Print Hide All Show All Add to favorites
 

General Rules and Regulations

17 CFR 230
Rule 100 to Rule 215

General Rules Index:

     Rule
100 Definitions of Terms
110 SEC Business Hours of the Commission
111 Payment of Fees
120 Inspection of Registration Statements
122 Non-Disclosure of Investigations / Examinations
130 Rules and regulations includes SEC Forms
131 Security issued under Governmental Obligations
132 Common trust fund
134 Communications Not Deemed a Prospectus
134a Options Material Not Deemed a Prospectus
134b Statements of Additional Information
135 Notice of Certain Proposed Offerings
135a Generic advertising
135b Options Disclosure Document
135c Notice of Certain Proposed Unregistered Offerings
135e Offshore Press Conferences
136 Assessable Stock
137 Definition of "Offers", "Participates", or...Definition of ''Offers'', ''Participates'', or ''Participation'' in Section 2(a)(11) in Relation to Certain Publications by Persons Independent of Participants in a Distribution
138 Definition of "Offer for Sale" and "Offer to Sell" in...Definition of ''Offer for Sale'' and ''Offer to Sell'' in... Sections 2(a)(10) and 5(c)
139 Definition of "Offer for Sale" and "Offer to Sell" in...Definition of ''Offer for Sale'' and ''Offer to Sell'' in Sections 2(a)(10) and 5(c)
140 Definition of "Distribution" in Section 2(a)(11),...Definition of ''Distribution'' in Section 2(a)(11), for Certain Transactions
141 Definition of "Commission from an Underwriter or...Definition of ''Commission from an Underwriter or Dealer Not in Excess of the Usual and Customary Distributors' or Sellers' Commissions'' in Section 2(a)(11), for Certain Transactions 
142 Definition of "Participates" and "Participation," as...Definition of ''Participates'' and ''Participation,'' as Used in Section 2(a)(11), in Relation to Certain Transactions
143 Definition of "Has Purchased", "Sells for",...Definition of ''Has Purchased'', ''Sells for'', ''Participates'', and ''Participation'', as Used in Section 2(a)(11), in Relation to Certain Transactions of Foreign Governments for War Purposes
144 Resale of Restricted Securities
144A Private Resales to QUIBs
145 M&A Restricted Securities
146 Definition of "Prepared By or On Behalf of the...Definition of ''Prepared By or On Behalf of the Issuer'' for Purposes of Section 18 of the Act
147 "Part of an Issue," "Person Resident," and "Doing...''Part of an Issue,'' ''Person Resident,'' and ''Doing Business Within'' for Purposes of Section 3(a)(11)
148 [Removed and reserved in Release 33-7300,...[Removed and reserved in Release 33-7300, effective July 15, 1996, 61 FR 30397.]
149 Definition of "Exchanged" in Section 3(a)(9), for...Definition of ''Exchanged'' in Section 3(a)(9), for Certain Transactions
150 Definition of "Commission or Other Remuneration"...Definition of ''Commission or Other Remuneration'' in Section 3(a)(9), for Certain Transactions
151 Safe Harbor Definition of Certain "Annuity...Safe Harbor Definition of Certain ''Annuity Contracts or Optional Annuity Contracts'' Within the Meaning of Section 3(a)(8)
152 Definition of "Transactions by an Issuer Not...Definition of ''Transactions by an Issuer Not Involving Any Public Offering'' in Section 4(2), for Certain Transactions
152a Offer or Sale of Certain Fractional Interests Stock Splits; Stock Dividends; Fractional Shares
153 Definition of "Preceded by a Prospectus," as...Definition of ''Preceded by a Prospectus,'' as Used in Section 5(b)(2), in Relation to Certain Transactions
153a Definition of "Preceded by a Prospectus" as Used...Definition of ''Preceded by a Prospectus'' as Used in Section 5(b)(2)
153b Definition of "Preceded by a Prospectus", as...Definition of ''Preceded by a Prospectus'', as Used in Section 5(b)(2), in Connection with Certain Transactions in Standardized Options
154 Delivery of Prospectuses to Investors at the...Delivery of Prospectuses to Investors at the Same Address
155 Integration of Abandoned Offerings
156 Investment Company Sales Literature
157 Small Entities Under the Securities Act for...Small Entities Under the Securities Act for Purposes of the Regulatory Flexibility Act
158 Definitions of Certain Terms in the Last...Definitions of Certain Terms in the Last Paragraph of Section 11(a)
160 Registered Investment Company Exemption from...Registered Investment Company Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act
161 Amendments to Rules and Regulations Governing...Amendments to Rules and Regulations Governing Exemptions
162 Submission of Tenders in Registered Exchange...Submission of Tenders in Registered Exchange Offers
165 Offers Made in Connection with a Business...Offers Made in Connection with a Business Combination Transaction
166 Exemption from Sec 5(c) for Certain...Exemption from Section 5(c) for Certain Communications in Connection with Business Combination Transactions
170 Prohibition of Use of Certain Financial Statements
171 Disclosure Detrimental to the National Defense or...Disclosure Detrimental to the National Defense or Foreign Policy Defense Companies
172 Delivery of Prospectuses
173 Notice of Registration
174 Delivery of Prospectus by Dealers; Exemptions...Delivery of Prospectus by Dealers; Exemptions Under Section 4(3) of the Act
175 Liability for Certain Statements by Issuers
176 Circumstances Affecting the Determination of...Circumstances Affecting the Determination of What Constitutes Reasonable Investigation and Reasonable Grounds for Belief Under Section 11 of the Securities Act
180 Exemption from Registration of Interests and...Exemption from Registration of Interests and Participations Issued in Connection with Certain H.R. 10 Plans
190 Registration of Underlying Securities
191 Definition of "Issuer" in Section 2(a)(4)
215 Accredited Investor
   
 
Clear Gif