(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. (Secs. 6, 7, 8, 10, 19(a) and Schedule A (25) and (26) (15 U.S.C. 77f, 77g, 77h, 77j, 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, and 49 FR 47600, Dec. 6, 1984] § 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. (Secs. 6, 7, 8, 10, 19(a) and Schedule A (25) and (26) (15 U.S.C. 77f, 77g, 77h, 77j, 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] Sec. 230.130 Definition of "rules and regulations" 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 prospectus. 230.134a Options material not deemed a prospectus. 230.135 Notice of certain proposed offer ings. 230.135a 230.135b Generic advertising. Materials not deemed an offer to sell or offer to buy. 230.136 Definition of certain terms in relation to assessable stock. 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 section 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 "participation", 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 underwriters. 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets. 230.147 "Part of an issue," "person resident," and "doing business within" for purposes of section 3(a)(11). 230.148 Persons deemed not to be underwriters of securities issued or sold in connection with bankruptcy proceedings. 230.149 Definition of "exchanged" in section 3(a)(9), for certain transactions. 230.150 Definition of "commission or other remuneration" in section 3(a)(9), for certain transactions. Sec. 230.151 Safe harbor definition of certain "annuity contracts or optional annuity contracts" within the meaning of section 3(a)(8). 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 prospectus", as used in section 5(b)(2), in relation to certain transactions. 230.153a Definition of "preceded by a prospectus" 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 prospectus", as used in section 5(b)(2), in connection with certain transactions in standardized options. 230.156 Investment company sales literature. 230.157 Small entities for purposes of the Regulatory Flexibility Act. 230.158 Definitions of certain terms in the last paragraph of section 11(a). 230.161 Amendments to rules and regulations governing exemptions. 230.170 Prohibition of use of certain financial statements. 230.171 Disclosure detrimental to the national 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 statements by issuers. 230.176 Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act. 230.180 Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans. 230.215 Accredited investor. REGULATION A-R-SPECIAL EXEMPTIONS 230.236 Exemption of shares offered in connection with certain transactions. 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 circular. 230.257 Offerings not in excess of $100,000. 230.258 Sales material to be filed. 230.259 Statement required in all offering circulars. 230.413 Registration of additional securities. 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 antidilution provisions. 230.417 Date of financial statements. 230.418 Supplemental information. FORM AND CONTENT OF PROSPECTUSES 230.420 Legibility of prospectus. 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. 230.429 Prospectus relating to several registration statements. 230.430 Prospectus for use prior to effective date. 230.430A Prospectus in a registration statement at the time of effectiveness. 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 consent. 230.438 Consents of persons about to become directors. 230.439 Consent to use of material incorporated by reference. COMPETITIVE BIDS 230.445 Competitive bidding registration statement. 230.446 Invitations for 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 prospectus. 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 to registration statements filed on Form S-8 and on certain Forms S-3, S-4, F-2, F-3, and F-4. 230.466 Effective date of certain registration statements on Form F-6. 230.497 Filing of investment company prospectuses-number of copies. 230.499 EDGAR temporary rule. REGULATION D--RULES GOVERNING THE LIMITED OFFER AND SALE OF SECURITIES WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933 230.501 Definitions and terms used in Regulation D. 230.502 General conditions to be met. 230.503 Filing of notice of sales. 230.504 Exemption for limited offerings and sales of securities not exceeding $1,000,000. 230.505 Exemption for limited offers and sales of securities not exceeding $5,000,000. 230.506 Exemption for limited offers and sales without regard to dollar amount of offering. 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 circular. 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 offering circular for business development companies. REGULATION F-EXEMPTION FOR AssessMENTS ON ASSESSABLE STOCK AND FOR ASSESS- 230.651 Scope of exemption. the Securities and Exchange Commission under the Securities Act of 1933. CROSS REFERENCE: For regulations governing registration, see §§ 230.400-230.494. § 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 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. [2 FR 1076, May 26, 1937, as amended at 21 FR 7566, Oct. 3, 1956] § 230.110 Business hours of the Commission. 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. [47 FR 26819, June 22, 1982] § 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] § 230.120 Inspection of registration statements. Except for material contracts or portions thereof accorded confidential treatment pursuant to § 230.485, all registration statements are available for public inspection, during business hours, at the principal office of the Commission in Washington, D.C. [19 FR 6727, Oct. 20, 1954] § 230.122 Nondisclosure of information obtained in the course of examinations and investigations. Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation pursuant to section 8(e) or 20(a) (48 Stat. 80, 86; 15 U.S.C. 77h(e), 77t(a)) shall, unless made a matter of public record, be deemed confidential. Except as provided by 17 CFR 203.2, officers and employees are hereby prohibited from making such confidential information or documents or any other non-public records of the Commission available to anyone other than a member, officer, or employee of the Commission, unless the Commission authorizes the disclosure of such information or the production of such documents as not being contrary to the public interest. Any officer or employee who is served with a subpoena requiring the disclosure of such information or the production of such documents shall appear in court and, unless the authorization described in the preceding sentence shall have been given, shall respectfully decline to disclose the information or produce the documents called for, basing his or her refusal upon this section. Any officer or employee who is served with such a subpoena shall promptly advise the Commission of the service of such subpoena, the nature of the information or documents sought, and any circumstances which may bear upon the desirability of making available such information or documents. (Sec. 19, 48 Stat. 85; sec. 20, 48 Stat. 86; sec. 21, 48 Stat. 899; sec. 23, 48 Stat. 901; sec. 18, 49 Stat. 831; sec. 20, 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 321, 53 Stat. 1174; sec. 38, 54 Stat. 841; sec. 42, 54 Stat. 842; sec. 209, 54 Stat. 853; sec. 211, 54 Stat. 855; sec. 1, 76 Stat. 394. (15 U.S.C. 77s, 77t, 78u, 78w, 79r, 79t, 77sss, 77uuu, 80a-37, 80a-41, 80b-9, 89b11, 78d-1)) [44 FR 50836, Aug. 30, 1979] § 230.130 Definition of "rules and regulations" as used in certain sections of the Act. The term "rules and regulations" as used in sections 7, 10 (a), (c) and (d) and 19(a) of the Act, shall include the forms for registration of securities under the Act and the related instructions thereto. [21 FR 1046, Feb. 15, 1956] § 230.131 Definition of security issued under governmental obligations. (a) Any part of an obligation evidenced by any bond, note, debenture, or other evidence of indebtedness issued by any governmental unit specified in section 3(a)(2) of the Act which is payable from payments to be made in respect of property or money which is or will be used, under a lease, sale, or loan arrangement, by or for industrial or commercial enterprise, shall be deemed to be a separate "security" within the meaning of section 2(1) of the Act, issued by the lessee or obligor under the lease, sale or loan arrangement. (b) An obligation shall not be deemed a separate "security" as defined in paragraph (a) of this section if, (1) the obligation is payable from the general revenues of a governmental unit, specified in section 3(a)(2) of the Act, having other resources which |