content of applications.

Rule 10a-3. Number of copies--Filing--Signatures.

Rule 10a-4. Consent of trustee to service of process.

Rule 10a-5. Eligibility of Canadian Trustees.

Rule 10b-1. Calculation of percentages.

Rule 10b-2. Applications under section 310(b)(1)(ii).

Rule 10b-3. Applications relative to affiliations between trustees and underwriters.

Rule 10b-4. Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.

Rule 10b-5. Content.

Rule 10b-6. Notices--Exemptive Application Procedure.

Rules Under Section 311

Rule 11b-4. Definition of "cash transaction" in section 311(b)(4).

Rule 11b-6. Definition of "self-liquidating paper" in section 311(b)(6).

Rules Under Section 314

Rule 14a-1. Application of §§ 260.7a-15 to 260.7a-38.

Rule 19a-1. Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.