§ 230.462Immediate effectiveness of certain registration statements and
(a) A registration statement on Form S-8 (§ 239.16b of
this chapter) and a registration statement on Form S-3 (§ 239.13 of this chapter) or on Form F-3 (§ 239.33 of this chapter) for a dividend
or interest reinvestment plan shall become effective upon filing with the
(b) A registration statement and any post-effective amendment thereto shall
become effective upon filing with the Commission if:
(1) The registration statement is for registering additional securities of
the same class(es) as were included in an earlier registration statement for
the same offering and declared effective by the Commission;
(2) The new registration statement is filed prior to the time confirmations
are sent or given; and
(3) The new registration statement registers additional securities in an
amount and at a price that together represent
no more than 20% of the maximum aggregate offering price set forth for each class of securities in
the “Calculation of Registration Fee” table contained in such earlier
(c) If the prospectus contained in a post-effective amendment filed
prior to the time confirmations are sent or given contains no substantive
changes from or additions to the prospectus previously filed as part of the effective
registration statement, other than price-related information omitted from
the registration statement in reliance on Rule 430A of the Act (§ 230.430A), such post-effective amendment shall become effective upon filing
with the Commission.
(d) A post-effective amendment filed solely to add exhibits to a registration
statement shall become effective upon filing with the Commission.
(f) A post-effective amendment filed pursuant to paragraph (e) of this
section for purposes of adding a new issuer and its securities as permitted by Rule 413(b)
(§ 230.413(b)) that satisfies the requirements of Form S-3 or Form F-3 (§ 239.13 or § 239.33 of this chapter), as
applicable, including the signatures required by Rule 402(e) (§ 230.402(e)), and contains a prospectus satisfying the requirements of Rule 430B
(§ 230.430B), shall become effective upon filing with the Commission.
[59 FR 21650, Apr. 26, 1994, as amended at 60 FR 26617, May 17, 1995; 62 FR
39763, July 24, 1997; 70 FR 44818, Aug.
Title 17 published on 2015-04-01.
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