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.94 Form 5-A, certificate of resoluion authorizing irrevocable appointment by a corporation (or association or other form of organization) of agent or service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A.

his form shall be used for the cerate of resolution authorizing the Focable appointment by a corpora(or association or other form of nization) of an agent for service of ess, pleadings, and other papers, uant to Rule 262 of Regulation A 0.262 of this chapter).

95 Form 6-A, irrevocable appointment by partnership of agent for servce of process, pleadings, and other ▪apers, pursuant to Rule 262 of Regulaion A.

is form shall be used for irrevocaappointment by a partnership of gent for service of process, plead

and other papers, pursuant to - 262 of Regulation A (§ 230.262 of chapter).

96 Form 7A, optional form of escrow or securities that are subject to the -rovisions of Rule 253(c) of Regulation ■ (§ 230.253(c) of this chapter).

is form is an optional form of ow for securities that are subject ne provisions of Rule 253(c) of lation A (§ 230.253(c) of this ter).

R 41770, Aug. 18, 1981]

TORIAL NOTE: Form 7A revised at 47 FR , Aug. 11, 1982.

.97-239.100 [Reserved]

101 Schedules and forms for offering heets pertaining to fractional undividd interests in oil or gas rights offered ursuant to exemption under Regulaon B (§§ 230.300-230.346 of this chaper).

An offeror of fractional undividterests in oil or gas rights pursuo §§ 230.300-230.346 of this chaphall file an offering sheet, in acnce with § 230.310 or § 230.312 of chapter, upon the applicable Hule listed below:

(1) Schedule A. If the interests offered are producing landowners' royalty interests.

(2) Schedule B. If the interests offered are nonproducing landowners' royalty interests.

(3) Schedule C. If the interests offered are producing overriding royalty interests, working interests, or participating interests, or are oil payments, gas payments, or oil and gas payments to be made from tracts represented to be producing at the time of the offering.

(4) Schedule D. If the interests offered are nonproducing overriding royalty interests, working interests, or participating interests, or are oil payments, gas payments, or oil and gas payments to be made from tracts represented to be nonproducing at the time of the offering.

(b) An offeror will also have the obligation of filing the following reports in accordance with § 230.316 of this chapter:

(1) Form 1-G. One copy of this report will be filed with the Commission within 15 days after the expiration of the offering sheet or the termination of sales, whichever date is earlier. This form will report the sales of oil or gas interests pursuant to §§ 230.300-230.346 of this chapter.

(2) Form 3-G. Four copies of this report will be filed with the Commission within 3 calendar months after the termination of any offering pursuant to §§ 230.300-230.346 of this chapter. This form will report the results of the offering.

NOTE: Copies of amended Form 1-G and newly adopted Form 3-G have been filed with the Office of Federal Register as part of this document and are available upon request at the Securities and Exchange Commission, Washington, D.C. 20549. [37 FR 23835, Nov. 9, 1972]

§§ 239.102-239.143 [Reserved] § 239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter.

(a) Except as indicated in paragraph (b) of this section, this form shall be filed in triplicate with the Commission at its principal office in Washington, D.C., by each person who intends to

sell securities in reliance upon § 230.144 of this chapter and shall be transmitted for filing concurrently with either the placing with a broker of an order to execute a sale of securities or the execution directly with a market maker of a sale of securities.

(b) This form need not be filed if the amount of securities to be sold during any period of 3 months does not exceed 500 shares or other units and the aggregate sale price thereof does not exceed $10,000.

(c) Under sections 2(11), 4(1), 4(2), 4(4) and 19(a) of the Securities Act of 1933 (17 CFR 230) and Rule 144 thereunder, the Commission is authorized to solicit the information required to be supplied by this form by persons desiring to sell unregistered securities. Disclosure of the information specified in this form is mandatory prior to processing notices of proposed sale of securities under Rule 144, except for social security account numbers, disclosure of which is voluntary. The information will be used for the primary purpose of disclosing the proposed sale of unregistered securities by persons deemed not to be engaged in the distribution of securities. This notice will be made a matter of public record. Therefore, any information given will be available for inspection by any member of the public. Because of the public nature of the information, the Commission can utilize it for a variety of purposes, including referral to other governmental authorities or securities self-regulatory organizations for investigatory purposes or in connection with litigation involving the Federal securities laws or other civil, criminal or regulatory statutes or provisions. Social security account numbers, if furnished, will assist the Commission in identifying persons desiring to sell unregistered securities and, therefore, in promptly processing notices of proposed sale of securities. Failure to disclose the information requested by Form 144, except for social security account numbers, would make an exception under Rule 144 unavailable and may result in civil or criminal action for violations of the Federal securities laws.

[37 FR 4329, Mar. 2, 1972, as amended at 40 FR 55319, Nov. 28, 1975; 43 FR 5423, Nov. 21, 1978]

§§ 239.145-239.199 [Reserved]

§ 239.200 Form 1-E, notification under Regulation E.

E

This form shall be used for notification pursuant to Rule 604 (§ 230.604 of this chapter) of Regulation (§§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§ 230.602 of this chapter).

(Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c (b) and (c); sec. 38, Investment Company Act of 1940 (15 U.S.C. 80a37))

[49 FR 35347, Sept. 7, 1984]

EDITORIAL NOTE: Form 1-E amended at 49 FR 35347, Sept. 7, 1984.

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§ 239.500 Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act of 1933.

(a) Five copies of a notice on this form shall be filed with the Commission at the following times:

(1) No later than 15 days after the first sale of securities in an offering under Regulation D (§ 230.501§ 230.506 of this chapter) or under section 4(6) of the Securities Act of 1933;

(2) Every six months after the first sale of securities in an offering under Regulation D or under section 4(6),

unless the final notice required by paragraph (a)(3) of this section has been filed; and

(3) No later than 30 days after the last sale of securities in an offering under Regulation D or under section 4(6).

(b) If the offering is completed within the 15 day period described in paragraph (a)(1) of this section and if the notice is filed no later than the end of that period but after the completion of the offering, then only one notice need be filed to comply with paragraphs (a) (1) and (3) of this section.

(c) One copy of every notice on Form D shall be manually signed by a person duly authorized by the issuer.

(d) If more than one notice for an offering is required to be filed under paragraph (a) of this section, notices after the first notice need only report the issuer's name and the information

required by Part C and any material change in the facts from those set forth in Parts A and B of the first notice.

(e) A notice on Form D shall be considered filed with the Commission under paragraph (a) of this section:

(1) As of the date on which it is received at the Commission's principal office in Washington, D.C.; or

(2) As of the date on which the notice is mailed by means of United States registered or certified mail to the Commission's Office of Small Business Policy, Division of Corporation Finance, at the Commission's principal office in Washington, D.C., if the notice is delivered to such office after the date on which it is required to be filed.

[47 FR 11266, Mar. 16, 1982]

EDITORIAL NOTE: Form D revised at 47 FR 34947, Aug. 11, 1982.

FINDING AIDS

A list of CFR titles, subtitles, chapters, subchapters and parts and an alpha-
betical list of agencies publishing in the CFR are included in the CFR Index and
Finding Aids volume to the Code of Federal Regulations which is published sep-
arately and revised annually.

Table of CFR Titles and Chapters

Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

84 Stat. 1415; 15 U.S.C. 77f, 77g, 77h,
7s(a), 781, 78m, 780(d), 78w(a), 80a-8,
9, 80a-30(c), 80a-37(a))

R 54776, Dec. 6, 1982]

9.34-239.35 [Reserved]

36 Form F-6, for registration under
me Securities Act of 1933 of depositary
hares evidenced by American Deposi-
ary Receipts.

rm F-6 may be used for the regis-
on under the Securities Act of
(the "Securities Act") of Deposi-
shares evidenced by American De-
ary Receipts ("ADRS") issued by
positary against the deposit of the
rities of a foreign issuer (regard-
of the physical location of the cer-
tes) if the following conditions
net:

The holder of the ADRs is enti-
to withdraw the deposited securi-
at any time subject only to (1)
porary delays caused by closing
sfer books of the depositary or the
r of the deposited securities or
deposit of shares in connection
voting at a shareholders' meet-
or the payment of dividends, (2)
payment of fees, taxes, and similar
ges, and (3) compliance with any
or governmental regulations re-
g to ADRs or to the withdrawal of
sited securities;

The deposited securities are of-
1 or sold in transactions registered
er the Securities Act or in transac-
that would be exempt therefrom
de in the United States; and
As of the filing date of this regis-
on statement, the issuer of the de-
ed securities is reporting pursu-
to the periodic reporting require-
ts of section 13(a) or 15(d) of the
rities Exchange Act of 1934 or the
sited securities are exempt there-
by Rule 12g3-2(b) (§ 240.12g3-
of this chapter) unless the issuer
e deposited securities concurrent-
es a registration statement on an-
r form for the deposited securi-

. 6. 7. 8. 10, 19(a), 48 Stat. 78, 79, 81, 85;
205, 209, 48 Stat. 906, 908; sec. 301, 54
857; see. 8. 68 Stat. 685; see. 1, 79 Stat.
see. 308(a)2), 90 Stat. 57; sees. 12, 13,
, 28(a), 48 Stat. 892, 894, 895, 901: secs.
3. 49 Stat. 1875, 1877, 1379; sec. 203(8)
at. 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; 15 U.S.C. 77f,
77g, 77h, 77j, 77s(a), 781, 78m, 780(d),
78w(a))

[48 FR 12348, Mar. 24, 1983]

§§ 239.37-239.60 [Reserved]

§ 239.61 Form SR, report of sales of secu-
rities and use of proceeds therefrom.

This form shall be used for filing a
report of sales of securities in use of
proceeds pursuant to § 230.463 of this
chapter.

[46 FR 48142, Oct. 1, 1981]

§ 239.62 Form ET, transmittal form for
electronic format documents under the
EDGAR pilot.

This Form shall accompany each
electronic filing under the EDGAR
pilot project when the reporting
medium is either diskette or magnetic
tape.

(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. 308(a)(2),
90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a),
48 Stat. 882, 892, 894, 895, 901; secs. 203(a),
1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202,
68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569,
570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs.
28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec.
105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat.
117, 118, 119; sec. 308(b), 90 Stat. 57; sec. 18,
89 Stat. 155; secs. 202, 203, 204, 91 Stat.
1494, 1498-1500; sec. 20(a), 49 Stat. 833; sec.
319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15
U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781,
78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a),
80a-37)

[49 FR 28049, July 10, 1984]

§ 239.63 Form ID, uniform application for
identification numbers and passwords
under the EDGAR pilot.

(a) Form ID is to be used by persons
participating in the EDGAR Pilot for
the purpose of requesting assignment
of:

(1) Company Identification Number
(CIK)-used internally by the Com-
mission to uniquely identify each reg-
istrant;

(2) Company Password-a unique
command assigned to a registrant

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