Source: http://www.law.cornell.edu/cfr/text/17/243.100?quicktabs_7=2
Timestamp: 2013-12-11 21:30:18
Document Index: 707194105

Matched Legal Cases: ['art 243', '§ 243', '§ 243', '§ 230', '§ 230', '§ 230', '§ 230', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 80']

17 CFR 243.100 - General rule regarding selective disclosure. | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations | LII / Legal Information Institute
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17 CFR 243.100 - General rule regarding selective disclosure.
§ 243.100
General rule regarding selective disclosure.
Whenever an issuer, or any person acting on its behalf, discloses any material nonpublic information regarding that issuer or its securities to any person described in paragraph (b)(1) of this section, the issuer shall make public disclosure of that information as provided in § 243.101(e):
Who is a broker or dealer, or a person associated with a broker or dealer, as those terms are defined in Section 3(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a));
Who is an investment adviser, as that term is defined in Section 202(a)(11) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-2(a)(11)); an institutional investment manager, as that term is defined in Section 13(f)(6)of the Securities Exchange Act of 1934 (15 U.S.C. 78m(f)(6)), that filed a report on Form 13F (17 CFR 249.325) with the Commission for the most recent quarter ended prior to the date of the disclosure; or a person associated with either of the foregoing. For purposes of this paragraph, a “person associated with an investment adviser or institutional investment manager” has the meaning set forth in Section 202(a)(17) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-2(a)(17)), assuming for these purposes that an institutional investment manager is an investment adviser;
Who is an investment company, as defined in Section 3 of the Investment Company Act of 1940 (15 U.S.C. 80a-3), or who would be an investment company but for Section 3(c)(1) (15 U.S.C. 80a-3(c)(1)) or Section 3(c)(7) (15 U.S.C. 80a-3(c)(7)) thereof, or an affiliated person of either of the foregoing. For purposes of this paragraph, “affiliated person” means only those persons described in Section 2(a)(3)(C), (D), (E), and (F) of the Investment Company Act of 1940 (15 U.S.C. 80a-2(a)(3)(C), (D), (E), and (F)), assuming for these purposes that a person who would be an investment company but for Section 3(c)(1) (15 U.S.C. 80a-3(c)(1)) or Section 3(c)(7) (15 U.S.C. 80a-3(c)(7)) of the Investment Company Act of 1940 is an investment company; or
In connection with a securities offering registered under the Securities Act, other than an offering of the type described in any of Rule 415(a)(1)(i) through (vi) under the Securities Act (§ 230.415(a)(1)(i) through (vi) of this chapter) (except an offering of the type described in Rule 415(a)(1)(i) under the Securities Act (§ 230.415(a)(1)(i) of this chapter) also involving a registered offering, whether or not underwritten, for capital formation purposes for the account of the issuer (unless the issuer's offering is being registered for the purpose of evading the requirements of this section)), if the disclosure is by any of the following means:
A notice permitted by Rule 135 under the Securities Act (§ 230.135 of this chapter);
A communication permitted by Rule 134 under the Securities Act (§ 230.134 of this chapter); or
Title 17 published on 2013-04-01no entries appear in the Federal Register after this date. 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 CodeUSC : Title 15 - COMMERCE AND TRADE§ 78c - Definitions and application§ 78i - Manipulation of security prices§ 78j - Manipulative and deceptive devices§ 78m - Periodical and other reports15 U.S.C. § - § 78w - Rules, regulations, and orders; annual reports§ 78mm - General exemptive authority15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons