Source: https://www.law.cornell.edu/cfr/text/17/232.311?quicktabs_7=2
Timestamp: 2016-02-10 13:08:54
Document Index: 399284090

Matched Legal Cases: ['art 232', '§ 232', '§ 239', '§ 232', '§ 232', '§ 249', '§ 249', '§ 232', '§ 239', '§ 239', '§ 232', '§ 239', '§ 232', '§ 232', '§ 249', '§ 249', '§ 232', '§ 239', '§ 239', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 7201', '§ 7202', 'art 232', 'art 232', 'art 232']

17 CFR 232.311 - Documents submitted in paper under cover of Form SE. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 232 › Section 232.311 17 CFR 232.311 - Documents submitted in paper under cover of Form SE.
§ 232.311
Documents submitted in paper under cover of Form SE.
Form SE (§§ 239.64, 249.444, 259.603, 269.8, and 274.403 of this chapter) shall be filed as a paper cover sheet to the following documents submitted to the Commission in paper:
Exhibits filed in paper pursuant to a hardship exemption shall be filed under cover of Form SE. See Rules 201 and 202 of Regulation S-T (§§ 232.201 and 232.202).
Exhibits to a Commission schedule filed pursuant to Section 13 or 14(d) of the Exchange Act may be filed in paper under cover of Form SE where such exhibits previously were filed in paper (prior to a registrant's becoming subject to mandated electronic filing or pursuant to a hardship exemption) and are required to be refiled pursuant to the schedule's general instructions.
A party may submit a copy of an unabridged foreign language document in paper under cover of Form SE if the electronic filing or submission includes an English summary or English translation of the foreign language document in accordance with § 232.306(b) or if permitted by the applicable form.
A foreign government or political subdivision that is not filing in electronic format an English translation of its latest annual budget submitted as Exhibit B to Form 18 (§ 249.218 of this chapter) or Exhibit (c) to Form 18-K (§ 249.318 of this chapter) must file a copy of the foreign language version of its latest annual budget in paper under cover of Form SE in accordance with § 232.306(c) of this chapter.
The Form SE shall be submitted in the following manner:
If the subject of a temporary hardship exemption is an exhibit only, the filer must file the exhibit and a Form TH (§§ 239.65, 249.447, 269.10, and 274.404 of this chapter) under cover of Form SE (§§ 239.64, 249.444, 269.8, and 274.403 of this chapter) no later than one business day after the date the exhibit was to be filed electronically.
An exhibit filed pursuant to a continuing hardship exemption, or any other document filed in paper under cover of Form SE (other than an exhibit filed pursuant to a temporary hardship exemption), as allowed by paragraphs (a) through (d) of this section, may be filed up to six business days prior to, or on the date of filing of, the electronic format document to which it relates but shall not be filed after such filing date. If a paper document is submitted in this manner, requirements that the document be filed with, provided with or accompany the electronic filing shall be satisfied.
Any requirements as to delivery or furnishing the information to persons other than the Commission shall not be affected by this section.
[58 FR 14670, Mar. 18, 1993, as amended at 59 FR 67763, Dec. 30, 1994; 61 FR 30402, June 14, 1996; 62 FR 36458, July 8, 1997; 65 FR 24801, Apr. 27, 2000; 67 FR 36700, May 24, 2002; 70 FR 1617, Jan. 7, 2005; 70 FR 43569, July 27, 2005; 76 FR 71876, Nov. 21, 2011]
§ 232.311 Documents submitted in paper under cover of Form SE.
Form SE (§§ 239.64, 249.444, 259.603, 269.8, and 274.403 of this chapter) shall be filed as a paper cover sheet to the following documents submitted to the Commission in paper: (a) Exhibits filed in paper pursuant to a hardship exemption shall be filed under cover of Form SE. See Rules 201 and 202 of Regulation S-T (§§ 232.201 and 232.202). (b) Exhibits to a Commission schedule filed pursuant to Section 13 or 14(d) of the Exchange Act may be filed in paper under cover of Form SE where such exhibits previously were filed in paper (prior to a registrant's becoming subject to mandated electronic filing or pursuant to a hardship exemption) and are required to be refiled pursuant to the schedule's general instructions.
(c) A party may submit a copy of an unabridged foreign language document in paper under cover of Form SE if the electronic filing or submission includes an English summary or English translation of the foreign language document in accordance with § 232.306(b) or if permitted by the applicable form. (d) A foreign government or political subdivision that is not filing in electronic format an English translation of its latest annual budget submitted as Exhibit B to Form 18 (§ 249.218 of this chapter) or Exhibit (c) to Form 18-K (§ 249.318 of this chapter) must file a copy of the foreign language version of its latest annual budget in paper under cover of Form SE in accordance with § 232.306(c) of this chapter.
(e) The Form SE shall be submitted in the following manner: (1) If the subject of a temporary hardship exemption is an exhibit only, the filer must file the exhibit and a Form TH (§§ 239.65, 249.447, 269.10, and 274.404 of this chapter) under cover of Form SE (§§ 239.64, 249.444, 269.8, and 274.403 of this chapter) no later than one business day after the date the exhibit was to be filed electronically.
(2) An exhibit filed pursuant to a continuing hardship exemption, or any other document filed in paper under cover of Form SE (other than an exhibit filed pursuant to a temporary hardship exemption), as allowed by paragraphs (a) through (d) of this section, may be filed up to six business days prior to, or on the date of filing of, the electronic format document to which it relates but shall not be filed after such filing date. If a paper document is submitted in this manner, requirements that the document be filed with, provided with or accompany the electronic filing shall be satisfied. (f) Any requirements as to delivery or furnishing the information to persons other than the Commission shall not be affected by this section. [58 FR 14670, Mar. 18, 1993, as amended at 59 FR 67763, Dec. 30, 1994; 61 FR 30402, June 14, 1996; 62 FR 36458, July 8, 1997; 65 FR 24801, Apr. 27, 2000; 67 FR 36700, May 24, 2002; 70 FR 1617, Jan. 7, 2005; 70 FR 43569, July 27, 2005; 76 FR 71876, Nov. 21, 2011]
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 15 - COMMERCE AND TRADE§ 77f - Registration of securities§ 77g - Information required in registration statement§ 77h - Taking effect of registration statements and amendments thereto§ 77j - Information required in prospectus§ 77s - Special powers of Commission§ 77z-3§ 77sss - Rules, regulations, and orders§ 78c - Definitions and application§ 78l - Registration requirements for securities§ 78m - Periodical and other reports§ 78n - Proxies§ 78o - Registration and regulation of brokers and dealers§ 78w - Rules, regulations, and orders; annual reports§ 78ll - Requirements for the EDGAR system§ 80a-6§ 80a-8§ 80a-29§ 80a-30§ 80a-37§ 7201 - Definitions§ 7202 - Commission rules and enforcement
Title 17 published on 2015-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 232 after this date.2015-11-16; vol. 80 # 220 - Monday, November 16, 201580 FR 71388 - Crowdfunding
2015-10-02; vol. 80 # 191 - Friday, October 2, 201580 FR 59578 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2015-24904 RIN Release Nos.33-9911 34-75918 39-2506 IC-31823 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective October 2, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 2, 2015. 17 CFR Part 232 SummaryThe Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made to add two new Security-based Swap Data Repository (SDR) submission form types; make available new exhibit EX-36 (Depositor Certification for shelf offerings of asset-backed securities) on EDGARLink Online for submission form types SF-3, SF-3/A, 8-K, and 8-K/A; accept Exhibit K and Exhibit L in eXtensible Business Reporting Language (XBRL) format for submission form types SDR, SDR/A, SDR-A, and SDR-W; consider valid XBRL file attachments if they contain multiple identically tagged XBRL facts; make documentation updates to Chapter 2 of the “EDGAR Filer Manual, Volume I: General Information” and Chapters 2, 3, and 7 of the “EDGAR Filer Manual, Volume II: EDGAR Filing” relating to Form NRSRO; and make formatting changes to “EDGAR Filer Manual, Volume I: General Information”, “EDGAR Filer Manual, Volume II: EDGAR Filing”, and “EDGAR Filer Manual, Volume III: N-SAR Supplement” for compliance with Section 508 of the U.S. Rehabilitation Act. The Filer Manual is also being revised to address software changes made previously in EDGAR. On July 10, 2015, Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a response in Item 6(d) when the “None” option has been selected on Item 6. The EDGAR system is scheduled to be upgraded to support this functionality on September 14, 2015.
2015-08-24; vol. 80 # 163 - Monday, August 24, 201580 FR 51123 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2015-20720 RIN Release Nos.33-9874 34-75586 39-2505 IC-31735 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective August 24, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 24, 2015 17 CFR Part 232 SummaryThe Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to add new NRSRO submission form types for Nationally Recognized Statistical Rating Organization filers; add new applicant types for filers to select when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Web site; make a documentation only change to Chapter 3, “Index to Forms,” of the “EDGAR Filer Manual, Volume II: EDGAR Filing,” to update submission form types SF-1 and SF-3; and make documentation only changes to “EDGAR Filer Manual, Volume I: General Information” for compliance with Section 508 of the U.S. Rehabilitation Act. The EDGAR system is scheduled to be upgraded to support this functionality on August 3, 2015. The Filer Manual is also being revised to address software changes made previously in EDGAR. On June 18, 2015, the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A in the EDGAR system were modified to display OMB information. On June 29, 2015, the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A and 1-A POS in the EDGAR system were updated to allow filers to optionally enter values in the “Name of Class (if any),” “CUSIP (if any)” and “Name of Trading Center or Quotation Medium (if any)” field if a value of zero was provided in the “Units Outstanding” field for the Common Equity, Preferred Equity, and Debt Securities; and Item 6(e) was updated to Item 6(d) on “Item 6: Unregistered Securities Issued or Sold Within One Year” for Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS. Additionally, Item 6(d) was updated to optionally allow a response if “None” is selected on “Item 6: Unregistered Securities Issues or Sold Within One Year.”
2015-07-01; vol. 80 # 126 - Wednesday, July 1, 201580 FR 37537 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction