Title 17 published on 2012-04-01
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.
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013.
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.
§ 241 - Creation; membership; compensation and expenses
§ 77f - Registration of securities
§ 77g - Information required in registration statement
§ 77h - Taking effect of registration statements and amendments thereto
§ 77j - Information required in prospectus
§ 77s - Special powers of Commission
15 USC § 77z–2 - Application of safe harbor for forward-looking statements
15 USC § 77z–3 - General exemptive authority
§ 77sss - Rules, regulations, and orders
§ 78c - Definitions and application
15 USC § -
§ 78m - Periodical and other reports
§ 78n - Proxies
15 U.S.C. § -
15 USC § 78u–5 - Application of safe harbor for forward-looking statements
§ 78w - Rules, regulations, and orders; annual reports
§ 78mm - General exemptive authority
15 USC § 80a–2 - Definitions; applicability; rulemaking considerations
15 USC § 80a–3 - Definition of investment company
15 USC § 80a–8 - Registration of investment companies
15 USC § 80a–9 - Ineligibility of certain affiliated persons and underwriters
15 USC § 80a–10 - Affiliations or interest of directors, officers, and employees
15 USC § 80a–13 - Changes in investment policy
15 USC § 80a–24 - Registration of securities under Securities Act of 1933
15 USC § 80a–26 - Unit investment trusts
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–30 - Accounts and records
15 USC § 80a–37 - Rules, regulations, and orders
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 239 after this date.
We are proposing amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The proposed amendment to Rule 506 would provide that the prohibition against general solicitation and general advertising contained in Rule 502(c) of Regulation D would not apply to offers and sales of securities made pursuant to Rule 506, provided that all purchasers of the securities are accredited investors. The proposed amendment to Rule 506 would also require that, in Rule 506 offerings that use general solicitation or general advertising, the issuer take reasonable steps to verify that purchasers of the securities are accredited investors. The proposed amendment to Rule 144A(d)(1) would provide that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also proposing to revise Form D to add a separate check box for issuers to indicate whether they are using general solicitation or general advertising in a Rule 506 offering.