chapter) as required by Rule 609 of Regulation E (§ 230.609 of this chapter). §§ 239.202—239.299 [Reserved] § 239.300 Form 1-F, notification under Regulation F. This form shall be used for notification pursuant to Rule 652 (§ 230.652 of this chapter) of Regulation F (§ 230.651-§ 230.656 of this chapter) in connection with sales of assessable stock. § 239.500 Form D, notice of sales of securities 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 are 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. (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. § 239.701 Form 701, report of sales securities pursuant to a compensatory benefit plan or contract relating 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 (§ 230.701 of this chapter). [53 FR 12922, Apr. 20, 1988] FINDING AIDS A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually. Material Approved for Incorporation by Reference Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR Material Approved for Incorporation by Reference (Revised as of April 1, 1995) The Director of the Federal Register has approved under 5 U.S.C. 552(a) and 1 CFR Part 51 the incorporation by reference of the following publications. This list contains only those incorporations by reference effective as of the revision date of this volume. Incorporations by reference found within a regulation are effective upon the effective date of that regulation. For more information on incorporation by reference, see the preliminary pages of this volume. 17 CFR CHAPTER II (PARTS 200 TO 239) SECURITIES AND EXCHANGE COMMISSION Securities and Exchange Commission Public Reference Room, Mail Stop 1-2, 450 5th Street, NW., Washington, DC 20549 NOTE: The following is also available in paper format by calling 17 CFR EDGAR Filer Manual: Guide for Electronic Filing with the U.S. Securi- 232.301 ties and Exchange Commission (Release 4.10), January 1995. |