Source: http://www.law.cornell.edu/cfr/text/17/231
Timestamp: 2013-05-25 21:21:26
Document Index: 400394063

Matched Legal Cases: ['art 231', 'art 231', 'art 231', '§ 230', '§ 230', '§ 230', '§ 230', '§ 230', '§ 230']

17 CFR Part 231 - INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations | LII / Legal Information Institute
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17 CFR Part 231 - INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER
Partial text of letter of Chief of Securities Division of Federal Trade Commission relating to section 11(e)(2)
Sept. 22, 1933
11 FR 10947.
Letter of Federal Trade Commission relating to offers of sale prior to the effective date of the registration statement
11 FR 10948.
Opinion of Federal Trade Commission relating to registration of stock issued by certain mortgage loan companies
Dec. 13, 1933
Extracts from letters of Federal Trade Commission relating to applications of various sections of the Act
11 FR 10949.
Extract from letter of Federal Trade Commission discussing availability of a “broker's exemption” to the customer of the broker
Mar. 13, 1934
11 FR 10951.
Statement by Federal Trade Commission discussing the amendment of the Securities Act to include fractional undivided interests in oil, gas or other mineral rights in the definition of security
Statement by Federal Trade Commission relating to the availability of an exemption from registration where a secondary distribution involves sales outside the State of incorporation
11 FR 10952.
Letter of General Counsel discussing factors to be considered in determining the availability of the exemption from registration provided by the second clause of section 4(1)
Letter of General Counsel discussing the availability of an exemption from registration for securities issued in exchange for other securities where terms of the issuance and exchange are subject to approval by a State public utility commission
Mar. 15, 1935
11 FR 10953.
Letter of General Counsel discussing availability of an exemption from registration for collateral trust notes
Letter of General Counsel discussing distribution by statistical service of bulletins and circulars describing securities for which registration statements have been filed
Letter of General Counsel discussing the availability of an exemption from registration for the issuance of securities under deposit agreements where solicitations under the agreements were begun prior to the effective date of the registration requirements of the Securities Act
11 FR 10955.
Letter of General Counsel discussing the availability of exemption from registration of the second clause of section 4(1)
Dec. 16, 1935
Letters of General Counsel discussing application of section 3(a)(9)
Feb. 3, 1936
11 FR 10956.
Letter by General Counsel discussing circulation by underwriters and dealers of summaries of information contained in registration statements prior to the effective date of such statements
11 FR 10957.
Letter of General Counsel discussing the application of section 5(b)(2)
Opinion of the Director of the Division of Forms and Regulations relating to Rule 821(a) (17 CFR 230.821(a))
Letter of General Counsel discussing whether a sale of a security is involved in the payment of a dividend
Letter of General Counsel discussing solicitation by financial and security houses of brokerage orders for the purchase of securities prior to the effective date of a registration statement for such securities
11 FR 10958.
Opinion of the Director of the Division of Forms and Regulations discussing the definition of “parent” as used in various forms under Securities Act of 1933 and Securities Exchange Act of 1934
Letter of General Counsel discussing nature of exemption from registration provided by section 3(a)(11)
11 FR 10959.
Letter of the Director of the Division of Forms and Regulations relating to Rule 821(a) (17 CFR 230.821(a))
11 FR 10961.
Opinion of General Counsel relating to Rule 142 (17 CFR 230.142)
11 FR 10962.
Letter of General Counsel concerning the services of former employees of the Commission in connection with matters with which such employees became familiar during their course of employment with the Commission
11 FR 10963.
Letter of General Counsel relating to sections 3(a)(9) and 4(1)
Statement of Commission policy with respect to the acceleration of the effective date of registration statements
11 FR 10964.
Opinion of General Counsel concerning the application of the third clause of section 4(1) in various situations
Extract from letter of Director of the Corporation Finance Division
11 FR 10965.
Opinion of Director of the Trading and Exchange Division relating to the violation of the anti-fraud provisions of the Securities Act by manipulation of prices of securities not registered on a national securities exchange
Opinion of Director of the Trading and Exchange Division relating to the violation of the anti-fraud provisions of the Securities Act in cases of a “syndicate account” while members of the syndicate or selling group are engaged in the retail distribution of such security
Statement of the Commission relating to the anti-fraud provisions of section 17(a) of the Securities Act of 1933 and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934
Opinion of Chief Counsel to the Corporation Finance Division relating to section 3(a)(10)
11 FR 10966.
Statement by Commission relating to section 3(a)(10)
Opinion of Director of the Trading and Exchange Division relating to section 206 of the Investment Advisers Act of 1940, section 17(a) of the Securities Act of 1933, and sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934
Statement of Commission policy as to acceleration of the effective date of a registration statement where a selling stockholder does not bear his equitable proportion of the expense of registration
Statement of Commission policy as to the acceleration of the effective date of a registration statement in cases where an inadequate “red herring” prospectus has been issued
Statement by Commission with respect to representations that the Commission has approved the price of a security offered to the public under a registration statement
Jan. 24, 1946
11 FR 10967.
Statements of the Commission accompanying adoption of § 230.131 (Rule 131)
11 FR 14726.
Letter of the Director of the Corporation Finance Division regarding registration under the Securities Act of 1933 of certain warrants
Apr. 9, 1947
12 FR 2513.
Opinion of General Counsel relating to “when-issued” trading
14 FR 2831.
Statement of the Commission relating to § 230.220(i) of this chapter
15 FR 8965.
Statements of the Commission respecting purpose of § 230.132 (Rule 132); respecting acceleration of identifying statements and proposed prospectuses pursuant to § 230.131 and § 230.132 (Rules 131 and 132); and respecting acceleration policy where there has been no bona fide effort to prepare a reasonably concise and readable prospectus
17 FR 8900.
Statement of the Commission relating to publication of information prior to or after the effective date of a registration statement
22 FR 8359.
Statement of the Commission concerning the interpretation and application of § 230.133 (Rule 133)
22 FR 8361.
Statement of the Commission regarding trading stamps
23 FR 498.
23 FR 840.
25 FR 12177.
Statement of the Commission concerning interpretation of section 39(a)(3) of the Securities Act of 1933
26 FR 9158.
Statement of the Commission concerning exemption for local offerings from registration
26 FR 11896.
Statement of the Commission in regard to the wide variation of certificates used by independent accountants in their registration statements concerning verification of inventories (income statements) of prior years in first audits
27 FR 2312.
Statement of the Commission in regard to the increase of time between the filing and the effective dates of a substantial volume of registration statements and suggested assistance to issuers, counsels, and others preparing registration statements to remedy this delay
27 FR 3990.
Opinion of the Commission that “Equity Funding”, “Secured Funding”, or “Life Funding” constitutes an investment contract and when publicly offered is required to be registered under the Securities Act of 1933
Statement of the Commission regarding limitations of the availability of so-called “private offering exemption.”
27 FR 11316.
Statement of the Commission showing circumstances in 7 cases where profits in real estate transactions were not earned at time transactions were recorded but that the sales were designed to create the illusion of profits or value as a basis for the sales of securities
Commission's publication of policies and practices of its Division of Corporation Finance to be used as guide for preparation and filing of registration statements
29 FR 2490.
Statement of the Commission explaining the operation of section 5 of the Securities Act of 1933 in the offer and sale of securities by underwriters and dealers prior to and after the filing of a registration statement
29 FR 7317.
Letter of Chief Counsel of Division of Corporation Finance recommending against proposed amendment to Rule 134 under the Securities Act of 1933 (17 CFR 230.134) with specific interpretations valuable to would be users of “tombstone” advertisements
29 FR 9827.
Statement of the Commission re the registration of securities purchased through employee stock purchase plans and warning that plans not subject to registration should be limited to securities of reliable companies
30 FR 9059.
Restatement (superseding Release No. 4669) of the Commission alerting the financial community to the limitations of Rule 154 (17 CFR 230.154) under the Securities Act of 1933
31 FR 2544.
Request by the Commission to issuers to use language that can be understood readily by employees in prospectuses for securities registered under the Securities Act of 1933 on Form S-8 (17 CFR 239.16b)
31 FR 10667.
Statement of the Commission prepared in conjunction with Maryland, Virginia, and District of Columbia authorities re applicability of Federal Securities Laws as to registration requirements and antifraud provisions in real estate syndications
32 FR 11705.
Statement of the Commission clarifying that industrial revenue bonds sold under Rule 131 (17 CFR 230.131) and Rule 3b-5 (17 CFR 240.3b-5) are not effected if acquired and paid for by the underwriters on or before December 31, 1968
Statement of the Commission setting forth certain procedures for the staff of its Division of Corporation Finance to adopt in order to expedite the filing of registration statements
33 FR 17900.
IC-5554
Guides for preparation and filing of registration statements under the Securities Act of 1933
33 FR 18617.
Letter of Chief Counsel of Division of Corporate Regulation setting forth the Commission's interpretation as to references to certain financial services in “Tombstone” advertisements
Proposed guide for prospective registrants re the use of misleading names
Apr. 7, 1969
34 FR 6575.
Declaration of the Commission that prior delivery of preliminary prospectus to underwriters and dealers will accelerate the effective date of a registration statement
Apr. 24, 1969
34 FR 7235.
Policy of Commission's Division of Corporation Finance to send only one letter of comments re registration statement to the issuer or its counsel and one to the principal underwriter or its counsel if there are underwriters
34 FR 7613.
Commission's proposed guide for prospectuses relating to public offering of interests in oil and gas drilling programs to assist issuers in preparing registration statements and to help investors in understanding and analysis
34 FR 14125.
Proposed guide for prospective registrants re the use of misleading names adopted unchanged
Sept. 17, 1969
34 FR 15245.
Interpretations by the Commission re the publication of information prior to or after filing of a registration statement, and also re its proposal to amend Rule 174 to change effective date restrictions of the existing prospectus delivery requirements
34 FR 16870.
The Commission's views re preparation of prospectuses relating to public offerings of interests in oil and gas programs are represented by Guide No. 55 set forth here and in Securities Act Release No. 4936 rather than the proposed guide in Securities Act Release No. 5001
35 FR 1233.
Conclusion by the Commission that a registration statement will be considered defective under the 1933 Act when the certificate does not meet the requirements of 17 CFR 210.2-02 because the accountant qualifies his opinion due to doubt as to whether the company will continue as a going concern
35 FR 4121.
Publication by the Commission of a registration guide relating to the interest of legal counsel and experts in the registrant
35 FR 16919.
Commission's Guide No. 58 requiring disclosure in prospectus of address and telephone number of the registrant's principal executive offices
Commission's statement re exemption of certain industrial revenue bonds from registration, etc. requirements in view of amendment of Securities Act of 1933 and of Securities Exchange Act of 1934 by “section 401” (PL 91-373)
Commission's statement setting forth its policy on use of legends and stop-transfer instructions as evidence of nonpublic offering
Dec. 30, 1970
36 FR 1525.
Third in a series of statements by the Commission on problems arising under PL 91-547 re registration and regulation of insurance company separate accounts used as funding vehicles for certain employee stock bonus, pension and profit sharing plans
34-9143
36 FR 8238.
36 FR 13989.
Commission's authorization of publication of amended Registration Guide No. 8 which sets forth the policy of the Commission's Division of Corporation Finance with respect to pictorial or graphic representations in prospectives
36 FR 13915.
Commission's guidelines for release of information by issuers whose securities are “in registration”
36 FR 16506.
Publication by the Commission of a registration guide relating to “insurance premium funding” programs
36 FR 22013.
Commission's statement concerning offering and sale of securities in nonpublic offerings and applicability of antifraud provisions of securities acts
Commission's statement of procedures followed by the staff of its Division of Corporation Finance in examining registration statements; request to issuers to follow certain procedures to expedite registration
Mar. 2, 1972
37 FR 4327.
Commission's guides for preparation and filing of registration statements
37 FR 15986.
Commission's procedures for processing post effective amendments filed by all registered investment companies
37 FR 20317.
Interpretations of rules concerning underwriters by the Commission's Corporate Finance Division
37 FR 23180.
Commission's interpretation of risk-sharing test in pooling of interest accounting
Commission's statement to builders and sellers of condominiums of their obligations under the Securities Act
38 FR 1735.
Commission's policy on the use of “sales literature” in Investment Company prospectuses
Commission's guidelines on advertising and sales practices in connection with offers and sales of securities involving Condominium Units and other Units in real estate development
Apr. 18, 1973
38 FR 9587.
Commission's guidelines on preparation and filing of registration statements
38 FR 17200.
Commission's statement calling attention to requirements for completing and filing of Form 144
38 FR 17715.
Commission expresses concern with failure of issuers to timely and properly file periodic and current reports
Commission's statement on exceptions for filing registration statements for variable life insurance contracts
38 FR 22121.
Commission's conclusions as to certain problems relating to the effect of treasury stock transactions on accounting for business combinations
Commission requests comments on Accounting Series Release No. 146
Commission views and positions with respect to Rule 145 and related matters
Mar. 22, 1974
39 FR 10891.
Apr. 25, 1974
Commission's revised position concerning dividend reinvestment plans
Commission's requirements for financial statements
Statements of Investment Policies of Money Market Funds Relating to Industry Concentration
Publication of guide for preparation of registration statements relating to interests in real estate limited partnerships
41 FR 17374.
41 FR 39010.
Registration statements (not including post-effective amendments)
Sept. 14, 1976Oct. 26, 1976
41 FR 39013.41 FR 46851.
Guide for preparation of registration statements relating to interests in real estate limited partnerships
41 FR 43398.
Guides for preparation and filing of registration statements
57916049
Dec. 28, 1976Apr. 3, 1979
41 FR 56306.44 FR 21567.
Commission amends the general instructions to a short form registration statement
42 FR 22139.
Recission of certain accounting
Guide for reports or memoranda concerning registrants
43 FR 20484.
Prospectus delivery requirements in special offerings to mutual fund shareholders
Withdrawal of statement of policy on investment company sales literature
44 FR 21007.
44 FR 21626.
Commission recommends certain techniques in drafting trust indentures to the attention of persons registering offerings of debt securities under the Securities Act of 1933
44 FR 43466.
Resales of restricted and other securities
44 FR 46752.
No action position respecting public offerings of debt securities registered on Form S-18 without qualification of an indenture under the Trust Indenture Act
Disclosure of management remuneration by certain foreign private issuers
44 FR 70130.
Employee benefit plans; interpretation of statute
45 FR 8962.
Effect of credit controls on the operations of certain registered investment companies including money market funds
Amendments to guides for statistical disclosure by bank holding companies
45 FR 47140.
Amendments to annual report form, related forms, rules, regulations and guides; integration of Securities' Acts Disclosure System
45 FR 63644.
Uniform instructions as to financial statements—regulation S-X
45 FR 63692.
Delayed offerings by foreign governments or political subdivisions thereof
45 FR 72644.
Procedures utilized by the division of corporation finance for rendering informal advice
46 FR 8446.
Recission of Guides and Redesignation of Industry Guides
47 FR 11480.
Revisions to the Division of Corporation Finance's Guide 5 and Amendment of Related Disclosure Provisions
47 FR 25122.
Continuous and Delayed Offerings by Foreign Governments or Political Subdivisions thereof
Sept. 2, 1982
47 FR 39809.
Supplemental disclosures of oil and gas producing activities
47 FR 57914.
48 FR 10045.
Revision of Financial Statement Requirements and Industry Guide Disclosure for Bank Holding Companies
48 FR 11113.
48 FR 37613.
Rules and Guide for Disclosures Concerning Reserves for Unpaid Claims and Claim Adjustment Expenses of Property-Casualty Underwriters
49 FR 47594.
Securities Issued or Guaranteed by United States Branches or Agencies of Foreign Banks
Amendments to Industry Guide Disclosures by Bank Holding Companies
51 FR 43594.
53 FR 29226.
54 FR 5600.
Acceptability in Financial Statements of an Accounting Standard Permitting the Return of a Nonaccrual Loan to Accrual Status After a Partial Charge-off
56 FR 37000.
Problematic Practices Under Regulation S
60 FR 35666.
Use of Electronic Media by Broker-Dealers
Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions, or Advertise Investment Services Offshore
63 FR 14813.
Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
65 FR 25843.
66 FR 49274.
Commission Guidance and Rules to Trading in Security Future Products
67 FR 43246.
68 FR 75065.
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
69 FR 29066.
70 FR 19677.
70 FR 73345.
73 FR 60088.
74 FR 42773.
75 FR 6297.
75 FR 59897.