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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, 773, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79(a), 77sss(a), 80a-37) (49 FR 28050, July 10, 1984)

Subpart B-Forms Pertaining to

Exemptions

which is essential to obtain access to the electronic filing system for the purpose of inputting data on behalf of that registrant;

(3) Personal Identification Number (PIN)—a series of symbols, which serves as a signature, to be assigned upon request to each individual who may sign documents filed with the Commission.

(b)(1) CIK and Passwords may be requested only by the registrant or by a duly authorized person (e.g., officer, director or trustee) on its behalf.

(2) PIN may be requested only by the person to whom the number is to be assigned. (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, 773, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79(a), 77sss(a), 80a-37) (49 FR 28049, July 10, 1984]

$ 239.90 Form 1-A, offering statement

under Regulation A. This form shall be used for filing of a notification under $ 230.255 of Regulation A (8$ 230.251-230.264 of this chapter).

(46 FR 41770, Aug. 18, 1981)

EDITORIAL NOTE: Form 1-A revised at 47 FR 39992, Sept. 10, 1982.

8 239.91 Form 2-A, report pursuant to

Rule 260 of Regulation A. This form shall be used for report of sales pursuant to Rule 260 of Regulation A ($ 230.260 of this chapter).

§ 239.92 Form 3-A, irrevocable appoint

ment by an individual of agent for service of process, pleadings, and other papers pursuant to Rule 262 of Regula

tion A. This form shall be used for irrevocable appointment by an individual of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A ($ 230.262 of this chapter).

$ 239.64 Form SE, for exhibits of regis

trants filing under the EDGAR pilot. This form shall be used for the filing of any exhibits(s) by persons filing registration statements or reports pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934 or the Trust Indenture Act of 1939 provided such registrant:

(a) Is filing in an electronic format under the EDGAR Pilot project; and

(b) Determines that it is impracticable, in its judgment, to file such exhibit(s) in an electronic format. (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,

8 239.93 Form 4-A, irrevocable appoint

ment by a corporation (or association or other form of organization) of agent for service of process, pleadings, and other papers, pursuant to Rule 262 of

Regulation A. This form shall be used for irrevocable appointment by a corporation (or an association or other form of organization) of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A ($ 230.262 of this chapter).

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94 Form 5-A, certificate of resolu. on authorizing irrevocable appointhent by a corporation (or association r other form of organization) of agent br service of process, pleadings, and ther papers, pursuant to Rule 262 of Regulation A. jis form shall be used for the cerite of resolution authorizing the ocable 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).

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95 Form 6-A, irrevocable appointient by partnership of agent for serve of process, pleadings, and other apers, pursuant to Rule 262 of Regulaon A.

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is form shall be used for irrevocalppointment by a partnership of gent for service of process, pleadand other papers, pursuant to 262 of Regulation A ($ 230.262 of chapter).

(1) Schedule A. If the interests of. fered 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)

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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 w for securities that are subject ne provisions of Rule 253(c) of lation A (§ 230.253(C) of this ter).

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? 41770, Aug. 18, 1981) CORIAL NOTE: Form 7A revised at 47 FR Aug. 11, 1982.

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.97-239.100 (Reserved)

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88 239.102–239.143 (Reserved]

101 Schedules and forms for offering veets pertaining to fractional undivid. I interests in oil or gas rights offered ursuant to exemption under Regulaon B (88 230.300-230.346 of this chapr). An offeror of fractional undividterests in oil or gas rights pursu0 $ $ 230.300-230.346 of this chaphall file an offering sheet, in acnce with § 230.310 or $ 230.312 of chapter, upon the applicable lule listed below:

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sell securities in reliance upon (37 FR 4329, Mar. 2, 1972, as amended at 40 $ 230.144 of this chapter and shall be

FR 55319, Nov. 28, 1975; 43 FR 5423, Nov. transmitted for filing concurrently

21, 1978) with either the placing with a broker

88 239.145—239.199 (Reserved] of an order to execute a sale of securities or the execution directly with a 8 239.200 Form 1-E, notification under market maker of a sale of securities.

Regulation E. (b) This form need not be filed if the

This form shall be used for notificaamount of securities to be sold during

tion pursuant to Rule 604 (§ 230.604 of any period of 3 months does not

this chapter) of Regulation E exceed 500 shares or other units and

(8$ 230.601-230.610a of this chapter) the aggregate sale price thereof does

by a small business investment companot exceed $10,000.

ny or business development company (c) Under sections 2(11), 4(1), 4(2), described in Rule 602 ($ 230.602 of this 4(4) and 19(a) of the Securities Act of chapter). 1933 (17 CFR 230) and Rule 144 there- (Secs 3(b) and 3(c), Securities Act of 1933 under, the Commission is authorized (15 U.S.C. 77C (b) and (c); sec. 38, Investto solicit the information required to ment Company Act of 1940 (15 U.S.C. 80abe supplied by this form by persons

37)) desiring to sell unregistered securities. (49 FR 35347, Sept. 7, 1984) Disclosure of the information specified EDITORIAL NOTE: Form 1-E amended at 49 in this form is mandatory prior to FR 35347, Sept. 7, 1984. processing notices of proposed sale of securities under Rule 144, except for

8 239.201 Form 2-E, report of sales pursusocial security account numbers, dis

ant to Rule 609 of Regulation E. closure of which is voluntary. The in- This form shall be used for report of formation will be used for the primary sales of securities under Regulation E purpose of disclosing the proposed sale (8$ 230.601-230.610a of this chapter) of unregistered securities by persons by a small business investment compadeemed not to be engaged in the distri- ny described in Rule 602 ($ 230.602 of bution of securities. This notice will be

this chapter) as required by Rule 609 made a matter of public record. There

of Regulation E ($ 230.609 of this fore, any information given will be chapter). available for inspection by any

88 239.202–239.299 (Reserved] member of the public. Because of the public nature of the information, the 8 239.300 Form 1-F, notification under Commission can utilize it for a variety Regulation F. of purposes, including referral to

This form shall be used for notificaother governmental authorities or se

tion pursuant to Rule 652 (§ 230.652 of curities self-regulatory organizations this chapter) of Regulation F for investigatory purposes or in con- (§ 230.651—$ 230.656 of this chapter) nection with litigation involving the in connection with sales of assessable Federal securities laws or other civil, stock. criminal or regulatory statutes or provisions. Social security account num- $ 239.500 Form D, notice of sales of secubers, if furnished, will assist the Com- rities under Regulation D and section mission in identifying persons desiring

4(6) of the Securities Act of 1933. to sell unregistered securities and,

(a) Five copies of a notice on this therefore, in promptly processing no- form shall be filed with the Commistices of proposed sale of securities. sion at the following times: Failure to disclose the information re- (1) No later than 15 days after the quested by Form 144, except for social first sale of securities in an offering security account numbers, would make under Regulation D ($ 230.501an exception under Rule 144 unavail- § 230.506 of this chapter) or under secable and may result in civil or criminal tion 4(6) of the Securities Act of 1933; action for violations of the Federal se- (2) Every six months after the first curities laws.

sale of securities in an offering under

Regulation D or under section 4(6),

ss the final notice required by graph (a)(3) of this section has I filed; and | No later than 30 days after the sale of securities in an offering er Regulation D or under section · If the offering is completed in the 15 day period described in graph (a)(1) of this section and if notice is filed no later than the of that period but after the comion of the offering, then only one ce need be filed to comply with igraphs (a) (1) and (3) of this seci One copy of every notice on n D shall be manually signed by a on duly authorized by the issuer. ) If more than one notice for an ring is required to be filed under igraph (a) of this section, notices r the first notice need only report 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.

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(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 alphabetical 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 separately and revised annually.

Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected

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