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Title 17

Displaying title 17, up to date as of 8/14/2026. Title 17 was last amended 8/06/2026.
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  1. Title 17 —Commodity and Securities Exchanges
  2. Chapter II —Securities and Exchange Commission
  3. Part 230   View Full Text
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 230General Rules and Regulations, Securities Act of 1933230.100 – 230.1001
General
§ 230.100Definitions of terms used in the rules and regulations.
§ 230.110Business hours of the Commission.
§ 230.111Payment of filing fees.
§ 230.120Inspection of registration statements.
§ 230.122Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.130Definition of “rules and regulations” as used in certain sections of the Act.
§ 230.131Definition of security issued under governmental obligations.
§ 230.132Definition of “common trust fund” as used in section 3(a)(2) of the Act.
§ 230.133Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer for sale”.
§ 230.134Communications not deemed a prospectus.
§ 230.134aOptions material not deemed a prospectus.
§ 230.134bStatements of additional information.
§ 230.135Notice of proposed registered offerings.
§ 230.135aGeneric advertising.
§ 230.135bMaterials not deemed an offer to sell or offer to buy nor a prospectus.
§ 230.135cNotice of certain proposed unregistered offerings.
§ 230.135dCommunications involving security-based swaps.
§ 230.135eOffshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.136Definition of certain terms in relation to assessable stock.
§ 230.137Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.138Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.139Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139aPublications by brokers or dealers distributing asset-backed securities.
§ 230.139bPublications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 230.140Definition of “distribution” in section 2(11) for certain transactions.
§ 230.141Definition 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.
§ 230.142Definition of “participates” and “participation,” as used in section 2(11), in relation to certain transactions.
§ 230.143Definition 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.
§ 230.144Persons deemed not to be engaged in a distribution and therefore not underwriters.
§ 230.144APrivate resales of securities to institutions.
§ 230.145Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.145aBusiness combinations with reporting shell companies.
§ 230.146Rules under section 18 of the Act.
§ 230.147Intrastate offers and sales.
§ 230.147AIntrastate sales exemption.
§ 230.148Exemption from general solicitation or general advertising.
§ 230.149Definition of “exchanged” in section 3(a)(9), for certain transactions.
§ 230.150Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.
§ 230.151Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.152Integration.
§ 230.152aOffer or sale of certain fractional interests.
§ 230.153Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions.
§ 230.153aDefinition 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.
§ 230.153bDefinition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.
§ 230.154Delivery of prospectuses to investors at the same address.
§ 230.155 [Reserved]
§ 230.156Investment company and registered non-variable annuity sales literature.
§ 230.157Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.158Definitions of certain terms in the last paragraph of section 11(a).
§ 230.159Information available to purchaser at time of contract of sale.
§ 230.159ACertain definitions for purposes of section 12(a)(2) of the Act.
§ 230.160Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 230.161Amendments to rules and regulations governing exemptions.
§ 230.162Submission of tenders in registered exchange offers.
§ 230.163Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163AExemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.
§ 230.163BExemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.164Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.165Offers made in connection with a business combination transaction.
§ 230.166Exemption from section 5(c) for certain communications in connection with business combination transactions.
§ 230.167Communications in connection with certain registered offerings of asset-backed securities.
§ 230.168Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
§ 230.169Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.170Prohibition of use of certain financial statements.
§ 230.171Disclosure detrimental to the national defense or foreign policy.
§ 230.172Delivery of prospectuses.
§ 230.173Notice of registration.
§ 230.174Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.175Liability for certain statements by issuers.
§ 230.176Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
§ 230.180Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.
§ 230.190Registration of underlying securities in asset-backed securities transactions.
§ 230.191Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
§ 230.192Conflicts of interest relating to certain securitizations.
§ 230.193Review of underlying assets in asset-backed securities transactions.
§ 230.194Definitions of the terms “swap” and “security-based swap” as used in the Act.
§ 230.215Accredited investor.
Regulation A-R—Special Exemptions230.236 – 230.241
Regulation A—Conditional Small Issues Exemption230.251 – 230.346
Regulation C—Registration
§ 230.400Application of §§ 230.400 to 230.494, inclusive.
General Requirements230.401 – 230.419
Form and Content of Prospectuses230.420 – 230.433
Written Consents230.436 – 230.447
Filings; Fees; Effective Date230.455 – 230.467
Amendments; Withdrawals230.470 – 230.479
Investment Companies; Business Development Companies
§ 230.480Title of securities.
§ 230.481Information required in prospectuses.
§ 230.482Advertising by an investment company as satisfying requirements of section 10.
§ 230.483Exhibits for certain registration statements.
§ 230.484Undertaking required in certain registration statements.
§ 230.485Effective date of post-effective amendments filed by certain registered investment companies or issuers offering registered non-variable annuities.
§ 230.486Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.487Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.488Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.489Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
Registration by Foreign Governments or Political Subdivisions Thereof230.490 – 230.498A
Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933230.500 – 230.508
Regulation E—Exemption for Securities of Small Business Investment Companies230.601 – 230.703(T)
Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations230.800 – 230.802
Regulation S—Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
§ 230.901General statement.
§ 230.902Definitions.
§ 230.903Offers or sales of securities by the issuer, a distributor, any of their respective affiliates, or any person acting on behalf of any of the foregoing; conditions relating to specific securities.
§ 230.904Offshore resales.
§ 230.905Resale limitations.
Regulation CE—Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law230.1001
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