Source: http://federal.elaws.us/cfr/title17.part230.section230.135c
Timestamp: 2019-12-07 21:31:50
Document Index: 769817434

Matched Legal Cases: ['§ 230', 'art 230', '§240', '§249', '§249', '§240', '§249', '§249', '§240']

§ 230.135c Notice of certain proposed unregistered offerings., Part 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933, CHAPTER II — SECURITIES AND EXCHANGE COMMISSION, Title 17 - Commodity and Securities Exchange, Code of Federal Regulations
(a) For the purposes only of section 5 of the Act, a notice given by an issuer required to file reports pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 or a foreign issuer that is exempt from registration under the Securities Exchange Act of 1934 pursuant to §240.12g3-2(b) of this chapter that it proposes to make, is making or has made an offering of securities not registered or required to be registered under the Act shall not be deemed to offer any securities for sale if:
(2) Such notice states that the securities offered will not be or have not been registered under the Act and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements; and
(c) Notwithstanding the provisions of paragraphs (a) and (b) of this section, in the case of a rights offering of a security listed or subject to unlisted trading privileges on a national securities exchange or quoted on the NASDAQ inter-dealer quotation system information with respect to the interest rate, conversion ratio and subscription price may be disseminated through the facilities of the exchange, the consolidated transaction reporting system, the NASDAQ system or the Dow Jones broad tape, provided such information is already disclosed in a Form 8-K (§249.308 of this chapter) on file with the Commission, in a Form 6-K (§249.306 of this chapter) furnished to the Commission or, in the case of an issuer relying on §240.12g3-2(b) of this chapter, in a submission made pursuant to that Section to the Commission.
(d) The issuer shall file any notice contemplated by this section with the Commission under cover of Form 8-K (§249.308 of this chapter) or furnish such notice under Form 6-K (§249.306 of this chapter), as applicable, and, if relying on §240.12g3-2(b) of this chapter, shall furnish such notice to the Commission in accordance with the provisions of that exemptive Section.
[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006