Source: https://www.ecfr.gov/cgi-bin/text-idx?mc=true&node=20200601y1.20
Timestamp: 2020-08-10 05:47:20
Document Index: 358114002

Matched Legal Cases: ['§230', '§230', '§230', '§239', '§239', '§239', '§249', '§249', '§249', '§249', '§274', '§249']

5. Amend §230.138 by:
a. Removing Instruction to paragraph (a)(1);
b. Adding paragraph (a)(1)(iii); and
c. Revising paragraph (a)(2)(i).
§230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
(iii) Note: If the issuer has filed a shelf registration statement under §230.415(a)(1)(x) (Rule 415(a)(1)(x)) or pursuant to General Instruction I.D. of Form S-3, General Instruction I.C. of Form F-3 (§239.13 or §239.33 of this chapter), or pursuant to General Instructions A.2 and B of Form N-2 (§§239.14 and 274.11a-1 of this chapter) with respect to multiple classes of securities, the conditions of paragraph (a)(1) of this section must be satisfied for the offering in which the broker or dealer is participating or will participate.
(i)(A) Is required to file reports, and has filed all periodic reports required during the preceding 12 months (or such shorter time that the issuer was required to file such reports) on Forms 10-K (§249.310 of this chapter), 10-Q (§249.308a of this chapter), and 20-F (§249.220f of this chapter) pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)); or
(B)(1) Is a registered closed-end investment company; and
(2) Is required to file reports, and has filed all periodic reports required during the preceding 12 months (or such shorter time that the issuer was required to file such reports) on Forms N-CSR (§§249.331 and 274.128 of this chapter), N-PORT (§274.150 of this chapter), and N-CEN (§§249.330 and 274.101 of this chapter) pursuant to Section 30 of the Investment Company Act; or