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Amendment


17 CFR--PART 229

View Printed Federal Register page 85 FR 22002 in PDF format.

Amendment(s) published April 20, 2020, in 85 FR 22002

Effective Dates: Jan. 4, 2021

10. Amend §229.601 by:

a. In the exhibit table in paragraph (a), adding entry 22; and

b. Adding paragraph (b)(22).

The revisions read as follows:

§229.601   (Item 601) Exhibits.

(a) *  *  *

Exhibit Table

   Securities Act formsExchange Act forms
S-1S-3SF-1SF-3S-41S-8S-11F-1F-3F-41108-K210-D10-Q10-KABS-EE
   
*                           *                           *                           *                           *                           *                           *
(22) Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrantXXXXXXXXXXXX
   
*                           *                           *                           *                           *                           *                           *

1An exhibit need not be provided about a company if: (1) With respect to such company an election has been made under Form S-4 or F-4 to provide information about such company at a level prescribed by Form S-3 or F-3; and (2) the form, the level of which has been elected under Form S-4 or F-4, would not require such company to provide such exhibit if it were registering a primary offering.

2A Form 8-K exhibit is required only if relevant to the subject matter reported on the Form 8-K report. For example, if the Form 8-K pertains to the departure of a director, only the exhibit described in paragraph (b)(17) of this section need be filed. A required exhibit may be incorporated by reference from a previous filing.

*   *   *   *   *

(b) *  *  *

(22) Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant. List each of the entities in paragraphs (b)(22)(i) and (ii) of this section under an appropriately captioned heading that identifies the associated securities. An entity need not be listed more than once so long as its role as issuer, co-issuer, or guarantor of a guaranteed security and/or as affiliate whose security is pledged as collateral for a registrant's security is clearly indicated with respect to each applicable security:

(i) For a registrant that is the parent company (as that term is defined in §210.3-10(b)(1) of this chapter) and subject to §210.13-01 of this chapter, each of the registrant's subsidiaries that is a guarantor, issuer, or co-issuer of the guaranteed security subject to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, or the offer and sale of which is being registered under the Securities Act of 1933; and

(ii) For a registrant that is subject to §210.13-02 of this chapter, each of the registrant's affiliates whose security is pledged as collateral for the registrant's security subject to Section 13(a) or Section 15(d) of the Securities Exchange Act of 1934, or the offer and sale of which is being registered under the Securities Act of 1933. For each affiliate, also identify the security or securities pledged as collateral.

*   *   *   *   *

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