17 CFR 210.5-01 - Application of

prev | next
§ 210.5-01 Application of §§ 210.5-01 to 210.5-04.
Sections 210.5-01 to 210.5-04 shall be applicable to financial statements filed for all persons except—
(a) Registered investment companies (see §§ 210.6-01 to 210.6-10).
(b) Employee stock purchase, savings and similar plans (see §§ 210.6A-01 to 210.6A-05).
(c) Insurance companies (see §§ 210.7-01 to 210.7-05).
(d) Bank holding companies and banks (see §§ 210.9-01 to 210.9-07).
(e) Brokers and dealers when filing Form X-17A-5 [249.617] (see §§ 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 1934).
[50 FR 49533, Dec. 3, 1985]

Title 17 published on 2014-04-01

no entries appear in the Federal Register after this date.

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