17 CFR 249.103 - Form 3, initial statement of beneficial ownership of securities.
This Form shall be filed pursuant to Rule 16a-3 ( § 240.16a-3 of this chapter) for initial statements of beneficial ownership of securities. The Commission is authorized to solicit the information required by this Form pursuant to sections 16(a) and 23(a) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78p(a) and 78w(a)); and sections 30(h) and 38 of the Investment Company Act of 1940 ( 15 U.S.C. 80a-29(h) and 80a-37), and the rules and regulations thereunder. Disclosure of information specified on this Form is mandatory. The information will be used for the primary purpose of disclosing the holdings of directors, officers and beneficial owners of registered companies. Information disclosed will be a matter of public record and available for inspection by members of the public. The Commission can use the information in investigations or litigation involving the federal securities laws or other civil, criminal, or regulatory statutes or provisions, as well as for referral to other governmental authorities and self-regulatory organizations. Failure to disclose required information may result in civil or criminal action against persons involved for violations of the federal securities laws and rules.
- 17 CFR 229.407 — (Item 407) Corporate Governance.
- 17 CFR 274.202 — Form 3, Initial Statement of Beneficial Ownership of Securities.
- 17 CFR 240.14a-8 — Shareholder Proposals.
- 17 CFR 232.201 — Temporary Hardship Exemption.
- 17 CFR 232.13 — Date of Filing; Adjustment of Filing Date.
- 17 CFR 240.14n-101 — Schedule 14N - Information to Be Included in Statements Filed Pursuant to § 240.14n-1 and Amendments Thereto Filed Pursuant to § 240.14n-2.
- 17 CFR 232.104 — Unofficial PDF Copies Included in an Electronic Submission.
- 17 CFR 240.16a-1 — Definition of Terms.