12 CFR 16.8 - Small issues.

§ 16.8 Small issues.

(a) The OCC will deem offers and sales of national bank or Federal savings association issued securities that satisfy the requirements of SEC Regulation A ( 17 CFR part 230, Regulation A - Conditional Small Issues Exemption) to be exempt from the registration and prospectus requirements of § 16.3 pursuant to § 16.5(d) of this part.

(b) A filer should consult the SEC's Securities Act Industry Guide 3 - Statistical Disclosure by Bank Holding Companies ( 17 CFR 229.801(c) and 231) and requirement 7 (Loans) of Rule 9-03 of SEC Regulation S-X ( 17 CFR 230.9-03) for guidance on appropriate disclosures when preparing offering documents to be filed with the OCC pursuant to Regulation A.

[ 59 FR 54798, Nov. 2, 1994, as amended at 82 FR 8108, Jan. 23, 2017]
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