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Title 17

Displaying title 17, up to date as of 9/16/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter II Securities and Exchange Commission 200 – 399
Part 230 General Rules and Regulations, Securities Act of 1933 230.100 – 230.1001
General
§ 230.100 Definitions of terms used in the rules and regulations.
§ 230.110 Business hours of the Commission.
§ 230.111 Payment of fees.
§ 230.120 Inspection of registration statements.
§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations.
§ 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.
§ 230.134b Statements of additional information.
§ 230.135 Notice of proposed registered offerings.
§ 230.135a Generic advertising.
§ 230.135b Materials not deemed an offer to sell or offer to buy nor a prospectus.
§ 230.135c Notice of certain proposed unregistered offerings.
§ 230.135d Communications involving security-based swaps.
§ 230.135e Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.
§ 230.136 Definition of certain terms in relation to assessable stock.
§ 230.137 Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities.
§ 230.138 Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.
§ 230.139 Publications or distributions of research reports by brokers or dealers distributing securities.
§ 230.139a Publications by brokers or dealers distributing asset-backed securities.
§ 230.139b Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.
§ 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.
§ 230.144A Private resales of securities to institutions.
§ 230.145 Reclassification of securities, mergers, consolidations and acquisitions of assets.
§ 230.146 Rules under section 18 of the Act.
§ 230.147 Intrastate offers and sales.
§ 230.147A Intrastate sales exemption.
§ 230.148 Exemption from general solicitation or general advertising.
§ 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.
§ 230.151 Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).
§ 230.152 Integration.
§ 230.152a Offer or sale of certain fractional interests.
§ 230.153 Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, 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.
§ 230.154 Delivery of prospectuses to investors at the same address.
§ 230.155 [Reserved]
§ 230.156 Investment company sales literature.
§ 230.157 Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.
§ 230.158 Definitions of certain terms in the last paragraph of section 11(a).
§ 230.159 Information available to purchaser at time of contract of sale.
§ 230.159A Certain definitions for purposes of section 12(a)(2) of the Act.
§ 230.160 Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.
§ 230.161 Amendments to rules and regulations governing exemptions.
§ 230.162 Submission of tenders in registered exchange offers.
§ 230.163 Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.
§ 230.163A Exemption 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.
§ 230.163B Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.
§ 230.164 Post-filing free writing prospectuses in connection with certain registered offerings.
§ 230.165 Offers made in connection with a business combination transaction.
§ 230.166 Exemption from section 5(c) for certain communications in connection with business combination transactions.
§ 230.167 Communications in connection with certain registered offerings of asset-backed securities.
§ 230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.
§ 230.169 Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.
§ 230.170 Prohibition of use of certain financial statements.
§ 230.171 Disclosure detrimental to the national defense or foreign policy.
§ 230.172 Delivery of prospectuses.
§ 230.173 Notice of registration.
§ 230.174 Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
§ 230.175 Liability for certain 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.
§ 230.190 Registration of underlying securities in asset-backed securities transactions.
§ 230.191 Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.
§ 230.193 Review of underlying assets in asset-backed securities transactions.
§ 230.194 Definitions of the terms “swap” and “security-based swap” as used in the Act.
§ 230.215 Accredited investor.
Special Exemptions 230.236 – 230.241
Conditional Small Issues Exemption 230.251 – 230.346
Registration
§ 230.400 Application of §§ 230.400 to 230.494, inclusive.
eneral requirements 230.401 – 230.419
form and content of prospectuses 230.420 – 230.433
written consents 230.436 – 230.447
filings; fees; effective date 230.455 – 230.467
amendments; withdrawals 230.470 – 230.479
investment companies; business development companies
§ 230.480 Title of securities.
§ 230.481 Information required in prospectuses.
§ 230.482 Advertising by an investment company as satisfying requirements of section 10.
§ 230.483 Exhibits for certain registration statements.
§ 230.484 Undertaking required in certain registration statements.
§ 230.485 Effective date of post-effective amendments filed by certain registered investment companies.
§ 230.486 Effective date of post-effective amendments and registration statements filed by certain closed-end management investment companies.
§ 230.487 Effectiveness of registration statements filed by certain unit investment trusts.
§ 230.488 Effective date of registration statements relating to securities to be issued in certain business combination transactions.
§ 230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries.
registration by foreign governments or political subdivisions thereof 230.490 – 230.498A
Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 230.500 – 230.508
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.
§§ 230.651-230.656 [Reserved]
§ 230.701 Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
§§ 230.702(T)-230.703(T) [Reserved]
Exemptions for Cross-Border Rights Offerings, Exchange Offers and Business Combinations
§ 230.800 Definitions for §§ 230.800, 230.801 and 230.802.
§ 230.801 Exemption in connection with a rights offering.
§ 230.802 Exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers.
Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
§ 230.901 General statement.
§ 230.902 Definitions.
§ 230.903 Offers 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.
§ 230.904 Offshore resales.
§ 230.905 Resale limitations.
Coordinated Exemptions for Certain Issues of Securities Exempt Under State Law 230.1001