17 CFR 230.152 - Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.

§ 230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.
The phrase transactions by an issuer not involving any public offering in section 4(a)(2) (48 Stat. 77, sec. 203(a), 48 Stat. 906; 15 U.S.C. 77d) shall be deemed to apply to transactions not involving any public offering at the time of said transactions although subsequently thereto the issuer decides to make a public offering and/or files a registration statement.
[2 FR 1076, May 26, 1937, as amended at 30 FR 2022, Feb. 13, 1965; 78 FR 44770, July 24, 2013]
Cross Reference:
For regulations relating to registration statement, see §§ 230.400-230.494.
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§ 230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.

The phrase transactions by an issuer not involving any public offering in section 4(a)(2) (48 Stat. 77, sec. 203(a), 48 Stat. 906; 15 U.S.C. 77d) shall be deemed to apply to transactions not involving any public offering at the time of said transactions although subsequently thereto the issuer decides to make a public offering and/or files a registration statement.

[2 FR 1076, May 26, 1937, as amended at 30 FR 2022, Feb. 13, 1965; 78 FR 44770, July 24, 2013]
Cross Reference:

For regulations relating to registration statement, see §§ 230.400-230.494.

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.

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United States Code
Statutes at Large

Title 17 published on 2015-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 230 after this date.

  • 2015-11-10; vol. 80 # 217 - Tuesday, November 10, 2015
    1. 80 FR 69786 - Exemptions To Facilitate Intrastate and Regional Securities Offerings
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      SECURITIES AND EXCHANGE COMMISSION
      Proposed rules.
      Comments should be received by January 11, 2016.
      17 CFR Part 230