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8 239.43 Form F-N, appointment of

agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of

securities in the United States. Form F-N shall be filed with the Commission in connection with the filing of a registration statement under the Act by those entities specified in rule 489 (17 CFR 230.489).

(56 FR 56299, Nov. 4, 1991)

88 239.44-239.60 (Reserved)

$ 239.61 Form SR, report of sales of se

curities and use of proceeds there

from. This form shall be used for filing a report of sales of securities in use of proceeds pursuant to $ 230.463 of this chapter. (46 FR 48142, Oct. 1, 1981)

§ 239.42 Form F-X, for appointment of

agent for service of process and undertaking for issuers registering securities on Form F-8, F-9, F-10, or F-80 (88 239.38, 239.39, 239.40, or 239.41 of this chapter) or registering securities or filing periodic reports on Form 40-F (8 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E4F, 14D-1F or 14D-9F (88 240.13e102, 240.14d-102 or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37 of this chapter), F-8, F-9, F-10, F-80 or SB-2 (8 239.10 of this chapter), or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (230.251 et seq.) on Form 1-A (8 239.90 of this chapter), or registering securities

on Form SB-2. Form F-X shall be filed with the Commission:

(a) By any issuer registering securities on Form F-8, F-9, F-10, F-80 or SB-2 under the Securities Act of 1933;

(b) By any issuer registering securities on Form 40-F under the Securities Exchange Act of 1934;

(c) By any issuer filing a periodic report on Form 40-F, if it has not previously filed a Form F-X in connection with the class of securities in relation to which the obligation to file a report on Form 40-F arises;

(d) By any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F;

(e) By any non-U.S. person acting as trustee with respect to securities registered on Form F-7, F-8, F-9, F-10 or F-80; and

(f) By a Canadian issuer qualifying an offering statement pursuant to the provisions of Regulation A, or registering securities on Form SB-2.

$ 239.62 Form ET, transmittal form for

electronic format documents on magnetic tape or diskette to be filed

on the EDGAR system. This form shall accompany electronic filings submitted on magnetic tape or diskette under the EDGAR system.

(57 FR 18218, Apr. 29, 1992)

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form ET, see the List of CFR Sections Affected in the Finding Aids section of this volume.

8 239.63 Form ID, uniform application

for access codes to file on EDGAR. (a) Form ID is to be used by registrants, third party filers, or their agents for the purpose of requesting assignment of access codes to permit filing on EDGAR, as follows:

(1) Central Index Key (CIK)-uniquely identifies each filer, filing agent, and training agent.

(2) CIK Confirmation Code (CCC) used in the header of a filing in conjunction with the CIK of the filer to ensure that the filing has been authorized by the filer.

(3) Password (PW)-allows a filer, filing agent or training agent to log on to the EDGAR system, submit filings, and change its CCC.

(56 FR 30067, July 1, 1991, as amended at 57 FR 36475, Aug. 13, 1992)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form F-X, see the List of CFR Sections Affected in the Finding Aids section of this volume.

(4) Password Modification Authorization Code (PMAC)allows a filer, filing agent or training agent to change its Password.

(b) Form ID also may be used or the purpose of requesting a reassignment of their CCC, PW and PMAC. (57 FR 18218, Apr. 29, 1992)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form ID, see the List of CFR Sections Affected in the Finding Aids section of this volume.

8 239.91 Form 2-A, report pursuant to

Rule 257 of Regulation A. This form shall be used for reports of sales and use of proceeds pursuant to Rule 257 of Regulation A ($ 230.257 of this chapter).

(57 FR 36476, Aug. 13, 1992)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form 2-A, see the List of CFR Sections Affected in the Finding Aids section of this volume.

88 239.92—239.100 [Reserved)

8 239.64 Form SE, form for submission

of paper format exhibits by elec

tronic filers. This form shall be used by an electronic filer for the submission of any paper format document relating to an otherwise electronic filing, as provided in Rule 311 of Regulation S-T (232.311 of this chapter). (58 FR 14682, Mar. 18, 1993)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form SE, see the List of CFR Sections Affected in the Finding Aids section of this volume.

8 239.65 Form TH-Notification of reli

ance on temporary hardship exemp

tion. Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper format that otherwise would be required to be submitted electronically, as prescribed by Rule 201(a) of Regulation S-T (8232.201(a) of this chapter). (58 FR 14682, Mar. 18, 1993)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form TH, see the List of CFR Sections Affected in the Finding Aids section of this volume.

8 239.101 Schedules and forms for of.

fering sheets pertaining to fractional undivided interests in oil or gas rights offered pursuant to ex. emption under Regulation B

(88230.300–230.346 of this chapter). (a) An offeror of fractional undivided interests in oil or gas rights pursuant to $$ 230.300–230.346 of this chapter shall file an offering sheet, in accordance with $ 230.310 or $230.312 of this chapter, upon the applicable schedule listed below:

(1) Schedule A. If the interests offered are producing landowners' royalty interests.

(2) Schedule B. If the interests offered are nonproducing landowners' royalty interests.

(3) Schedule C. If the interests offered are producing overriding royalty interests, working interests, or participating interests, or are oil payments, gas payments, or oil and gas payments to be made from tracts represented to be producing at the time of the offering.

(4) Schedule D. If the interests offered are nonproducing overriding royalty interests, working interests, or participating interests, or are oil payments, gas payments, or oil and gas payments to be made from tracts represented to be nonproducing at the time of the offering.

(b) An offeror will also have the obligation of filing the following reports in accordance with $ 230.316 of this chapter:

(1) Form 1-G. One copy of this report will be filed with the Commission within 15 days after the expiration of the offering sheet or the termination of sales, whichever date is earlier. This form will report the sales of oil or gas

Subpart B-Forms Pertaining to

Exemptions

8 239.90 Form 1-A, offering statement

under Regulation A. This form shall be used for filing under Regulation A (S$ 230.251-230.263 of this chapter). (57 FR 36476, Aug. 13, 1992)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form 1-A, see the List of CFR Sections Affected in the Finding Aids section of this volume.

interests pursuant to $8230.300—230.346 of this chapter.

(2) Form 3-G. Four copies of this report will be filed with the Commission within 3 calendar months after the termination of any offering pursuant to 88 230.300—230.346 of this chapter. This form will report the results of the offering.

NOTE: Copies of amended Form 1-G and newly adopted Form 3-G have been filed with the Office of Federal Register as part of this document and are available upon request at the Securities and Exchange Commission, Washington, DC 20549. (37 FR 23835, Nov. 9, 1972)

information given will be available for inspection by any member of the public. Because of the public nature of the information, the Commission can utilize it for a variety of purposes, including referral to other governmental authorities or securities self-regulatory organizations for investigatory purposes or in connection with litigation involving the Federal securities laws or other civil, criminal or regulatory statutes or provisions. Social security account numbers, if furnished, will assist the Commission in identifying persons desiring to sell unregistered securities and, therefore, in promptly processing notices of proposed sale of securities. Failure to disclose the information requested by Form 144, except for social security account numbers, would make an exception under Rule 144 unavailable and may result in civil or criminal action for violations of the Federal securities laws.

88 239.102—239.143 (Reserved)

(37 FR 4329, Mar. 2, 1972, as amended at 40 FR 55319, Nov. 28, 1975; 43 FR 5423, Nov. 21, 1978]

EDITORIAL NOTE; For FEDERAL REGISTER CItations affecting Form 144, see the List of CFR Sections Affected in the Finding Aids section of this volume.

88 239.145—239.199 (Reserved]

8 239.144 Form 144, for notice of pro

posed sale of securities pursuant to

§ 230.144 of this chapter. (a) Except as indicated in paragraph (b) of this section, this form shall be filed in triplicate with the Commission at its principal office in Washington, DC, by each person who intends to sell securities in reliance upon $ 230.144 of this chapter and shall be transmitted for filing concurrently with either the placing with a broker of an order to execute a sale of securities or the execution directly with a market maker of a sale of securities.

(b) This form need not be filed if the amount of securities to be sold during any period of 3 months does not exceed 500 shares or other units and the aggregate sale price thereof does not exceed $10,000.

(c) Under sections 2(11), 4(1), 4(2), 4(4) and 19(a) of the Securities Act of 1933 (17 CFR 230) and Rule 144 thereunder, the Commission is authorized to solicit the information required to be supplied by this form by persons desiring to sell unregistered securities. Disclosure of the information specified in this form is mandatory prior to processing notices of proposed sale of securities under Rule 144, except for social security account numbers, disclosure of which is voluntary. The information will be used for the primary purpose of disclosing the proposed sale of unregistered securities by persons deemed not to be engaged in the distribution of securities. This notice will be made a matter of public record. Therefore, any

8 239.200 Form 1-E, notification under

Regulation E. This form shall be used for notification pursuant to Rule 604 ($ 230.604 of this chapter) of Regulation (S$ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (8230.602 of this chapter). (Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c (b) and (c); sec. 38, Investment Company Act of 1940 (15 U.S.C. 80a-37)) (49 FR 35347, Sept. 7, 1984)

EDITORIAL NOTE: Form 1-E amended at 49 FR 35347, Sept. 7, 1984.

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chapter) as required by Rule 609 of Regulation E ($230.609 of this chapter).

88 239.202—239.299 (Reserved)

8 239.300 Form 1-F, notification under

Regulation F. This form shall be used for notification pursuant to Rule 652 (8230.652 of this chapter) of Regulation F ($ 230.651—$ 230.656 of this chapter) in connection with sales of assessable stock.

(d) Amendments to notices filed under paragraph (a) need only report the issuer's name and the information required by Part C and any material change in the facts from those set forth in Parts A and B.

(e) A notice on Form D shall be considered filed with the Commission under paragraph (a) of this section:

(1) As of the date on which it is received at the Commission's principal office in Washington DC; or

(2) As of the date on which the notice is mailed by means of United States registered or certified mail to the Commission's principal office in Washington, DC, if the notice is delivered to such office after the date on which it is required to be filed. (54 FR 11374, Mar. 20, 1989)

EDITORIAL NOTE: Form D was revised at 51 FR 36387, Oct. 10, 1986.

8 239.500 Form D, notice of sales of se

curities under Regulation D and section 4(6) of the Securities Act of

1933. (a) Five copies of a notice on this form shall be filed with the Commission no later than 15 days after the first sale of securities in an offering under Regulation D ($ 230.501—$ 230.508 of this chapter) or under section 4(6) of the Securities Act of 1933.

(b) One copy of every notice on Form D shall be manually signed by a person duly authorized by the issuer.

(c) When sales made under $ 230.505, the notice shall contain an undertaking by the issuer to furnish to the Commission, upon the written request of its staff, the information furnished to non-accredited investors.

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8 239.701 Form 701, report of sales se

curities pursuant to compensatory benefit plan or contract re

lating to compensation. This form shall be used for the report of sales of securities pursuant to a compensatory benefit plan or contract relating to compensation under Rule 701 (8230.701 of this chapter). (53 FR 12922, Apr. 20, 1988)

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