(a) The form and contents of a registration statement and prospectus shall conform to the applicable rules and
forms as in effect on the initial filing date of such registration statement
(b) If an amendment to a registration statement and prospectus is filed for the purpose of meeting the
requirements of section 10(a)(3) of the
Act or pursuant to the provisions of section 24(e) or 24(f) of the Investment
Company Act of 1940, the form and contents of such an amendment
shall conform to the applicable rules and forms as in effect on the filing
date of such amendment.
(c) An amendment to a registration statement and prospectus, other than an amendment described in
paragraph (b) of this section, may be filed on any shorter Securities Act registration form for which it is eligible
on the filing date of the amendment. At the issuer's option, the amendment also may be filed on the
same Securities Act registration form used for the most recent
amendment described in paragraph (b) of this section or, if no such
amendment has been filed, the initial registration statement and
(d) The form and contents of a prospectus forming part of a registration statement which
is the subject of a stop order entered under section
8(d) of the Act, if used after the date such stop order ceases to be
effective, shall conform to the applicable rules and forms as in effect on
the date such stop order ceases to be effective.
(e) A prospectus filed as part of an amendment to an effective
registration statement, or other amendment to such registration statement,
on any form may be prepared in accordance with the requirements of any other
form which would then be appropriate for the
registration of securities to which the prospectus or other amendment relates, provided that all
of the other requirements of such other form and applicable rules (including
any required undertakings) are met.
(f) Notwithstanding the provisions of this section, a registrant (1) shall comply with the rules and forms as
in effect at a date different from those specified in paragraphs (a), (b),
(c) and (d) of this section if the rules or forms or amendments thereto
specifically so provide; and (2) may comply voluntarily with the rules and
forms as in effect at dates subsequent to those specified in paragraphs (a),
(b), (c) and (d) of this section, provided that all of the requirements of
the particular rules and forms in effect at such dates (including any
required undertakings) are met.
(1) Subject to paragraphs (g)(2) and (g)(3) of this section, except for
registration statements and post-effective amendments that become effective
immediately pursuant to Rule 462 and Rule 464 (§
230.462 and § 230.464), a registration statement or any amendment thereto is deemed filed
on the proper registration form unless the Commission objects to the registration form before the
(2) An automatic shelf registration statement as defined in Rule
405 (§ 230.405) and any post-effective amendment thereto are deemed filed on the
proper registration form unless and until the Commission notifies the issuer of its objection to the use of such form.
Following any such notification, the issuer must amend its automatic shelf registration statement onto the
registration form it is then eligible to use, provided,
however, that any continuous offering of securities pursuant to Rule 415 (§ 230.415) that the issuer has commenced pursuant to the registration
statement before the Commission has notified the issuer of its objection to the use of such form may
continue until the effective date of a new registration statement or
post-effective amendment to the registration statement that the issuer has filed on the proper registration form, if the
issuer files promptly after notification the new registration statement or
post-effective amendment and if the offering is permitted to be made under the new
registration statement or post-effective amendment.
(3) Violations of General Instruction I.B.6. of Form S-3 or General
Instruction I.B.5. of Form F-3 will also violate the requirements as to
proper form under this section notwithstanding that the registration
statement may have been declared effective previously.