(2) Upon its own motion. [56 FR 22321, May 15, 1991] RULES UNDER SECTION 311 $260.11b-4 Definition of "cash transaction" in section 311(b)(4). The term "cash transaction", as used in section 311(b)(4), means any transaction in which full payment for goods or securities sold is made within 7 days after delivery of the goods or securities in currency or in checks or other orders drawn upon banks or bankers and payable upon demand. $260.11b-6 Definition of "self-liquidating paper" in section 311(b)(6). shipment, storage or sale of goods, wares or merchandise and which is secured by documents evidencing title to, possession of or a lien upon the goods, wares or merchandise or the receivables or proceeds arising from the sale of the goods, wares or merchandise previously constituting the security: Provided, The security is received by the trustee simultaneously with the creation of the creditor relationship with the obligor arising from the making, drawing, negotiating or incurring of the draft, bill of exchange, acceptance or obligation. RULES UNDER SECTION 314 PERIODIC REPORTS § 260.14a-1 Application of §§ 260.7a–15 to 260.7a-38. Sections 260.7a-15 to 260.7a-38 shall be applicable to annual reports under section 314(a). The term self-liquidating paper, as used in section 311(b)(6) of the Act, means any draft, bill of exchange, acceptance or obligation which is made, drawn, negotiated or incurred by the obligor for the purpose of financing the purchase, processing, manufacture, PART 261-INTERPRETATIVE RELEASES RELATING TO THE TRUST INDENTURE ACT OF 1939 AND GENERAL RULES AND REGULATIONS THEREUNDER Subject Opinion of the General Counsel relating to application of section 310(b) where trustee under one indenture is trustee under another indenture for securities of an affiliate of the obligor. Opinion of the Chief Counsel to the Corporation Finance Division relating to when-issued trading of securities the issuance of which is subject to approval by a Federal district court under Chapter X of the Bankruptcy Act. Opinion of the Chief Counsel to the Corporation Finance Division relating to when-issued trading of securities the issuance of which has already been approved by a Federal district court under Chapter X of the Bankruptcy Act. Interpretation with reference to the securities of the International Bank for Reconstruction and Development. Statement of the Commission to clarify the meaning of "beneficial ownership of securities" as relates to beneficial ownership of securities held by family members. Statement of the Commission setting the date of May 1, 1966 after which filings must reflect beneficial ownership of securities held by family members. Commissions statement re exemption of certain industrial revenue bonds from registration, etc. requirements in view of amendment of Securities Act of 1933 and of Securities Exchange Act of 1934 by "section 401" (Pub. L. 91-1037). Publication of the Commission's procedure to be followed if requests are to be met for no action or interpretative letters and responses thereto to be made available for public use. Offerings of debt securities pursuant to trust indentures No-action position respecting public offerings of debt securities registered on Simplified form of trust indenture Retail repurchase agreements by banks and Savings and Loan Associations Application of the registration provisions of the Securities Act of 1933 to the offer and sale of securities by United States branches and agencies of foreign banks. 269.0-1 Availability of forms. 269.1 Form T-1, for statement of eligibility and qualification for corporate trustees. 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. 269.3 Form T-3, for application for qualification of trust indentures. 269.4 Form T-4, for application for exemp tion pursuant to section 304(c) of the Act. 269.5 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249. 240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§§ 240.13e-102, 240.14d102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37 of this chapter), F-8, F-9, F-10 or F-80. 269.6 Form ET, transmittal form for electronic format documents on magnetic tape or diskette to be filed on the EDGAR system. 269.7 Form ID, uniform application for access codes to file on EDGAR. 269.8 Form SE, form for submission of paper format exhibits by electronic filers. 269.9 Form T-6 for application under section 310(a)(1) of the Trust Indenture Act for determination of the eligibility of a foreign person to act as institutional trust ee. 269.10 Form TH-Notification of reliance on temporary hardship exemption. AUTHORITY: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77sss, 781(d), unless otherwise noted. SOURCE: 33 FR 19002, Dec. 20, 1968, unless otherwise noted. § 269.0-1 Availability of forms. (a) This part identifies and describes the forms prescribed for use under the Trust Indenture Act of 1939. (b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional and district offices. (See §200.11 of this chapter for the addresses of SEC regional and district offices) [46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994] § 269.1 Form T-1, for statement of eligibility and qualification for corporate trustees. This form shall be filed pursuant to Rule 5a-1(a) (§260.5a–1(a) of this chapter) for statements of eligibility and qualification of corporations designated to act as trustees under thrust indentures to be qualified pursuant to section 305 or 307 of the Trust Indenture Act of 1939. EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form T-1, see the List of CFR Sections Affected in the Finding Aids section of this volume. § 269.2 Form T-2, for statement of eligibility and qualification for individual trustees. This form shall be filed pursuant to Rule 5a-1(b) (§ 260.5a-1(b) of this chapter) for statements of eligibility and qualification of individuals designated to act as trustees under trust indentures to be qualified pursuant to section 305 or 307 of the Trust Indenture Act of 1939. Under sections 307, 308, 309, 310 and 319 of the Trust Indenture Act of 1939 (17 CFR part 260), the Commission is authorized to solicit the information required to be supplied by this form for statements of eligibility and qualification of individuals designated to act as trustees. Disclosure of the information specified in this form is mandatory prior to processing statements of eligibility and qualification, except for social security account numbers, disclosure of which is voluntary. The information will be used for the primary purpose of determining relationships of trustees and whether there are any conflicting interests. This statement 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 qualify as trustees and, therefore, in promptly processing filings. Failure to disclose the information requested by this form, except for social security account numbers, may result in enforcement action by the Commission to compel compliance with the Federal securities laws. [40 FR 55320, Nov. 28, 1975] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form T-2, see the List of CFR Sections Affected in the Finding Aids section of this volume. $269.3 Form T-3, for application for qualification of trust indentures. This form shall be filed pursuant to Rule 7a-1 (§ 260.7a-1 of this chapter) for applications for qualification of indentures pursuant to section 307(a) of the Trust Indenture Act of 1939, but only when securities to be issued thereunder are not required to be registered under the Securities Act of 1933 (15 U.S.C. 77a et seq.). EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form T-3, see the List of CFR Sections Affected in the Finding Aids section of this volume. $269.4 Form T-4, for application for exemption pursuant to section 304(c) of the Act. This form shall be filed pursuant to Rule 4c-1 ($260.4c-1 of this chapter) for applications for exemption filed pursuant to section 304(c) of the Trust Indenture Act of 1939. EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form T4, see the List of CFR Sections Affected in the Finding Aids section of this volume. § 269.5 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249. 240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§§ 240.13e-102, 240.14d-102 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239. 37 of this chapter), F-8, F-9, F-10 or F80. or Form F-X shall be filed with the Commission: (a) By any issuer registering securities on Form F-8, F-9, F-10 or F-80 under the Securities Act of 1933; (b) By any issuer registering securities on Form 40-F under the Securities Exchange Act of 1934; (c) By any issuer filing a periodic report on Form 40-F, if it has not previously filed a Form F-X in connection with the class of securities in relation to which the obligation to file a report on Form 40-F arises; (d) By any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F; and (e) By non-U.S. person acting as trustee with respect to securities registered on Form F-7, F-8, F-9, F-10 or F-80. [56 FR 30078, July 1, 1991] § 269.6 Form ET, transmittal form for electronic format documents on magnetic tape or diskette to be filed on the EDGAR system. This form shall accompany electronic filings submitted on magnetic tape or diskette under the EDGAR system. [57 FR 18220, Apr. 29, 1992] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form ET, see the List of CFR Sections Affected in the Finding Aids section of this volume. § 269.7 Form ID, uniform application for access codes to file on EDGAR. (a) Form ID is to be used by registrants, third party filers, or their agents for the purpose of requesting assignment of access codes to permit filing on EDGAR, as follows: (1) Central Index Key (CIK)-uniquely identifies each filer, filing agent, and training agent. (2) CIK Confirmation Code (CCC)used in the header of a filing in conjunction with the CIK of the filer to ensure that the filing has been authorized by the filer. (3) Passwork (PW)-allows a filer, filing agent or training agent to log on to the EDGAR system, submit filings, and change its CCC. (4) Password Modification Authorization Code (PMAC)—allows a filer, filing agent or training agent to change its Password. (b) Form ID also may be used for the purpose of requesting a reassignment of their CCC, PW and PMAC. [57 FR 18220, Apr. 29, 1992] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form ID, see the List of CFR Sections Affected in the Finding Aids section of this volume. denture qualified or to be qualified under the Act. [56 FR 22321, May 15, 1991] EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form T-6, see the List of CFR Sections Affected in the Finding Aids section of this volume. § 269.10 Form TH-Notification of reliance on temporary hardship exemption. Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper format that otherwise would be required to be submitted electronically, as prescribed by Rule 201(a) of Regulation S-T (§ 232.201(a) of this chapter). [58 FR 14687, Mar. 18, 1993] EDITORIAL NOTE: For FEDERAL REGISTER Cİtations affecting Form TH, see the List of CFR Sections Affected in the Finding Aids section of this volume. PART 270-RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 Sec. 270.0-1 Definition of terms used in this part. 270.0-2 General requirements of papers and applications. 270.0-3 Amendments to registration statements and reports. 270.0-4 Incorporation by reference. 270.0-5 Procedure with respect to applications and other matters. 270.0-8 Payment of fees. 270.0-9 [Reserved] 270.0-10 Small entities for purposes of the Regulatory Flexibility Act. 270.2a-1 Valuation of portfolio securities in special cases. 270.2a-2 Effect of eliminations upon valuation of portfolio securities. 270.2a3-1 Investment company limited partners not deemed affiliated persons. 270.2a-4 Definition of "Current Net Asset Value" for use in computing periodically the current price of redeemable security. 270.2a-6 Certain transactions not deemed assignments. 270.2a-7 Money market funds. 270.2a19-1 Certain investment company directors not considered interested per 270.3a-1 Certain prima facie investment companies. 270.3a-2 Transient investment companies. 270.3a-3 Certain investment companies owned by companies which are not investment companies. 270.3a-5 Exemption for subsidiaries organized to finance the operations of domestic or foreign companies. 270.3a-6 Foreign banks and foreign insurance companies. 770.3a-7 Issuers of asset-backed securities. 270.30-2 Definition of beneficial ownership in small business investment companies. 270.30-3 Definition of certain terms used in section 3(c)(1) of the Act with respect to certain debt securities offered by small business investment companies. 270.30-4 Definition of “common trust fund” as used in section 3(c)(3) of the Act. 270.5b-1 Definition of “total assets." 270.5b-2 Exclusion of certain guarantees as securities of the guarantor. 270.6b-1 Exemption of employees' securities company pending determination of application. 270.60-3 Exemptions for certain registered life insurance separate variable counts. ac 270.6c-6 Exemption for certain registered separate accounts and other persons. 270.6c-7 Exemptions from certain provisions of sections 22(e) and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program. 270.60-8 Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges. 270.6c-10 Exemption for certain open-end management investment companies to impose contingent deferred sales loads. 270.6d-1 Exemption for certain closed-end investment companies. 270.6e-2 Exemptions for certain variable life insurance separate accounts. 270.6e-3(T) Temporary exemptions for flexi ble premium variable life insurance separate accounts. 270.7d-1 Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration. 270.8b-1 Scope of §§ 270.8b-1 to 270.8b-32. 270.8b-2 Definitions. 270.8b-3 Title of securities. 270.8b-4 Interpretation of requirements. 270.8b-5 Time of filing original registration statement. 270.8b-6 Fee for registration. 270.8b-10 Requirements as to proper form. 270.8b-11 Number of copies; signatures; binding. 270.8b-12 Requirements as to paper, printing and language. 270.8f-1 Form for application by certain registered investment companies for orders declaring that such companies have ceased to be investment companies as defined by the Act. 270.10b-1 Definition of regular broker or dealer. 270.10f-1 Conditional exemption of certain underwriting transactions. 270.10f-2 Exercise of warrants or rights received on portfolio securities. 270.10f-3 Exemption of acquisition of securities during the existence of underwriting syndicate. 270.11a-1 Definition of "exchange" for purposes of section 11 of the Act. 270.11a-2 Offers of exchange by certain reg istered separate accounts or others the terms of which do not require prior Commission approval. 270.11a-3 Offers of exchange by open-end investment companies other than separate accounts. 270.12b-1 Distribution of shares by reg istered open-end management investment company. 270.12d2-1 Definition of insurance company for purposes of sections 12(d)(2) and 12(g) of the Act. 270.12d3-1 Exemption of acquisitions of se curities issued by persons engaged in securities related businesses. 270.13a-1 Exemption for change of status by temporarily diversified company. 270.14a-1 Use of notification pursuant to regulation E under the Securities Act of 1933. 270.14a-2 Exemption from section 14(a) of the Act for certain registered separate accounts and their principal underwriters. 270.14a-3 Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters. |