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aggregate P/C statutory reserves for claims and claim adjustment expenses as of the latest calendar year end should be disclosed in a note to those Schedules.

Secs, 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 8, 68 Stat. 685; sec. 1, 79 Stat. 1051; sec. 308(a)(2), 90 Stat. 57; secs. 12, 13, 15(d), 23(a), 48 Stat. 892, 894, 895, 901; secs. 1, 3, 8, 49 Stat. 1375, 1377, 1379; sec. 203(a), 49 Stat. 704; sec. 202, 68 Stat. 686; secs. 3, 4, 6, 78 Stat. 565-568, 569, 570-574; secs. 1, 2, 82 Stat, 454; sec. 28(c), 84 Stat. 1435; secs. 1, 2, 84 Stat. 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 18, 89 Stat. 117, 118, 119, 155; sec. 308(b), 90 Stat. 57; secs. 202, 203, 204, 91 Stat. 1494, 1498, 1499, 1500; secs. 8, 30, 31(c), 38(a), 54 Stat. 803, 836, 838, 841; 74 Stat. 201; 84 Stat. 1415; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 781, 78m, 780(d), 78w(a), 80a-8, 80a-29, 80a-30(c), 80a-37(a); secs. 6, 7, 8, 10, 19(a) and Schedule A (25) and (26) (15 U.S.C. 77f, 77g, 77h, 773, 77sta), 77aa (25) and (26), Securities Act of 1933; secs. 12, 13, 14, 15(d) and 23(a) (15 U.S.C. 78(1), 78m, 78n, 780(d), 78(w) Securities Exchange Act of 1934) (47 FR 11401, Mar. 16, 1982, as amended at 47 FR 25127, June 10, 1982; 47 FR 54769,

Dec. 6, 1982; 48 FR 19874, May 3, 1983; 48 : FR 44475, Sept. 29, 1983; 49 FR 47599, Dec.

6, 1984)

writing discounts or commissions. As to any securities sold otherwise than for cash, state the nature of the transaction and the nature and aggregate amount of consideration received by the registrant.

(d) Exemption from registration claimed. Indicate the section of the Securities Act or the rule of the Commission under which exemption from registration was claimed and state briefly the facts relied upon to make the exemption available.

Instructions. 1. Information required by this Item 701 need not be set forth as to notes, drafts, bills of exchange, or bankers' acceptances which mature not later than one year from the date of issuance.

2. If the sales were made in a series of transactions, the information may be given by such totals and periods as will reasonably convey the information required.

$ 229.702 (Item 702) Indemnification of di

rectors and officers. State the general effect of any statute, charter provisions, by-laws, contractor other arrangements under which any controlling persons, director or officer of the registrant is insured or indemnified in any manner against liability which he may incur in his capacity as such.

Subpart 229.700— Miscellaneous

Subpart 229.800-List of Industry

Guides

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§ 229.701 (Item 701) Recent sales of unreg

istered securities. Furnish the following information as to all securities of the registrant sold by the registrant within the past three years which were not registered under the Securities Act. Include sales of reacquired securities, as well as new issues, securities issued in exchange for property, services, or other securities, and new securities resulting from the modification of outstanding securities.

(a) Securities sold. Give the date of sale and the title and amount of securities sold.

(b) Underwriters and other purchasers. Give the names of the principal underwriters, if any. As to any such securities not publicly offered, name the persons or identify the class of persons to whom the securities were sold.

(c) Consideration. As to securities sold for cash, state the aggregate offering price and the aggregate under

$ 229.801 Securities Act industry guides.

(a) Guide 1. Disclosure of principal sources of electric and gas revenues.

(b) Guide 2. Disclosure of oil and gas operations.

(c) Guide 3. Statistical disclosure by bank holding companies.

(d) Guide 4. Prospectuses relating to interests in oil and gas programs.

(e) Guide 5. Preparation of registration statements relating to interests in real estate limited partnerships.

(f) Guide 6. Disclosures concerning unpaid claims and claim adjustment expenses of property-casualty insurance underwriters.

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(Secs. 6, 7, 8, 10, 19(a) and Schedule A (25) and (26) (15 U.S.C. 77f, 77g, 77h, 773, 77s(a), 77aa (25) and (26), Securities Act of 1933; secs. 12, 13, 14, 15(d) and 23(a) (15 U.S.C.

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78(1), 78m, 78, 780(d), 78w, Securities Ex. change Act of 1934) (47 FR 11401, Mar. 16, 1982, and 49 FR 47600, Dec. 6, 1984)

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§ 229.802 Exchange Act industry guides.

(a) Guide 1. Disclosure of principal sources of electric and gas revenues.

(b) Guide 2. Disclosure of oil and gas operations.

(c) Guide 3. Statistical disclosure by bank holding companies.

(d) Guide 4. Disclosures concerning unpaid claims and claim adjustment expenses of property-casualty underwriters.

00

(Secs. 6, 7, 8, 10, 19(a) and Schedule A (25) and (26) (15 U.S.C. 77f, 77g, 77h, 773, 77s(a), 77aa (25) and (26), Securities Act of 1933; secs. 12, 13, 14, 15(d) and 23(a) (15 U.S.C. 78(1), 78m, 78n, 780(d), 78w, Securities Exchange Act of 1934) (47 FR 11401, Mar. 16, 1982, as amended at 49 FR 47600, Dec. 6, 1984)

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PART 230-GENERAL RULES AND

REGULATIONS, SECURITIES ACT OF 1933

Sec. 230.137 Definition of "offers”, “partici

pates", or "participation" in section 2(11) in relation to certain publications by persons independent of participants

in a distribution. 230.138 Definition of "offer for sale" and

"offer to sell” in sections 2(10) and 5(c)

in relation to certain publications. 230.139 Definition of "offer for sale" and

"offer to sell” in sections 2(10) and 5(c)

in relation to certain publications. 230.140 Definition of “distribution" in sec

tion 2(11) for certain transactions. 230.141 Definition of "commission from an

underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions" in section 2(11),

for certain transactions. 230.142 Definition of "participates" and

"participation," as used in section 2(11),

in relation to certain transactions. 230.143 Definition of “has purchased",

"sells for", "participates”, and “partici. pation", as used in section 2(11), in relation to certain transactions of foreign

governments for war purposes. 230.144 Persons deemed not to be engaged

in a distribution and therefore not un

derwriters. 230.145 Reclassification of securities, merg.

ers, consolidations and acquisitions of

assets. 230.147 “Part of an issue," "person resi.

dent,” and “doing business within" for

purposes of section 3(a)(11). 230.148 Persons deemed not to be under

writers of securities issued or sold in connection with bankruptcy proceed

ings. 230.149 Definition of “exchanged” in sec

tion 3(a)(9), for certain transactions. 230.150 Definition of “commission or other

remuneration” in section 3(a)(9), for cer

tain transactions. 230.152 Definition of “transactions by an

issuer not involving any public offering"

in section 4(2), for certain transactions. 230.152a Offer or sale of certain fractional

interests. 230.153 Definition of "preceded by a pro

spectus”, as used in section 5(b)(2), in re

lation to certain transactions. 230.153a Definition of “preceded by a pro

spectus” as used in section 5(b)(2) of the Act, in relation to certain transactions

requiring approval of security holders. 230.153b Definition of “preceded by a pro

spectus”, as used in section 5(b)(2), in connection with certain transactions in

standardized options. 230.156 Investment company sales litera.

ture. 230.157 Small entities for purposes of the

Regulatory Flexibility Act.

GENERAL

Sec. 230.100 Definitions of terms used in the

rules and regulations. 230.110 Business hours of the Commission. 230.111 Payment of fees. 230.120 Inspection of registration state

ments. 230.122 Nondisclosure of information ob

tained in the course of examinations

and investigations. 230.130 Definition of "rules and regula

tions" as used in certain sections of the

Act. 230.131 Definition of security issued under

governmental obligations. 230.132 Definition of “common trust fund"

as used in section 3(a)(2) of the Act. 230.133 Definition for purposes of section 5

of the Act of "sale", "offer”, "offer to

sell", and "offer for sale". 230.134 Communications not deemed a pro

spectus. 230.134a Options material not deemed a

prospectus. 230.135 Notice of certain proposed offer

ings. 1230.135a Generic advertising. 230.135b Materials not deemed an offer to

sell or offer to buy. 230.136 Definition of certain terms in rela

tion to assessable stock.

Sec. 230.158 Definitions of certain terms in the

last paragraph of section 11(a). 230.161 Amendments to rules and regula

tions governing exemptions. 230.170 Prohibition of use of certain finan

cial statements. 230.171 Disclosure detrimental to the na

tional defense or foreign policy. 230.174 Delivery of prospectus by dealers;

exemptions under section 4(3) of the

Act. 230.175 Liability for forward-looking state

ments by issuers. 230.176 Circumstances affecting the deter

mination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities

Act. 230.180 Exemption from registration of in

terests and participations issued in con

nection with certain H.R. 10 plans. 230.215 Accredited investor.

Sec. 230.318 Use of sales material. 230.320 Restricting use of estimations not

included in offering sheets. 230.322 Prohibition of certain statements. 230.324 Liability for unauthorized use of

offering sheet. 230.326 Form and contents of offering

sheets. 230.328 Preparation of offering sheet. 230.330 Representations in offering sheets. 230.332 The use of the offering sheet. 230.334 Reasons for suspension. 230.336 The suspension procedure. 230.338 Effect of suspension order. 230.340 When offering sheet

may be amended. 230.342 How offering sheet may be amend

ed. 230.344 Withdrawal. 230.346 Termination.

REGULATION C-REGISTRATION 230.400 Application of $$ 230.400

230.494, inclusive.

REGULATION A-R-SPECIAL EXEMPTIONS 230.236 Exemption of shares offered in

connection with certain transactions.

to

REGULATION A-GENERAL EXEMPTIONS 230.251 Definitions of terms used in

$ $ 230.251 to 230.262. 230.252 Securities exempted. 230.253 Special requirements for certain

offerings. 230.254 Amount of securities exempted. 230.255 Filing of offering statement. 230.256 Filing and use of the offering cir

cular. 230.257 Offerings not in excess of $100,000. 230.258 Sales material to be filed. 230.259 Statement required in all offering

circulars. 230.260 Reports of sales hereunder. 230.261 Suspension of exemption. 230.262 Consent to service of process. 230.263 Notice of delayed or suspended of

fering and sale. 230.264 Procedure with respect to aban

doned offering statement. REGULATION B-EXEMPTION RELATING TO

FRACTIONAL UNDIVIDED INTERESTS IN OIL OR GAS RIGHTS 230.300 Definitions of terms used in Regu

GENERAL REQUIREMENTS 230.401 Requirements as to proper form. 230.402 Number of copies; binding; signaSec. 230.479 Procedure with respect to aban

lation B. 230.302 Interests exempted. 230.304 Interests involving noncontiguous

tracts. 230.306 Limitations on offeror. 230.310 Filing and use of the offering

sheet. 230.312 Filing of offering sheets on behalf

of other persons. 230.314 Delivery of evidence of title. 230.316 Reports.

tures. 230.403 Requirements as to paper, print

ing, language and pagination. 230.404 Preparation of registration state

ment. 230.405 Definitions of terms. 230.406 Confidential treatment of informa

tion filed with the Commission. 230.408 Additional information. 230.409 Information unknown or not rea

sonably available. 230.410 Disclaimer of control. 230.411 Incorporation by reference. 230.412 Modified or superseded documents. 230.413 Registration of additional securi

ties. 230.414 Registration by certain successor

issuers. 230.415 Delayed or continuous offering

and sale of securities. 230.416 Securities to be issued as a result

of stock splits, stock dividends, and anti

dilution provisions.
230.417 Date of financial statements.
230.418 Supplemental information.

FORM AND CONTENT OF PROSPECTUSES

230.420 Legibility of prospectuses.
230.421 Presentation of information in pro-

spectuses.
230.423 Date of prospectuses.
230.424 Filing of prospectuses; number of

copies. 230.427 Contents of prospectus used after

nine months.

doned registration statements and posteffective amendments.

Sec. 230.429 Prospectus relating to several reg.

INVESTMENT COMPANIES, BUSINESS

DEVELOPMENT COMPANIES

230.480 Title of securities. 230.481 Information required in prospec

tus. 230.482 Advertising by an investment com.

pany as satisfying requirements of sec

tion 10. 230.483 Exhibits for certain registration

statements. 230.484 Undertaking required in certain

registration statements. 230.485 Effective date of post-effective

amendments filed by certain registered

investment companies. 230.486 Effective date of post-effective

amendments filed by registered separate

accounts of insurance companies. 230.487 Effectiveness of registration state

ments filed by certain unit investment trusts.

REGISTRATION BY FOREIGN GOVERNMENTS OR

POLITICAL SUBDIVISIONS THEREOF

230.490 Information to be furnished under

paragraph (3) of Schedule B. 230.491 Information to be furnished under

paragraph (6) of Schedule B. 230.492 Omissions from prospectuses. 230.493 Filing of opinions of counsel. 230.494 Newspaper prospectuses. 230.495 Preparation of registration state

ment. 230.496 Contents of prospectus used after

nine months. 230.497 Filing of prospectuses-number

copies. 230.499 EDGAR temporary rule.

REGULATION D-RULES GOVERNING THE LIM

ITED OFFER AND SALE OF SECURITIES WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933

230.501 Definitions and terms used in Reg.

ulation D. 230.502 General conditions to be met. 230.503 Filing of notice of sales. 230.504 Exemption for limited offers and

sales of securities not exceeding

$500,000. 230.505 Exemption for limited offers and

sales of securities not exceeding

$5,000,000. 230.506 Exemption for limited offers and

istration statements. 230.430 Prospectus for use prior to effec

tive date. 230.431 Summary prospectuses. 230.432 Additional information required to

be included in prospectuses relating to tender offers.

WRITTEN CONSENTS

230.436 Consents required in special cases. 230.437 Application to dispense with con

sent. 230.438 Consents of persons about to

become directors. 230.439 Consent to use of material incorpo.

rated by reference.

COMPETITIVE BIDS

230.445 Competitive bidding registration

statement. 230.446 Invitations to competitive bids. 230.447 Authorization of agent for service

for filing amendments.

FILING; FEES; EFFECTIVE DATE 230.455 Place of filing. 230.456 Date of filing. 230.457 Computation of fee. 230.459 Calculation of effective date. 230.460 Distribution of preliminary pro

spectus. 230.461 Acceleration of effective date. 230.463 Report of offering of securities and

use of proceeds therefrom. 230.464 Effective date of post-effective

amendments on Form S-8 or on Form S3, F-2, or F-3 for registration statements relating to a dividend or interest rein

vestment plan. 230.466 Effective date of certain registra

tion statements on Form F-6.

AMENDMENTS; WITHDRAWALS 230.470 Formal requirements for amend

ments. 230.471 Signatures to amendments. 230.472 Filing of amendments; number of

copies. 230.473 Delaying amendments. 230.474 Date of filing of amendments. 230.475 Amendment filed with consent of

Commission. 230.475a Pre-effective amendments on

Form S-8 and certain pre-effective amendments on Forms S-3, F-2, or F-3 deemed filed with consent of Commis

sion. 230.476 Amendment filed pursuant to

order of Commission. 230.477 Withdrawal of registration state

ment or amendment. 230.478 Powers to amend or withdraw reg

istration statement.

sales without regard to dollar amount of offering.

Sec.
REGULATION E-EXEMPTION FOR SECURITIES

OF SMALL BUSINESS INVESTMENT COMPANIES 230.601 Definitions of terms used in

$ $ 230.601 to 230.610a. 230.602 Securities exempted. 230.603 Amount of securities exempted. 230.604 Filing of notification on Form 1-E. 230.605 Filing and use of the offering cir

cular. 230.606 Offering not in excess of $100,000. 230.607 Sales material to be filed. 230.608 Prohibition of certain statements. 230.609 Reports of sales hereunder. 230.610 Suspension of exemption. 230.610a Schedule A: Contents of offering

circular for small business investment companies; Schedule B: Contents of of. fering circular for business development companies.

to the Act, including the forms and accompanying instructions thereto.

(4) The term “registrant” means the issuer of securities for which a registration statement is filed.

(5) The term “agent for service" means the person authorized in the registration statement to receive notices and communications from the Commission.

(b) Unless otherwise specifically provided, the terms used in this part shall have the meanings defined in the act.

(c) A rule in the general rules and regulations which defines a term without express reference to the Act or to the rules and regulations or to a portion thereof defines such term for all purposes as used both in the Act and in the rules and regulations, unless the context otherwise requires.

REGULATION F-EXEMPTION FOR ASSESSMENTS

ON ASSESSABLE STOCK AND FOR ASSESSABLE STOCK OFFERED OR SOLD TO REALIZE

AMOUNT OF ASSESSMENT THEREON 230.651 Scope of exemption. 230.652 Filing of notification. 230.653 Information to be given stockhold

ers and others. 230.654 Sales material to be filed. 230.655 Prohibition of certain statements. 230.656 Suspension of exemption.

[2 FR 1076, May 26, 1937, as amended at 21 FR 7566, Oct. 3, 1956]

GENERAL

$ 230.110 Business hours of the Commis

sion. The principal office of the Commission, at 450 Fifth Street, N.W., Washington, D.C. 20549, is open each day, except Saturdays, Sundays and holidays, from 9:00 a.m. to 5:30 p.m., eastern standard time or eastern daylight saving time, whichever is currently in effect in Washington, D.C.

AUTHORITY: Sections 230.100 to 230.174 issued under sec. 19, 48 Stat. 85, as amended; 15 U.S.C. 77s, unless otherwise noted.

NOTE: In $ $ 230.100 to 230.174, the numbers to the right of the decimal point correspond with the respective rule numbers in general rules and regulations adopted by the Securities and Exchange Commission under the Securities Act of 1933.

CROSS REFERENCE: For regulations governing registration, see $ $ 230.400—230.494.

(47 FR 26819, June 22, 1982)

8 230.100 Definition of terms used in the

rules and regulations. (a) As used in the rules and regulations prescribed in this part by the Securities and Exchange Commission pursuant to the Securities Act of 1933, unless the context otherwise requires:

(1) The term “Commission" means the Securities and Exchange Commission.

(2) The term “Act” means the Securities Act of 1933.

(3) The term “rules and regulations” refers to all rules and regulations adopted by the Commission pursuant

$ 230.111 Payment of fees.

All payments of fees for registration statements under the Act shall be made in cash or by U.S. postal money order, certified check, bank cashier's check, or bank money order payable to the Securities and Exchange Commission, omitting the name or title of any official of the Commission. In addition, all other filing fees may be paid by personal check. There will be no refunds. Payment of fees required by this section shall be made in accordance with the directions set forth in $ 202.3a of this chapter. (37 FR 1471, Jan. 29, 1972, as amended at 49 FR 27307, July 3, 1984)

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