Code of Federal Regulations (Last Updated: October 10, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter II - Securities and Exchange Commission |
Part 239 - Forms Prescribed Under the Securities Act of 1933 |
§ 239.0-1 - Availability of forms. |
Subpart A - Forms for Registration Statements |
§ 239.9 - Form SB-1, optional form for the registration of securities to be sold to the public by certain small business issuers. |
§ 239.10 - Form SB-2, optional form for the registration of securities to be sold to the public by small business issuers. |
§ 239.11 - Form S-1, registration statement under the Securities Act of 1933. |
§ 239.12 - [Reserved] |
§ 239.13 - Form S–3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions. |
§ 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A. |
§ 239.15 - [Reserved] |
§ 239.16 - Form S-6, for unit investment trusts registered on Form N-8B-2. |
§ 239.17 - [Reserved] |
§ 239.18 - Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies. |
§ 239.19 - [Reserved] |
§ 239.20 - Form S-20, for standardized options. |
§ 239.23 - Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies. |
§ 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940. |
§ 239.25 - Form S-4, for the registration of securities issued in business combination transactions. |
§ 239.31 - Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers. |
§ 239.32 - [Reserved] |
§ 239.33 - Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions. |
§ 239.34 - Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions. |
§ 239.35 - [Reserved] |
§ 239.36 - Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts. |
§ 239.37 - Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders. |
§ 239.38 - Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination. |
§ 239.39 - [Reserved] |
§ 239.40 - Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers. |
§ 239.41 - Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination. |
§ 239.44 - Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities. |
§ 239.45 - Form SF-3, for registration under the Securities Act of 1933 for offerings of asset-backed issuers offered pursuant to certain types of transactions. |
§ 239.62 - [Reserved] |
§ 239.63 - Form ID, uniform application for access codes to file on EDGAR. |
§ 239.64 - Form SE, form for submission of paper format exhibits by electronic filers. |
§ 239.65 - Form TH - Notification of reliance on temporary hardship exemption. |
§ 239.66 - Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities. |
§§ 239.4--239.8 - [Reserved] |
§§ 239.4--239.10 - [Reserved] |
§§ 239.44--239.61 - [Reserved] |
§§ 239.44--239.62 - [Reserved] |
§ 239.15A - Form N-1A, registration statement of open-end management investment companies. |
§§ 239.26--239.30 - [Reserved] |
§§ 239.46--239.62 - [Reserved] |
§ 239.16b - Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans. |
§ 239.17a - Form N-3, registration statement for separate accounts organized as management investment companies. |
§ 239.17b - Form N-4, registration statement for separate accounts organized as unit investment trusts. |
§ 239.17c - Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies. |
Subpart B - Forms Pertaining to Exemptions |
§ 239.90 - Form 1-A, offering statement under Regulation A. |
§ 239.91 - Form 1-K. |
§ 239.92 - Form 1-SA. |
§ 239.93 - Form 1-U. |
§ 239.94 - Form 1-Z. |
§ 239.144 - Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter. |
§ 239.200 - Form 1-E, notification under Regulation E. |
§ 239.201 - Form 2-E, report of sales pursuant to Rule 609 of Regulation E. |
§ 239.500 - Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933. |
§ 239.701 - [Reserved] |
§ 239.800 - Form CB, report of sales of securities in connection with an exchange offer or a rights offering. |
§ 239.900 - Form C. |
§ 239.500T - Temporary Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act of 1933. |
§§ 239.92--239.143 - [Reserved] |
§§ 239.202--239.300 - [Reserved] |
§§ 239.95--239.143 - [Reserved] |
§§ 239.145--239.199 - [Reserved] |