17 CFR 260.4a-3 - Exempted securities under section 304(a)(9).

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§ 260.4a-3 Exempted securities under section 304(a)(9).

The provisions of the Trust Indenture Act of 1939 shall not apply to any security which has been or is to be issued under an indenture which limits the aggregate principal amount of securities at any time outstanding thereunder to $10,000,000 or less, but this exemption shall not be applied within a period of thirty-six consecutive months to more than $10,000,000 aggregate principal amount of securities of the same issuer.

(Secs. 304(a)(8) and 304(a)(9) of the Trust Indenture Act of 1939, (sec. 302, Pub. L. 96-477; secs. 304(a)(8), 304(a)(9), 53 Stat. 1153; 15 U.S.C. 77ddd(a)(8), 77ddd(a)(9)))
[46 FR 63256, Dec. 31, 1981. Redesignated and amended at 57 FR 36501, Aug. 13, 1992]

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United States Code

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 260 after this date.

  • 2015-06-19; vol. 80 # 118 - Friday, June 19, 2015
    1. 80 FR 35207 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
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      Final rule; correction.
      This correction is effective June 19, 2015.
      17 CFR Parts 200, 230, 232, 239, 240, 249 and 260