Source: https://www.law.cornell.edu/cfr/text/17/230.430
Timestamp: 2015-10-04 11:24:34
Document Index: 733871277

Matched Legal Cases: ['art 230', '§ 230', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274', '§ 239', '§ 274']

17 CFR 230.430 - Prospectus for use prior to effective date. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 230 › Section 230.430 17 CFR 230.430 - Prospectus for use prior to effective date.
§ 230.430
Prospectus for use prior to effective date.
A form of prospectus filed as a part of the registration statement
shall be deemed to meet the requirements of section 10
of the Act for the purpose of section
5(b)(1) thereof prior to the effective date of the registration
statement, provided such form of prospectus contains substantially the information
required by the Act and the rules and regulations thereunder to be
included in a prospectus meeting the requirements of section 10(a) of the Act for the securities being registered, or contains
substantially that information except for the omission of information with
respect to the offering price, underwriting discounts or commissions,
discounts or commissions to dealers, amount of proceeds, conversion rates, call prices, or
other matters dependent upon the offering price. Every such form of prospectus shall be deemed to have been filed as a part
of the registration statement for the purpose of section 7 of the Act.
A form of prospectus filed as part of 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 be deemed to meet the requirements of Section 10 of the Act (15 U.S.C. 77j) for the purpose of Section 5(b)(1)
thereof (15 U.S.C. 77e(b)(1)) prior to the effective date of the registration statement, provided
Such form of prospectus meets the requirements of paragraph (a) of
Such registration statement contains a form of Statement of Additional
Information that is made available to persons receiving such prospectus upon written or oral request, and without
charge, unless the form of prospectus contains the information otherwise required to
be disclosed in the form of Statement of Additional Information. Every such
form of prospectus shall be deemed to have been filed as part of
the registration statement for the purpose of section 7
[47 FR 11440, Mar. 16, 1982, as amended at 57 FR 56834, Dec. 1, 1992; 67 FR
19868, Apr. 23, 2002; 76 FR 71876, Nov.
(1) Such form of prospectus meets the requirements of paragraph (a) of this section; and (2) Such registration statement contains a form of Statement of Additional Information that is made available to persons receiving such prospectus upon written or oral request, and without charge, unless the form of prospectus contains the information otherwise required to be disclosed in the form of Statement of Additional Information. Every such form of prospectus shall be deemed to have been filed as part of the registration statement for the purpose of section 7 of the Act. [47 FR 11440, Mar. 16, 1982, as amended at 57 FR 56834, Dec. 1, 1992; 67 FR 19868, Apr. 23, 2002; 76 FR 71876, Nov. 21, 2011]