Source: http://www.law.cornell.edu/cfr/text/17/230.172?qt-cfr_tabs=1
Timestamp: 2014-09-17 03:48:26
Document Index: 705453634

Matched Legal Cases: ['art 230', '§ 230', '§ 240', '§ 230', '§ 230', '§ 230', '§ 239', 'arts 230', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 32', '§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 32', '§ 79', '§ 79', '§ 79', '§ 79', '§ 79', '§ 79', 'arts 230', 'arts 230']

17 CFR 230.172 - Delivery of prospectuses. | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 230 › Section 230.172 17 CFR 230.172 - Delivery of prospectuses.
§ 230.172
Delivery of prospectuses.
Sending confirmations and notices of allocations.
After the effective date of a registration statement, the following are exempt from the provisions of section 5(b)(1) of the Act if the conditions set forth in paragraph (c) of this section are satisfied:
Written confirmations of sales of securities in an offering pursuant to a registration statement that contain information limited to that called for in Rule 10b-10 under the Securities Exchange Act of 1934 (§ 240.10b-10 of this chapter) and other information customarily included in written confirmations of sales of securities, which may include notices provided pursuant to Rule 173 (§ 230.173); and
Notices of allocation of securities sold or to be sold in an offering pursuant to the registration statement that may include information identifying the securities (including the CUSIP number) and otherwise may include only information regarding pricing, allocation and settlement, and information incidental thereto.
Transfer of the security.
Any obligation under section 5(b)(2) of the Act to have a prospectus that satisfies the requirements of section 10(a) of the Act precede or accompany the carrying or delivery of a security in a registered offering is satisfied if the conditions in paragraph (c) of this section are met.
The registration statement relating to the offering is effective and is not the subject of any pending proceeding or examination under section 8(d) or 8(e) of the Act;
Neither the issuer, nor an underwriter or participating dealer is the subject of a pending proceeding under section 8A of the Act in connection with the offering; and
The issuer has filed with the Commission a prospectus with respect to the offering that satisfies the requirements of section 10(a) of the Act or the issuer will make a good faith and reasonable effort to file such a prospectus within the time required under Rule 424 (§ 230.424) and, in the event that the issuer fails to file timely such a prospectus, the issuer files the prospectus as soon as practicable thereafter.
The condition in paragraph (c)(3) of this section shall not apply to transactions by dealers requiring delivery of a final prospectus pursuant to section 4(3) of the Act.
This section shall not apply to any:
Offering of any investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1
Offering of any business development company as defined in section 2(a)(48) of the Investment Company Act of 1940 (15 U.S.C. 80a-2(a)(48));
A business combination transaction as defined in Rule 165(f)(1) (§ 230.165(f)(1); or
Offering registered on Form S-8 (§ 239.16b of this chapter).
[70 FR 44808, Aug. 3, 2005]
2013-12-30; vol. 78 # 250 - Monday, December 30, 201378 FR 79298 - Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
typeregulations.gov FR Doc.2013-31172 RIN Release No.33-9503 IC-30845 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective December 30, 2013. 17 CFR Parts 230 and 270 SummaryThe Securities and Exchange Commission (“Commission”) is correcting outdated cross-references in rule 602 under the Securities Act of 1933 (“Securities Act”) and rule 12b-1 under the Investment Company Act of 1940 (“Investment Company Act”) and correcting an inadvertent error in rule 17d-1 under the Investment Company Act as published in the Federal Register on January 22, 2003.
78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
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§ 77f - Registration of securities§ 77g - Information required in registration statement§ 77h - Taking effect of registration statements and amendments thereto§ 77j - Information required in prospectus15 U.S. Code § -§ 77r - Exemption from State regulation of securities offerings§ 77s - Special powers of Commission15 U.S. Code § 32, 33 - Repealed.§ 77sss - Rules, regulations, and orders§ 78c - Definitions and application§ 78d - Securities and Exchange Commission§ 78j - Manipulative and deceptive devices§ 78k - Trading by members of exchanges, brokers, and dealers15 U.S. Code § -§ 78m - Periodical and other reports§ 78n - Proxies15 U.S. Code § -§ 78p - Directors, officers, and principal stockholders§ 78t - Liability of controlling persons and persons who aid and abet violations§ 78w - Rules, regulations, and orders; annual reports15 U.S. Code § -§ 78mm - General exemptive authority15 U.S. Code § 32, 33 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.15 U.S. Code § 79 to 79z–6 - Repealed.
Statutes at Large124 Stat. 137648 Stat. 8549 Stat. 709
Title 17 published on 2013-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 230 after this date.2014-04-09; vol. 79 # 68 - Wednesday, April 9, 201479 FR 19564 - Investment Company Advertising: Target Date Retirement Fund Names and Marketing
2013-10-03; vol. 78 # 192 - Thursday, October 3, 201378 FR 61222 - Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
typeregulations.gov FR Doc.2013-24048 RIN3235-AL46 File No.S7-06-13 Release No.33-9458 Release No.34-70538 Release No.IC-30737 SECURITIES AND EXCHANGE COMMISSION, [Release No. 33-9458; Release No. 34-70538; Release No. IC-30737; File No. S7-06-13 Proposed rule; reopening of comment period. The comment period for the proposed rule published at 78 FR 44806 on July 24, 2013, is reopened until November 4, 2013. 17 CFR Parts 230 and 239 SummaryOn July 10, 2013, the Securities and Exchange Commission issued for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act in Release No. 33-9416 (July 10, 2013). In light of the public interest in the proposed amendments, the Commission is re-opening the comment period to permit interested persons additional time to analyze and comment on the proposed amendments.
78 FR 44806 - Amendments to Regulation D, Form D and Rule 156
typeregulations.gov FR Doc.2013-16884 RIN3235-AL46 Release No.33-9416 Release No.34-69960 Release No.IC-30595 File No.S7-06-13 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments should be received on or before September 23, 2013. 17 CFR Parts 230 and 239 SummaryThe Securities and Exchange Commission, which today in separate releases amended Rule 506 of Regulation D, Form D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act and Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, is publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act. These proposed amendments are intended to enhance the Commission&apos;s ability to evaluate the development of market practices in Rule 506 offerings and to address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. Specifically, the proposed amendments to Regulation D would require the filing of a Form D in Rule 506(c) offerings before the issuer engages in general solicitation; require the filing of a closing amendment to Form D after the termination of any Rule 506 offering; require written general solicitation materials used in Rule 506(c) offerings to include certain legends and other disclosures; require the submission, on a temporary basis, of written general solicitation materials used in Rule 506(c) offerings to the Commission; and disqualify an issuer from relying on Rule 506 for one year for future offerings if the issuer, or any predecessor or affiliate of the issuer, did not comply, within the last five years, with Form D filing requirements in a Rule 506 offering. The proposed amendments to Form D would require an issuer to include additional information about offerings conducted in reliance on Regulation D. Finally, the proposed amendments to Rule 156 would extend the antifraud guidance contained in the rule to the sales literature of private funds.