17 CFR 270.0-3 - Amendments to registration statements and reports.

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§ 270.0-3 Amendments to registration statements and reports.

Registration statements filed with the Commission pursuant to section 8 (54 Stat. 803; 15 U.S.C. 80a-8) and reports filed with the Commission pursuant to section 30 (54 Stat. 836; 15 U.S.C. 80a-35) may be amended in the following manner:

(a) Each amendment shall conform to the requirements for the registration statement or report it amends with regard to filing, number of copies filed, size, paper, ink, margins, binding, and similar formal matters.

(b) Each amendment to a particular statement or report shall have a facing sheet as follows:

Securities and Exchange Commission
Washington, DC 20549

Amendment No._____

to

Form______

File No.______

(Describe the nature of the statement or report)

Dated __________, 19__,

Pursuant to Section _____ of the Investment Company Act of 1940

Name of Registrant

Address of Principal Office of Registrant

The facing sheet shall contain in addition any other information required on the facing sheet of the form for the statement or report which is being amended. Amendments to a particular statement or report which is being consecutively in the order in which filed with the Commission.

(c) Each amendment shall contain in the manner required in the original statement or report the text of every item to which it relates and shall set out a complete amended answer to each such item. However, amendments to financial statements may contain only the particular statements or schedules in fact amended.

(d) Each amendment shall have a signature sheet containing the form of signature required in the statement or report it amends.

(Secs. 8, 30, 54 Stat. 803, 74 Stat. 201; 15 U.S.C. 80a-8, 80a-29)
[Rule N-3, 6 FR 3966, Aug. 8, 1941, as amended at 33 FR 3217, Feb. 21, 1968]

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.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 30 - Repealed. Pub. L. 107–273, div. C, title IV, § 14102(f), Nov. 2, 2002, 116 Stat. 1922

§ 37 - Immunity from antitrust laws

§ 77f - Registration of securities

§ 77g - Information required in registration statement

§ 77h - Taking effect of registration statements and amendments thereto

§ 77j - Information required in prospectus

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 78c - Definitions and application

§ 78d - Securities and Exchange Commission

§ 78l - Registration requirements for securities

§ 78m - Periodical and other reports

§ 78n - Proxies

§ 78o - Registration and regulation of brokers and dealers

§ 78w - Rules, regulations, and orders; annual reports

§ 78bb - Effect on existing law

§ 78ee - Transaction fees

§ 79c

§ 79t

§ 80a-1

§ 80a-2

§ 80a-3

§ 80a-3a

§ 80a-4

§ 80a-5

§ 80a-6

§ 80a-7

§ 80a-8

§ 80a-9

§ 80a-10

§ 80a-11

§ 80a-12

§ 80a-13

§ 80a-14

§ 80a-15

§ 80a-16

§ 80a-17

§ 80a-18

§ 80a-19

§ 80a-20

§ 80a-21

§ 80a-22

§ 80a-23

§ 80a-24

§ 80a-25

§ 80a-26

§ 80a-27

§ 80a-28

§ 80a-29

§ 80a-30

§ 80a-31

§ 80a-32

§ 80a-33

§ 80a-34

§ 80a-35

§ 80a-36

§ 80a-37

§ 80a-38

§ 80a-39

§ 80a-40

§ 80a-41

§ 80a-42

§ 80a-43

§ 80a-44

§ 80a-45

§ 80a-46

§ 80a-47

§ 80a-48

§ 80a-49

§ 80a-50

§ 80a-51

§ 80a-52

§ 80a-53

§ 80a-54

§ 80a-55

§ 80a-56

§ 80a-57

§ 80a-58

§ 80a-59

§ 80a-60

§ 80a-61

§ 80a-62

§ 80a-63

§ 80a-64

§ 80b-3

§ 80b-4

§ 80b-11

§ 80c-39

§ 80c-89

§ 80w-37

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 270 after this date.

  • 2015-10-15; vol. 80 # 199 - Thursday, October 15, 2015
    1. 80 FR 62274 - Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule; re-opening of comment period.
      The comment period for the proposed rule published June 12, 2015 (80 FR 33589) is reopened. Comments on this release (Investment Company Act Release No. 31835) and Investment Company Act Release No. 31610 should be received on or before January 13, 2016.
      17 CFR Parts 210, 270, 274