Source: https://www.law.cornell.edu/cfr/text/17/230.495
Timestamp: 2017-02-21 10:01:00
Document Index: 446734979

Matched Legal Cases: ['art 230', 'art 230', '§ 230', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 230', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', 'art 230', 'arts 200', 'arts 210', 'arts 210', 'arts 229', 'arts 229', 'arts 230', 'arts 210']

17 CFR 230.495 - Preparation of registration statement. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 230 › Section 230.495 17 CFR 230.495 - Preparation of registration statement.
There are 3 Updates appearing in the Federal Register for 17 CFR Part 230. View below or at eCFR (GPOAccess)
§ 230.495 Preparation of registration statement.
(a) A registration statement on Form N-1A ( § 239.15A and § 274.11A of this chapter), Form N-2 ( § 239.14 and § 274.11a-1 of this chapter), Form N-3 ( § 239.17a and § 274.11b of this chapter), Form N-4 ( § 239.17b and § 274.11c of this chapter), or Form N-6 ( § 239.17c and § 274.11d of this chapter), shall consist of the facing sheet of the applicable form; a prospectus containing the information called for by such form; the information, list of exhibits, undertakings and signatures required to be set forth in such form; financial statements and schedules; exhibits; and other information or documents filed as part of the registration statement; and all documents or information incorporated by reference in the foregoing (whether or not required to be filed).
(b) All general instructions, instructions to items of the form, and instructions as to financial statements, exhibits, or prospectuses are to be omitted from the registration statement in all cases.
(c) In the case of a registration statement filed on Form N-1A ( §§ 239.15A and 274.11A of this chapter), Form N-2 ( §§ 239.14 and 274.11a-1 of this chapter), Form N-3 ( §§ 239.17a and 274.11b of this chapter), Form N-4 ( §§ 239.17b and 274.11c of this chapter), or Form N-6 ( §§ 239.17c and 274.11d of this chapter), Parts A and B shall contain the information called for by each of the items of the applicable Part, except that unless otherwise specified, no reference need be made to inapplicable items, and negative answers to any item may be omitted. Copies of Parts A and B may be filed as part of the registration statement in lieu of furnishing the information in item-and-answer form. Wherever such copies are filed in lieu of information in item-and-answer form, the text of the items of the form is to be omitted from the registration statement, as well as from Parts A and B, except to the extent provided in paragraph (d) of the section. (d) In the case of a registration statement filed on Form N-1A ( §§ 239.15A and 274.11A of this chapter), Form N-2 ( §§ 239.14 and 274.11a-1 of this chapter), Form N-3 ( §§ 239.17a and 274.11b of this chapter), Form N-4 ( §§ 239.17b and 274.11c of this chapter), or Form N-6 ( §§ 239.17c and 274.11d of this chapter), where any item of those forms calls for information not required to be included in Parts A and B (generally Part C of such form), the text of such items, including the numbers and captions thereof, together with the answers thereto, shall be filed with Parts A or B under cover of the facing sheet of the form as part of the registration statement. However, the text of such items may be omitted, provided the answers are so prepared as to indicate the coverage of the item without the necessity of reference to the text of the item. If any such item is inapplicable, or the answer thereto is in the negative, a statement to that effect shall be made. Any financial statements not required to be included in Parts A and B shall also be filed as part of the registration statement proper, unless incorporated by reference pursuant to § 230.411.
(e)Electronic filings. When ascertaining the date of filing, electronic filers should not presume a registration statement has been accepted until notice of acceptance has been received from the Commission. (Securities Act of 1933)
[ 48 FR 37938, Aug. 22, 1983, as amended at 50 FR 26159, June 25, 1985; 57 FR 56834, Dec. 1, 1992; 58 FR 14859, Mar. 18, 1993; 63 FR 13943, Mar. 23, 1998; 64 FR 27894, May 21, 1999; 67 FR 19869, Apr. 23, 2002] 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§ 77b - Definitions; promotion of efficiency, competition, and capital formation§ 77b note - Definitions; promotion of efficiency, competition, and capital formation§ 77c - Classes of securities under this subchapter§ 77d - Exempted transactions§ 77d note - Exempted transactions§ 77f - Registration of securities§ 77g - Information required in registration statement§ 77h - Taking effect of registration statements and amendments thereto§ 77j - Information required in prospectus§ 77r - Exemption from State regulation of securities offerings§ 77s - Special powers of Commission§ 77z-3§ 77sss - Rules, regulations, and orders§ 78c - Definitions and application§ 78d - Securities and Exchange Commission§ 78j - Manipulative and deceptive devices§ 78l - Registration requirements for securities§ 78m - Periodical and other reports§ 78n - Proxies§ 78o - Registration and regulation of brokers and dealers§ 78t - Liability of controlling persons and persons who aid and abet violations§ 78w - Rules, regulations, and orders; annual reports§ 78ll - Requirements for the EDGAR system§ 78mm - General exemptive authority§ 78o-7 note§ 80a-8§ 80a-24§ 80a-28§ 80a-29§ 80a-30§ 80a-37
Title 17 published on 2015-12-04The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 230 after this date.2016-11-21; vol. 81 # 224 - Monday, November 21, 201681 FR 83494 - Exemptions To Facilitate Intrastate and Regional Securities Offerings
typeregulations.gov FR Doc.2016-26348 RIN3235-AL80 File No.S7-22-15 Release Nos.33-10238 34-79161 SECURITIES AND EXCHANGE COMMISSION Final rules. Effective date: Revised 17 CFR 230.147 (Rule 147) and new 17 CFR 230.147A (Rule 147A) will be effective on April 20, 2017. The amendments to 17 CFR 230.504 (Rule 504) and 17 CFR 200.30-1 (Rule 30-1) will be effective on January 20, 2017. The removal of 17 CFR 230.505 (Rule 505) will be effective on May 22, 2017. All other amendments in this rule will be effective on May 22, 2017. Comment date: Comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before January 20, 2017. 17 CFR Parts 200, 230, 239, 240, 249, 270 and 275 SummaryWe are adopting amendments to modernize Rule 147 under the Securities Act of 1933, which provides a safe harbor for compliance with the Section 3(a)(11) exemption from registration for intrastate securities offerings. We are also establishing a new intrastate offering exemption under the Securities Act, designated Rule 147A, which will be similar to amended Rule 147, but will have no restriction on offers and will allow issuers to be incorporated or organized outside of the state in which the intrastate offering is conducted provided certain conditions are met. The amendments to Rule 147 and new Rule 147A are designed to facilitate capital formation, including through offerings relying upon intrastate crowdfunding provisions under state securities laws, while maintaining appropriate investor protections and providing state securities regulators with the flexibility to add additional investor protections they deem appropriate for offerings within their state. We also are adopting amendments to Rule 504 of Regulation D under the Securities Act to facilitate issuers&apos; capital raising efforts and provide additional investor protections. The amendments to Rule 504 will increase the aggregate amount of securities that may be offered and sold in any twelve-month period from $1 million to $5 million and disqualify certain bad actors from participation in Rule 504 offerings. In light of these amendments to Rule 504, we are also repealing Rule 505.
2016-09-29; vol. 81 # 189 - Thursday, September 29, 201681 FR 66898 - Extension of Comment Period for Disclosure Update and Simplification
typeregulations.gov FR Doc.2016-23489 RIN3235-AL82 Release No.33-10220 34-78926 IC-32281 File No.S7-15-16 SECURITIES AND EXCHANGE COMMISSION Extension of comment period. Comments should be received on or before November 2, 2016. 17 CFR Parts 210, 229, 230, 239, 240, 249, and 274 SummaryThe Securities and Exchange Commission is extending the comment period for a proposal to amend certain of its disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles (“U.S. GAAP”), International Financial Reporting Standards (“IFRS”), or changes in the information environment [Release No. 33-10110; 34-78310; IC-32175; 81 FR 51607 (July 13, 2016)]. The release also solicits comment on certain Commission disclosure requirements that overlap with, but require information incremental to, U.S. GAAP to determine whether to retain, modify, eliminate, or refer them to the Financial Accounting Standards Board for potential incorporation into U.S. GAAP. The original comment period is scheduled to end on October 3, 2016. The Commission is extending the time period in which to provide the Commission with comments until November 2, 2016. This action will allow interested persons additional time to analyze the issues and prepare their comments.
2016-08-04; vol. 81 # 150 - Thursday, August 4, 201681 FR 51608 - Disclosure Update and Simplification
typeregulations.gov FR Doc.2016-16964 RIN3235-AL82 File No.S7-15-16 Release No.33-10110 34-78310 IC-32175 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before October 3, 2016. 17 CFR Parts 210, 229, 230, 239, 240, 249, and 274 SummaryWe are proposing amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles (“U.S. GAAP”), International Financial Reporting Standards (“IFRS”), or changes in the information environment. We are also soliciting comment on certain Commission disclosure requirements that overlap with, but require information incremental to, U.S. GAAP to determine whether to retain, modify, eliminate, or refer them to the Financial Accounting Standards Board (“FASB”) for potential incorporation into U.S. GAAP. The proposed amendments are intended to facilitate the disclosure of information to investors, while simplifying compliance efforts, without significantly altering the total mix of information provided to investors. These proposals are part of an initiative by the Division of Corporation Finance to review disclosure requirements applicable to issuers to consider ways to improve the requirements for the benefit of investors and issuers. We are also issuing these proposals as part of our efforts to implement title LXXII, section 72002(2) of the Fixing America&apos;s Surface Transportation Act.
2016-07-01; vol. 81 # 127 - Friday, July 1, 201681 FR 43130 - Amendments to Smaller Reporting Company Definition
typeregulations.gov FR Doc.2016-15674 RIN3235-AL90 Release No.33-10107 34-78168 File No.S7-12-16 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 30, 2016. 17 CFR Parts 229, 230, and 240 SummaryWe are proposing amendments to the definition of “smaller reporting company” as used in our rules and regulations. The proposed amendments, which would expand the number of registrants that qualify as smaller reporting companies, are intended to promote capital formation and reduce compliance costs for smaller registrants, while maintaining investor protections. Registrants with less than $250 million in public float would qualify, as would registrants with zero public float if their revenues were below $100 million in the previous year.
2016-06-22; vol. 81 # 120 - Wednesday, June 22, 201681 FR 40511 - Asset-Backed Securities Disclosure and Registration
typeregulations.gov FR Doc.2016-14730 RIN File No.S7-08-10 Release Nos.33-10099 34-78088 SECURITIES AND EXCHANGE COMMISSION Technical amendment. Effective June 22, 2016. 17 CFR Parts 229, 230, 239 and 249 SummaryThis release makes technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. These technical amendments are being published to restore rule text that was inadvertently changed, revise outdated cross-references, and make other technical corrections.
2016-05-10; vol. 81 # 90 - Tuesday, May 10, 201681 FR 28689 - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
typeregulations.gov FR Doc.2016-10746 RIN3235-AL40 File No.S7-12-14 Release No.33-10075 34-77757 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective June 9, 2016. 17 CFR Parts 230 and 240 SummaryWe are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act (the “JOBS Act”) and Title LXXXV of the Fixing America&apos;s Surface Transportation Act (the “FAST Act”). The amendments revise our rules to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were set forth in the JOBS Act and the FAST Act. In addition, the amendments revise the definition of “held of record” in Rule 12g5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), in accordance with the JOBS Act, to exclude certain securities held by persons who received them pursuant to employee compensation plans and establish a non-exclusive safe harbor for determining whether securities are “held of record” for purposes of registration under Exchange Act Section 12(g).
2016-04-22; vol. 81 # 78 - Friday, April 22, 201681 FR 23916 - Business and Financial Disclosure Required by Regulation S-K
typeregulations.gov FR Doc.2016-09056 RIN3235-AL78 Release No.33-10064 34-77599 File No.S7-06-16 SECURITIES AND EXCHANGE COMMISSION Concept release. Comments should be received on or before July 21, 2016. 17 CFR Parts 210, 229, 230, 232, 239, 240 and 249 SummaryThe Commission is publishing this concept release to seek public comment on modernizing certain business and financial disclosure requirements in Regulation S-K. These disclosure requirements serve as the foundation for the business and financial disclosure in registrants&apos; periodic reports. This concept release is part of an initiative by the Division of Corporation Finance to review the disclosure requirements applicable to registrants to consider ways to improve the requirements for the benefit of investors and registrants.
Title 17 published on 2015-12-04.The following are only the Rules published in the Federal Register after the published date of Title 17.For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.2016-11-21; vol. 81 # 224 - Monday, November 21, 201681 FR 83494 - Exemptions To Facilitate Intrastate and Regional Securities Offerings