17 CFR 200.80a - Appendix A—Documentary materials available to the public.

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§ 200.80a Appendix A—Documentary materials available to the public.
[See footnotes at end of table]
Description Pursuant to section—
Securities Act of 1933
Registration statement providing financial and other information concerning securities offered for public sale, filed under Regulation C (17 CFR 230.400 et seq.) 6
Prospectuses (selling circulars) in connection with registration statement 10
Periodic reports (annual, quarterly, and current) to keep reasonably current the information in registration statement (1)
Requests for extension of time to file information, document, or report (2)
Reports of sales of registered securities and use of proceeds thereunder by first time registrants 19(a), 20(a)
Report by issuers of securities quoted on NASDAQ Inter-Dealer Quotation System (1)
Preliminary data (prospectus, circular letters, etc.) to oil offering (Regulation B) (17 CFR 230.300 et seq.) 3(b)
Offering sheets for oil or gas rights and royalties under Regulation B for exemption from registration provisions (17 CFR 230.300 et seq.) 3(b)
Notifications of exemption from registration filed under Regulation A, E, and F (17 CFR 230.251, 230.601, 230.651 et seq.) 3(b)
Offering circulars and written advertisements or other communications under Regulations A, E, and F (17 CFR 230.251, 230.601, 230.651 et seq.) 3(b)
Report of sales and use of proceeds (Regulations A and E) (17 CFR 230.251, 230.601 et seq.) 3(b)
Consent by non-resident to service of process (Regulation A) (17 CFR 230.251 et seq.) 3(b)
Application for relief from disability under Regulations A and F (17 CFR 230.651 et seq.) 3(b)
Notice of proposed resale of restricted securities and resale of securities by control persons (17 CFR 230.144) 4(1), 4(4)
Notice of proposed sale by non-controlling person of restricted securities of issuers which do not satisfy all of the conditions of Rule 144 (17 CFR 230.237) 3(b)
Notice of sale of securities by closely held issuers (issuers with 100 or less beneficial owners) other than investment companies, registered or required to be registered under the Investment Company Act of 1940 (17 CFR 230.240) 3(b)
[See footnotes at end of table]
Description Pursuant to section—
Securities Exchange Act of 1934
Registration statement (securities listed on a national securities exchange) 12(b)
Registration statement (securities traded over-the-counter) 12(g)
Exemption from section 12(g), 13, 14, 15, or 16 12(h)
Information by a foreign issuer temporarily exempt from section 12(g) 12(g)(3)
Certification of exchange approving securities for listing and registration 12(d)
Periodic reports (annual, quarterly and current) to keep current the information in the above registration statements 13(a)
Request for extension of time to file information, document, or report 12(b)
Correspondence between the Commission and registrants that are delinquent in filing certain required reports 13(a), 15(d)
Report by issuers of securities quoted on NASDAQ Inter-Dealer Quotation System 15(d), 13(a)
Certificate of termination of Registration for a class of security (3)
Notices of suspension of trading 12(d)
Application to withdraw or strike a security from listing and registration on a national securities exchange 12(d)
Notification by an exchange of the admission to trading of a substituted or additional class of security 12(a)
Definitive proxy soliciting materials filed under Regulation 14A (17 CFR 240.14a-1 et seq.) 14(a)
Distribution of information to security holders from whom proxies are not solicited filed under Regulation C (17 CFR 230.400 et seq.) 14(c)
Acquisitions, tender offers and solicitations. (17 CFR 240.14d-1 et seq.) 13(d), 14(d)
Initial statement of beneficial ownership of equity securities by officers, directors and principal stockholders of issuers having listed equity securities; and changes in such ownership 16(a)
Application for permission to extend unlisted trading privileges, notification of changes, and notification of termination or suspension 12(f)
Application for registration as a broker and dealer, and amendments or supplements to such application 15(b)
Reports of financial condition of registered brokers and dealers 17
Application for registration as a transfer agent and amendments to such application 17A(c)
Application for registration as a municipal securities dealer 15B(a)
Application for registration or exemption as a securities information processor 11A(b)
Application for registration or exemption as a clearing agency 17A(b)
Irrevocable appointment of agent for service of process, pleadings and other papers 23(a)
Notice by non-resident broker or dealer specifying address of place in United States where copies of books and records are located and undertaking to furnish to Commission, upon demand, copies of books and records he is required to maintain 17
Subordination agreements 15
Initial assessment and information form for registered brokers and dealers not members of a registered national securities association 15(b)(8)
Annual assessment and information form for registered brokers and dealers not members of a registered national securities association 15(b)(8)
Reports of market makers and other registered broker-dealers in securities traded on national securities exchanges 17(a)
Reports by registered brokers and dealers who are OTC Market in Makers in any OTC Margin Securities 17(a)
Proposed rule changes by all self-regulatory organizations 19(b)
Notice as to stated policies, practices and interpretations of self-regulatory organizations 19(b)
Application by an exchange for registration or exemption from registration as a national securities exchange 6(a)
Annual amendments and supplemental material filed to keep reasonably current the information contained in application for registration or exemption 6(e)
Record disposal plan of national securities exchanges 17
Application for listing securities on an exempted exchange 12(b)
Periodic reports to keep reasonably current the information contained in application for listing securities on exempted exchange 13
Certification of exempted exchange approving securities for listing 12(d)
Application for registration as a national securities association or affiliated securities association 15A
Annual supplement consolidated to keep reasonably current the information in the above application 15A
Report of changes in membership status of any of its members required of national securities exchanges and registered national securities associations 17, 19
Application by a national securities association or a broker or dealer for admission or continuance of a broker or dealer as member of a national securities association, notwithstanding a disqualification under section 15A(b)(4) 15A(b)(4)
Application for review of disciplinary action or denial of membership by registered securities association 15A(g)
Reports on stabilizing activities pertaining to a fixed price offering of securities registered or to be registered under the Securities Act of 1933, or offered or to be offered pursuant to an exemption under Regulation A (17 CFR 230.251 et seq.), or being or to be otherwise offered if aggregate offering price exceeds $500,000 17
Plans by exchanges authorizing payment of special commission in connection with a distribution of securities on exchanges 10
Suspensions of trading of securities otherwise than on a national securities exchange 15(c)(5)
Annual and supplemental reports of the Municipal Securities Rulemaking Board 17
[See footnotes at end of table]
Description Pursuant to section—
Trust Indenture Act of 1939
Statement of eligibility and qualification of corporations or individuals as trustees under qualified indenture under which debt security has been or is to be issued 305, 307
Application for qualification of indenture under which security (bonds, debentures, notes and similar debt securities) has been or is to be issued 307
Application for exemption from provisions of the Act in certain cases 304(c), (d)
Application re conflict of interest of trustees 310(b)(1)
Reports by indenture trustee to indenture security holders with respect to eligibility and qualification under section 310 313
Application relative to affiliations between trustees and underwriters 310(b)(3), 310(b)(6)
[See footnotes at end of table]
Description Pursuant to section—
Investment Advisers Act of 1940
Application for registration as investment adviser or to amend or supplement such an application 203(c), 204
Application for exemption and other relief 206A
Irrevocable appointment of agent for service of process, pleadings and other papers 211(a)
Notice by non-resident investment adviser specifying address of place in United States where copies of books and records are located, or 204
Undertaking by non-resident investment adviser to furnish to Commission, upon demand, copies of any books or records he is required to maintain 204
[See footnotes at end of table]
Description Pursuant to section—
Footnotes:
1Section 15(d)—Securities Exchange Act of 1934.
2Section 12(b)—Securities Exchange Act of 1934.
3Section 12(g)—Securities Exchange Act of 1934.
4 Section 851(e)(1) of the Internal Revenue Code of 1954 is applicable.
5 Regulation 14 under the Securities Exchange Act of 1934 is applicable (17 CFR 240.14a-1 et seq.).
Investment Company Act of 1940
Notification of registration of investment company, and registration statement covering an offering of securities of investment company evidencing an interest in a portfolio of securities in which the investment company invests 8(a), 8(b)
Periodic reports (annual and quarterly) to keep reasonably current the information in above registration statement 30(a), 30(b)(1)
Periodic or interim reports to security holders of registered investment companies 30(b)(2)
Application for order of the Commission determining registrant has ceased to be an investment company 8(f)
Fidelity bond, resolution of board of directors, notice of cancellation or termination of bond for officers and employees of investment companies who have access to its securities or funds 17(g)
Waiver of indemnification of officers and directors of investment companies 17(h), 17(i)
Report of independent auditors examining records of investment companies 17(f)
Application by other than registrant for order of Commission declaring corporate name of registrant is misleading or deceptive 35(d)
Request by company for certificate to be issued to Secretary of Treasury (4)
Proxy soliciting material 20(a) 5
Initial statement of beneficial ownership of securities by officers, directors and other specified insiders of registered closed-end investment companies, and changes in such ownership 30(f)
Application for exemption from provisions of the Act and other relief 2(a)(9), 3(b)(2), 6 (b), (c), (d), 7 (d), 10 (e), (f), 11 (a), (c), 12 (d) (1), (d)(2), 14(a), 15 (a), 16(a), 17 (a), (b), (d), (e), 18(i), 22(d), 23 (b) (5), (c)(3), 24(d), 26(a) (2)(C), 28(c), 35(d), and others.
Statement of transactions—exemption from provisions of section 10(f) 10(f)
Application for an ineligible person to serve as officer, director, etc. of a registered investment company 9(b)
Request for advisory report of the Commission relating to the reorganization of registered investment company 25(b)
Report of repurchase of its own securities by a closed-end company 23(c)
Sales literature regarding securities of certain investment companies 24(b)
Statement of the Federal Savings and Loan Corporation relating to the exemption of certain issuers 6(a)(4)
Report submitted pursuant to an order of the Commission
Documents and records resulting from derivative or representative law suits 33
Miscellaneous
Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under the various Acts administered by the Commission.
Requests for no-action and interpretative letters and responses thereto.
Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral arguments, motions, briefs, exceptions.
Commission findings, opinions, orders, rulings and notices issued for public release.
Final opinions of the Commission, including concurring and dissenting opinions, as well as orders made by the Commission in the adjudication of cases.
A record of the final votes of each member of the Commission in every Commission proceedings concluded after July 1, 1967.
Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public.
Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW—Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act (17 CFR part 285).
Periodic reports filed by the Inter-American Development Bank, pursuant to Regulation IA (17 CFR part 286) adopted pursuant to section 11(a) of the Inter-American Bank Act.
Periodic reports filed by the Asian Development Bank, pursuant to Regulation AD (17 CFR part 287) adopted pursuant to section 11(a) of the Asian Development Bank Act.
Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy.
Statements of policy and interpretations which have been adopted by the Commission and are not published in the Federal Register.
Administrative staff manuals and instructions to the staff that affect a member of the public.
Reports by the Commission to the Congress as a whole.
Notices of Commission meetings announced to the public as described in § 200.403; announcements of Commission action to close a meeting, or any portion thereof, as described in § 200.404(b) and § 200.405(c); and certifications by the General Counsel, pursuant to § 200.406, that a Commission meeting, or any portion thereof, may be closed to the public.
[41 FR 44696, Oct. 12, 1976, as amended at 42 FR 14693, Mar. 16, 1977; 76 FR 71874, Nov. 21, 2011]

Title 17 published on 2014-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2014-10-01; vol. 79 # 190 - Wednesday, October 1, 2014
    1. 79 FR 59104 - Delegation of Authority to the Chief Financial Officer
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective September 29, 2014.
      17 CFR Part 200

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
USC: Title 5a

§ App

U.S. Code: Title 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
U.S. Code: Title 11 - BANKRUPTCY
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 77e - Prohibitions relating to interstate commerce and the mails

§ 77f - Registration of securities

§ 77g - Information required in registration statement

§ 77h - Taking effect of registration statements and amendments thereto

§ 77j - Information required in prospectus

15 U.S. Code § -

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 77u - Hearings by Commission

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77hhh - Integration of procedure with Securities Act and other Acts

§ 77sss - Rules, regulations, and orders

§ 77uuu - Special powers of the Commission

§ 78a - Short title

§ 78b - Necessity for regulation

§ 78c - Definitions and application

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78d - Securities and Exchange Commission

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78h - Restrictions on borrowing and lending by members, brokers, and dealers

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78k - Trading by members of exchanges, brokers, and dealers

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § -

15 U.S. Code § 32, 33 - Repealed.

§ 78m - Periodical and other reports

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78n - Proxies

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § -

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § -

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78r - Liability for misleading statements

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

§ 78t - Liability of controlling persons and persons who aid and abet violations

15 U.S. Code § 32, 33 - Repealed.

§ 78u - Investigations and actions

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78v - Hearings by Commission

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

§ 78y - Court review of orders and rules

§ 78z - Unlawful representations

§ 78aa - Jurisdiction of offenses and suits

15 U.S. Code § 32, 33 - Repealed.

§ 78bb - Effect on existing law

§ 78cc - Validity of contracts

§ 78dd - Foreign securities exchanges

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

15 U.S. Code § 32, 33 - Repealed.

§ 78ee - Transaction fees

§ 78ff - Penalties

§ 78gg - Separability

§ 78hh - Effective date

15 U.S. Code § 32, 33 - Repealed.

§ 78ii - Omitted

§ 78jj - Repealed.

§ 78kk - Authorization of appropriations

15 U.S. Code § -

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

15 U.S. Code § -

§ 78pp - Investor Advisory Committee

§ 78d note - Securities and Exchange Commission

§ 78eee - Protection of customers

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

15 U.S. Code § 79 to 79z–6 - Repealed.

§ 7202 - Commission rules and enforcement

§ 7211 - Establishment; administrative provisions

§ 7212 - Registration with the Board

§ 7213 - Auditing, quality control, and independence standards and rules

§ 7214 - Inspections of registered public accounting firms

§ 7215 - Investigations and disciplinary proceedings

§ 7216 - Foreign public accounting firms

§ 7217 - Commission oversight of the Board

§ 7218 - Accounting standards

§ 7219 - Funding

§ 7220 - Definitions

U.S. Code: Title 29 - LABOR
U.S. Code: Title 44 - PUBLIC PRINTING AND DOCUMENTS
Statutes at Large
Presidential Documents

Executive Order ... 11222

Executive Order ... 12356

Executive Order ... 12600

Reorganization ... 1950 Plan No. 10

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 200 after this date.

  • 2014-10-01; vol. 79 # 190 - Wednesday, October 1, 2014
    1. 79 FR 59104 - Delegation of Authority to the Chief Financial Officer
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective September 29, 2014.
      17 CFR Part 200