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Title 17

Displaying title 17, up to date as of 7/20/2026. Title 17 was last amended 7/20/2026.
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  1. Title 17 —Commodity and Securities Exchanges
  2. Chapter II —Securities and Exchange Commission
  3. Part 260   View Full Text
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 260General Rules and Regulations, Trust Indenture Act of 1939260.0-1 – 260.19a-1
Terms Used in the Rules and Regulations260.0-1 – 260.0-4
§ 260.0-1Application of definitions contained in the act.
§ 260.0-2Definitions of terms used in the rules and regulations.
§ 260.0-3Definition of “rules and regulations” as used in certain sections of the Act.
§ 260.0-4Sequential numbering of documents filed with the Commission.
Office of the Commission260.0-5 – 260.0-11
§ 260.0-5Business hours of the Commission.
§ 260.0-6Nondisclosure of information obtained in the course of examinations and investigations.
§ 260.0-7Small entities for purposes of the Regulatory Flexibility Act.
§ 260.0-11Liability for certain statements by issuers.
Rules Under Section 303260.3(4)-1 – 260.3(4)-3
§ 260.3(4)-1Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions.
§ 260.3(4)-2Definition of “distribution” in section 303(4) for certain transactions.
§ 260.3(4)-3Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
Rules Under Section 304260.4a-1 – 260.4d-12
§ 260.4a-1Exempted securities under section 304(a)(8).
§ 260.4a-2Exempted securities under section 304(d).
§ 260.4a-3Exempted securities under section 304(a)(9).
§ 260.4c-1Form for applications under section 304(c).
§ 260.4c-2General requirements as to form and content of applications.
§ 260.4c-3Number of copies; filing; signatures; binding.
§ 260.4c-4Applications under section 304(c)(1).
§ 260.4c-5Applications under section 304(c)(2).
§ 260.4d-7Application for exemption from one or more provisions of the Act.
§ 260.4d-8Content.
§ 260.4d-9Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
§ 260.4d-10Exemption for securities issued pursuant to § 230.802 of this chapter.
§ 260.4d-11Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
§ 260.4d-12Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240).
Rules Under Section 305260.5a-1 – 260.5b-3
§ 260.5a-1Forms for statements of eligibility and qualification.
§ 260.5a-2General requirements as to form and content of statements of eligibility and qualification.
§ 260.5a-3Number of copies; filing; signatures; binding.
§ 260.5b-1Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.
§ 260.5b-2General requirements as to form and content of applications.
§ 260.5b-3Number of copies—Filing—Signatures.
Rules Under Section 307
Applications for Qualification of Indentures260.7a-1 – 260.7a-9
§ 260.7a-1Form for application.
§ 260.7a-2Powers of agent for service named in application.
§ 260.7a-3Number of copies; filing; signatures; binding.
§ 260.7a-4Calculation of time.
§ 260.7a-5Filing of amendments; number of copies.
§ 260.7a-6Telegraphic delaying amendments.
§ 260.7a-7Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
§ 260.7a-8Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
§ 260.7a-9Delaying amendments.
General Requirements as to Form and Content of Applications, Statements and Reports
General260.7a
§ 260.7a-15Scope of §§ 260.7a-15 to 260.7a-37.
Formal Requirements260.7a-16 – 260.7a-20
§ 260.7a-16Inclusion of items, differentiation between items and answers, omission of instructions.
§ 260.7a-17Quality, color and size of paper.
§ 260.7a-18Legibility.
§ 260.7a-19Margin for binding.
§ 260.7a-20Riders; inserts.
General Requirements as to Contents260.7a-21 – 260.7a-27
§ 260.7a-21Clarity.
§ 260.7a-22Information unknown or not reasonably available.
§ 260.7a-23Statements required where item is inapplicable or where answer is “none”.
§ 260.7a-24Words relating to periods of time in the past.
§ 260.7a-25Words relating to the future.
§ 260.7a-26Disclaimer of control.
§ 260.7a-27Title of securities.
Incorporation by Reference260.7a-28 – 260.7a-32
§ 260.7a-28Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
§ 260.7a-29Incorporation of exhibits as such.
§ 260.7a-30Identification of material incorporated; form of incorporation.
§ 260.7a-31Incorporation by reference of contested material.
§ 260.7a-32Incorporation by reference rendering document incomplete, unclear, or confusing.
Exhibits260.7a-33 – 260.7a-34
§ 260.7a-33Additional exhibits.
§ 260.7a-34Omission of substantially identical documents.
Amendments260.7a-35 – 260.7a-36
§ 260.7a-35Formal requirements as to amendments.
§ 260.7a-36Signatures to amendments.
Inspection and Publication of Applications, Statements and Reports260.7a-37
§ 260.7a-37Inspection of applications, statements and reports.
Rule Under Section 310260.10a-1 – 260.10b-6
§ 260.10a-1Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
§ 260.10a-2General requirements as to form and content of applications.
§ 260.10a-3Number of copies—Filing—Signatures.
§ 260.10a-4Consent of trustee to service of process.
§ 260.10a-5Eligibility of Canadian Trustees.
§ 260.10b-1Calculation of percentages.
§ 260.10b-2Applications under section 310(b)(1)(ii).
§ 260.10b-3Applications relative to affiliations between trustees and underwriters.
§ 260.10b-4Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
§ 260.10b-5Content.
§ 260.10b-6Notices—Exemptive Application Procedure.
Rules Under Section 311260.11b-4 – 260.11b-6
§ 260.11b-4Definition of “cash transaction” in section 311(b)(4).
§ 260.11b-6Definition of “self-liquidating paper” in section 311(b)(6).
Rules Under Section 314
Periodic Reports260.14a – 260.19a-1
§ 260.14a-1Application of §§ 260.7a-15 to 260.7a-38.
§ 260.19a-1Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
eCFR Content