Source: http://federal.elaws.us/cfr/title17.part230.section230.163a
Timestamp: 2019-12-11 05:41:35
Document Index: 412833063

Matched Legal Cases: ['§ 230', 'art 230', '§230', '§230', '§239', '§240', '§243']

§ 230.163A Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed., 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
(1) Communications relating to business combination transactions that are subject to Rule 165 (§230.165) or Rule 166 (§230.166);
(2) Communications made in connection with offerings registered on Form S-8 (§239.16b of this chapter), other than by well-known seasoned issuers;
(iii) An issuer for an offering of penny stock as defined in Rule 3a51-1 of the Securities Exchange Act of 1934 (§240.3a51-1 of this chapter); or
(i) An investment company registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.); or
(ii) A 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)).
(d) A communication exempt from section 5(c) of the Act pursuant to this section will not be considered to be in connection with a securities offering registered under the Securities Act for purposes of Rule 100(b)(2)(iv) of Regulation FD under the Securities Exchange Act of 1934 (§243.100(b)(2)(iv) of this chapter).