Stat. 857; sec. 8, 68 Stat. 685; sec. 308(a)(2), 90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a), 48 Stat. 882, 892, 894, 895, 901; secs. 203(a), 1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202, 68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569, 570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs. 28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat. 117, 118, 119; sec. 308(b), 90 Stat. 57; sec. 18, 89 Stat. 155; secs. 202, 203, 204, 91 Stat. 1494, 1498-1500; sec. 20(a), 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a), 80a-37)

[50 FR 40484, Nov. 4, 1985]

EDITORIAL NOTE: Form ET amended at 50 FR 23291, June 3, 1985; 50 FR 40484, Oct. 4, 1985.

§ 239.63 Form ID, uniform application for identification numbers and passwords under the EDGAR pilot.

(a) Form ID is to be used by persons participating in the EDGAR Pilot for the purpose of requesting assignment of:

(1) Company Identification Number (CIK)-used internally by the Commission to uniquely identify each registrant;

(2) Company Password-a unique command assigned to a registrant which is essential to obtain access to the electronic filing system for the purpose of inputting data on behalf of that registrant;

(3) Personal Identification Number (PIN)-a series of symbols, which serves as a signature, to be assigned upon request to each individual who may sign documents filed with the Commission.

(b)(1) CIK and Passwords may be requested only by the registrant or by a duly authorized person (e.g., officer, director or trustee) on its behalf.

(2) PIN may be requested only by the person to whom the number is to be assigned.

(Secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 8, 68 Stat. 685; sec. 308(a)(2), 90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a), 48 Stat. 882, 892, 894, 895, 901; secs. 203(a), 1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202, 68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569, 570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs. 28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat. 117, 118, 119; sec. 308(b), 90 Stat. 57; sec. 18, 89 Stat. 155; secs. 202, 203, 204, 91 Stat.

1494, 1498-1500; sec. 20(a), 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a), 80a-37)

[49 FR 28049, July 10, 1984]

EDITORIAL NOTE: Form ID amended at 50 FR 23291, June 3, 1985; 50 FR 40484, Oct. 4, 1985.

§ 239.64 Form SE, transmittal form for paper format documents under the Edgar pilot.

This form shall be used for the filing of any exhibit(s) to be incorporated by reference into a registration statement or report pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Public Utility Holding Company Act of 1935 and the Investment Company Act of 1940 provided such registrant:

(a) Is filing in an electronic format under the EDGAR Pilot project; and

(b) Determines that it is impracticable, in its judgment, to file such document(s) in an electronic format.

(Secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 8, 68 Stat. 685; sec. 308(a)(2), 90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a), 48 Stat. 882, 892, 894, 895, 901; secs. 203(a), 1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202, 68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569, 570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs. 28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat. 117, 118, 119; sec. 308(b), 90 Stat. 57; sec. 18, 89 Stat. 155; secs. 202, 203, 204, 91 Stat. 1494, 1498-1500; sec. 20(a), 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a), 80a-37)

[49 FR 28050, July 10, 1984, as amended at 50 FR 40484, Oct. 4, 1985; 51 FR 11908, Apr. 8, 1986]

EDITORIAL NOTE: Form SE revised 51 FR 11908, Apr. 8, 1986.

Subpart B-Forms Pertaining to Exemptions

§ 239.90 Form 1-A, offering statement under Regulation A.

This form shall be used for filing of a notification under § 230.255 of Regu

lation A (§§ 230.251–230.264 of this chapter).

[46 FR 41770, Aug. 18, 1981]

EDITORIAL NOTE: Form 1-A revised at 47 FR 39992, Sept. 10, 1982.

§ 239.91 Form 2-A, report pursuant to Rule 260 of Regulation A.

This form shall be used for report of sales pursuant to Rule 260 of Regulation A (§ 230.260 of this chapter).

§ 239.92 Form 3-A, irrevocable appointment by an individual of agent for service of process, pleadings, and other papers pursuant to Rule 262 of Regulation A.

This form shall be used for irrevocable appointment by an individual of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A (§ 230.262 of this chapter).

§ 239.93 Form 4-A, irrevocable appointment by a corporation (or association or other form of organization) of agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A.

This form shall be used for irrevocable appointment by a corporation (or an association or other form of organization) of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A (§ 230.262 of this chapter).

§ 239.94 Form 5-A, certificate of resolution authorizing irrevocable appointment by a corporation (or association or other form of organization) of agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A.

This form shall be used for the certificate of resolution authorizing the irrevocable appointment by a corporation (or association or other form of organization) of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A (§ 230.262 of this chapter).

§ 239.95 Form 6-A, irrevocable appointment by partnership of agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A.

This form shall be used for irrevocable appointment by a partnership of an agent for service of process, pleadings, and other papers, pursuant to Rule 262 of Regulation A (§ 230.262 of this chapter).

§ 239.96 Form 7A, optional form of escrow for securities that are subject to the provisions of Rule 253(c) of Regulation A (§ 230.253(c) of this chapter).

This form is an optional form of escrow for securities that are subject to the provisions of Rule 253(c) of Regulation A (§ 230.253(c) of this chapter).

[46 FR 41770, Aug. 18, 1981]

EDITORIAL NOTE: Form 7A revised at 47 FR 34946, Aug. 11, 1982.

§§ 239.97-239.100 [Reserved]

§ 239.101 Schedules and forms for offering sheets pertaining to fractional undivided interests in oil or gas rights offered pursuant to exemption under Regulation B (§§ 230.300-230.346 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 pay

ments, 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 interests pursuant to §§ 230.300-230.346 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 §§ 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, D.C. 20549. [37 FR 23835, Nov. 9, 1972]

§§ 239.102-239.143 [Reserved]

§ 239.144 Form 144, for notice of proposed 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, D.C., 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 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.

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

§§ 239.145-239.199 [Reserved]

§ 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 E (§§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§ 230.602 of this chapter).

(Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c (b) and (c); sec. 38, Invest

ment Company Act of 1940 (15 U.S.C. 80a37))

[49 FR 35347, Sept. 7, 1984]

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

§ 239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E. This form shall be used for report of sales of securities under Regulation E (§§ 230.601-230.610a of this chapter) by a small business investment company described in Rule 602 (§ 230.602 of this 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 at the following times:

(1) No later than 15 days after the first sale of securities in an offering under Regulation D (§ 230.501

§ 230.506 of this chapter) or under section 4(6) of the Securities Act of 1933;

(2) Every six months after the first sale of securities in an offering under Regulation D or under section 4(6), unless the final notice required by paragraph (a)(3) of this section has been filed; and

(3) No later than 30 days after the last sale of securities in an offering under Regulation D or under section 4(6).

(b) If the offering is completed within the 15 day period described in paragraph (a)(1) of this section and if the notice is filed no later than the end of that period but after the completion of the offering, then only one notice need be filed to comply with paragraphs (a) (1) and (3) of this section.

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

(d) If more than one notice for an offering is required to be filed under paragraph (a) of this section, notices after the first notice 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 of the first notice.

(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, D.C.; 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 Office of Small Business Policy, Division of Corporation Finance, at the Commission's principal office in Washington, D.C., if the notice is delivered to such office after the date on which it is required to be filed.

[47 FR 11266, Mar. 16, 1982]

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