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(h) All information included in a newspaper prospectus shall be set forth in type at least as large as seven point modern
type; provided, however, that such information shall not be so arranged as to be misleading or obscure the informa
tion required to be included in such a prospectus. (i) Five copies of every proposed newspaper prospectus, in the size and form in which it is intended to be published,
shall be filed with the Commission at least three business days before definitive copies thereof are submitted to the newspaper, magazine or other periodical for publication. Within seven days after publication, five additional copies shall be filed in the exact form in which it was published and shall be accompanied by a statement of the date and manner of its publication.
Preparation of Registration Statement
(a) A registration statement on Form N-1A, Form N-3, or Form N-4 shall consist of the facing sheet of the applicable
form; cross-reference sheet; a prospectus containing the information called for by such form; the information; list of exhibits; undertakings and signatures required to be set forth in such form; financial statements and schedules; exhibits; any other information or documents filed as part of the registration statement; and all documents or infor
mation incorporated by reference in the foregoing (whether or not required to be filed). (b) All general instructions, instructions to items of the form, and instructions as to financial statements, exhibits, or
prospectuses are to be omitted from the registration statement in all cases. (c) In the case of a registration statement filed on Form N-1A, Form N-3, or Form N-4, Parts A and B shall contain
the information called for by each of the items of the applicable Part, except that unless otherwise specified, no reference need be made to inapplicable items, and negative answers to any item may be omitted. Copies of Parts A and B may be filed as part of the registration statement in lieu of furnishing the information in item-and-answer form. Wherever such copies are filed in lieu of information in item-and-answer form, the text of the items of the form is to be omitted from the registration statement, as well as from Parts A and B, except to the extent provided in para
graph (d) of this rule. (d) In the case of a registration statement filed on Form N-1A, Form N-3, or Form N-4, where any item of those forms
calls for information not required to be included in Parts A and B, (generally Part C of such form) the text of such items, including the numbers and captions thereof, together with the answers thereto shall be filed with Parts A and B under cover of the facing sheet of the form as a part of the registration statement. However, the text of such items may be omitted provided the answers are so prepared as to indicate the coverage of the item without the necessity of reference to the text of the item. If any such item is inapplicable, or the answer thereto is in the negative, a statement to that effect shall be made. Any financial statements not required to be included in Parts A or B shall also be filed as part of the registration proper, unless incorporated by reference pursuant to Rule 411 (8230.411 of this chapter).
Contents of Prospectus Used After Nine Months
Reg. 8230.496. In the case of a registration statement filed on Form N-1A, Form N-3, or Form N-4 there may be omitted from any prospectus or Statement of Additional Information used more than 9 months after the effective date of the registration statement any information previously required to be contained in the prospectus or the Statement of Additional Information insofar as later information covering the same subjects, including the latest available certified financial statements, as of a date not more than 16 months prior to the use of the prospectus or the Statement of Additional Information is contained therein.
Filing of Prospectus-Number of Copies
(a) Five copies of every form of prospectus sent or given to any person prior to the effective date of the registration state
ment which varies from the form or forms of prospectus included in the registration statement as filed pursuant to 8230.402(a) of this chapter shall be filed as a part of the registration statement not later than the date such form of prospectus is first sent or given to any person: Provided, however, that an investment company advertisement which is deemed to be a prospectus pursuant to $230.434d of this chapter and which is required to be filed pursuant to this paragraph shall not be filed as part of the registration statement.
(b) Within 5 days after the effective date of a registration statement or the commencement of a public offering after the
effective date of a registration statement, whichever occurs later, 10 copies of each form of prospectus used after the effective date in connection with such offering shall be filed with the Commission in the exact form in which it was used.
(c) For investment companies filing on Form N-1A (8239.12A and $274.11A of this chapter), Form N-3 (8239.17a and
8274.11b of this chapter), or Form N-4 (8239.17b and $274.11c of this chapter), within five days after the effective date of a registration statement or the commencement of a public offering after the effective date of a registration statement, whichever occurs later, ten copies of each form of prospectus and Statement of Additional Information used after the effective date in connection with such offering shall be filed with the Commission in the exact form in which it was used.
(d) After the effective date of a registration statement no prospectus which purports to comply with section 10 of the
Act and which varies from any form of prospectus filed pursuant to paragraph (b) or (c) of this rule shall be used until 10 copies thereof have been filed with, or mailed for filing to, the Commission, together with 5 copies of a cross
reference sheet similar to that previously filed, if changed. (e) For investment companies filing on Form N-1A, Form N-3, or Form N-4, after the effective date of a registration
statement no prospectus which purports to comply with section 10 of the Act or Statement of Additional Information which varies from any form of prospectus or Statement of Additional Information filed pursuant to paragraph (b) of this rule shall be used until copies thereof have been filed with, or mailed for filing to, the Commission, together
with five copies of a cross reference sheet similar to that previously filed, if changed. (f) Every prospectus consisting of a radio or television broadcast shall be reduced in writing. Five copies of every such
prospectus shall be filed with the Commission at least five days before it is broadcast or otherwise issued to the public. (8) Each copy of a prospectus filed under this rule shall contain in the upper right corner of the cover page the paragraph
of this rule under which the filing is made and the file number of the registration statement to which the prospectus
relates. The information required by this paragraph may be set forth in longhand, provided it is legible. (h) No later than the second business day following the earlier of the date of the determination of the offering price or
the date it is first used after effectiveness in connection with a public offering or sales, ten copies of every form of prospectus and Statement of Additional Information, where applicable, that discloses the information previously omitted from the prospectus filed as part of an effective registration statement in reliance upon Rule 430A under the Securities Act ($230.430A of this chapter) shall be filed with the Commission in the exact form in which it is used, or transmitted by a means reasonably calculated to result in filing with the Commission by that date.
EDGAR Temporary Rule
(a) Scope. In conjunction with the applicable rules and regulations under the Securities Act, particularly Regulation C
(8230.400 et seq. of this chapter), this rule shall govern registration of securities under the Act by registrants permitted to participate in the EDGAR pilot and shall be controlling for an electronic format document in the manner and respects
provided for in paragraphs (b)(1) through (c)(8) of this section. (b) Definitions. Unless otherwise specifically provided, the terms used in this rule have the same meanings as in the Act
and in the general rules, regulations and forms. In addition, the following definitions of terms apply specifically to
mitted to the Commission by direct digital transmission, magnetic tape or diskette.
ten" in section 2(9) of the Securities Act, shall include magnetic impulse or other form of computer data compilation. (4) Original. The term "original”, when used or implied in the Act, rules, regulations or forms, shall include the
writing itself of any counterpart intended to have the same effect by a person executing or issuing it. If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original".
(5) Received. The term “received” when used to determine the filing date, i.e., the date “received” by the Commis
sion, shall be the date on which such filing is accepted, as determined by the Commission for a document filed
in an electronic format. (6) Red ink. The required presentation of any legend, statement or caption in red ink (horizontal or vertical to the
page) is satisfied in an electronic format if such legend, statement or caption is in a prominent position and set off from the rest of the text by a box or similar form of border enclosing such legend, statement or caption on all four sides.
(7) Signed. The term "signed" shall include the entry in the form of a magnetic impulse or other form of computer
data compilation of any symbol or series of symbols executed, adodpted or authorized as a signature. (c) Suspended or substituted requirements. The following paragraphs refer to requirements that are suspended or replaced,
in whole or in part, for a document in an electronic format. (1) Binding. The requirement for a copy to be bound in one or more parts shall be satisfied by including in or with
a single submission in an electronic format all documents required to be so bound. (2) Filing of documents incorporated by reference. Wherever a document, or part thereof, which is incorporated by
reference into a directly transmitted electronic filing is required to be filed with, provided with, or is to accompany the filing to the Commission and such document is not in an electronic format, such requirement shall be suspended, provided that the document is filed with the Commission on the same day or has been filed with or provided to the Commission previously. A directly transmitted electronic filing that incorporates by reference a required document shall not be accepted until the document incorporated by reference has been received by the Commission. Any requirement as to delivery or provisions to persons other than the Commission shall not
be affected by this paragraph. (3) Number of copies required to be filed. One copy of a document filed in an electronic format shall satisfy any
requirement that more than one copy of such document be filed with or provided to the Commission. (4) Paper. Whenever the term “paper" appears the term “electronic format" also shall be included unless the con
text refers specifically to characteristics of paper. (5) Type size required. Any reference to specific size type shall be suspended for documents while in an electronic format. (6) Rule 403 of Regulation C, "Requirements as to paper, printing, language and pagination”. Paragraph (a) of Rule
403 (8230.403 of this chapter) is suspended for documents while in an electronic format.
(7) Rule 424 of Regulation C, “Filing of Prospectuses-number of copies.” The copies required to be filed by para
graphs (a) and (b) of Rule 424 under the Securities Act ($230.424 of this chapter) shall consist of a copy of the document in an electronic format with an explanation before the cover page that narratively described in detail the variations from such document of any form of prospectus sent or given to any person prior to the effective date of the registration statement or used after the effective date. The explanation shall be a part of the filed document.
(8) Rule 431 of Regulation C, "Summary prospectuses". The requirement in Paragraph (g) of Rule 431 (8230.431
of this chapter) to file the summary prospectus in the exact form in which it was used or published shall be satisfied by filing such document in an electronic format with an explanation before the cover page that narratively describes in detail the variations from such document in any summary prospectus so used or published. The explanation shall be a part of the filed document.
Preparation of registration statements relating to interests in real estate limited partnerships ...,
Disclosures concerning unpaid claims and claim adjustment expenses of property-casualty
Disclosures concerning unpaid claims and claim adjustment expenses of property