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e-CFR data is current as of August 6, 2020


17 CFR--PART 230

View Printed Federal Register page 85 FR 33355 in PDF format.

Amendment(s) published June 1, 2020, in 85 FR 33355

Effective Dates: Aug. 1, 2020

20. Amend §230.433 by revising paragraphs (b)(1)(i) and (iv) and (c)(1)(ii) to read as follows:

§230.433   Conditions to permissible post-filing free writing prospectuses.

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(b) *  *  *

(1) *  *  *

(i) Offerings of securities registered on Form S-3 (§239.33 of this chapter) pursuant to General Instruction I.B.1, I.B.2, I.C., or I.D. thereof or on Form SF-3 (§239.45 of this chapter) or on Form N-2 (§§239.14 and 274.11a-1 of this chapter) pursuant to General Instruction A.2 with respect to the same transactions;

*   *   *   *   *

(iv) Any other offering not excluded from reliance on this section and Rule 164 of securities of an issuer eligible to use Form S-3 or Form F-3 for primary offerings pursuant to General Instruction I.B.1 of such Forms or an issuer eligible to use General Instruction A.2 of Form N-2 to register a primary offering described in General Instruction I.B.1 of Form S-3.

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(c) *  *  *

(1) *  *  *

(ii) Information contained in the issuer's periodic and current reports filed or furnished to the Commission pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) that are incorporated by reference into the registration statement and not superseded or modified, or pursuant to section 30 of the Investment Company Act of 1940 (15 U.S.C. 80a-29).

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