Skip to main content
 
CFR › Title 17 › Chapter II › Part 239

17 CFR Part 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

There is 1 rule appearing in the Federal Register for 17 CFR 239. Select the tab below to view, or View eCFR (GPOAccess)
Authority:
15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78l, 78m, 78n, 78 o(d), 78o-7 note, 78u-5, 78w(a), 78ll, 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, and 80a-37, unless otherwise noted.
Sections 239.31, 239.32 and 239.33 are also issued under 15 U.S.C. 78l, 78m, 78 o, 78w, 80a-8, 80a-29, 80a-30, 80a-37 and 12 U.S.C. 241.
Sections 239.63 and 239.64 are also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 80a-8, 80a-24, 80a-29, and 80a-37.
Source:
33 FR 18991, Dec. 20, 1968, unless otherwise noted.

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.

  • 2013-01-23; vol. 78 # 15 - Wednesday, January 23, 2013
    1. 78 FR 4766 - Adoption of Updated EDGAR Filer Manual
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: January 23, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2013.
      17 CFR Parts 232, 239, 249, 269, 274

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 12 - BANKS AND BANKING

§ 241 - Creation; membership; compensation and expenses

USC : Title 15 - COMMERCE AND TRADE

§ 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

15 USC § -

§ 78mm - General exemptive authority

§ 79e

§ 79q

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

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 239 after this date.

  • 2013-01-23; vol. 78 # 15 - Wednesday, January 23, 2013
    1. 78 FR 4766 - Adoption of Updated EDGAR Filer Manual
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: January 23, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2013.
      17 CFR Parts 232, 239, 249, 269, 274