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Code of Federal Regulations (Last Updated: October 10, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II — Securities and Exchange Commission |
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Part 229 - Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975—Regulation S-K |
Part 229 - Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975—Regulation S-K
| Subpart 229.1 - General |
| § 229.10 - (Item 10) General. |
| Subpart 229.100 - Business |
| § 229.101 - (Item 101) Description of business. |
| § 229.102 - (Item 102) Description of property. |
| § 229.103 - (Item 103) Legal proceedings. |
| § 229.104 - (Item 104) Mine safety disclosure. |
| § 229.105 - xxx |
| § 229.106 - (Item 106) Cybersecurity. |
| Subpart 229.200 - Securities of the Registrant |
| § 229.201 - (Item 201) Market price of and dividends on the registrant's common equity and related stockholder matters. |
| § 229.202 - (Item 202) Description of registrant's securities. |
| Subpart 229.300 - Financial Information |
| § 229.301 - [Reserved] |
| § 229.302 - (Item 302) Supplementary financial information. |
| § 229.303 - (Item 303) Management's discussion and analysis of financial condition and results of operations. |
| § 229.304 - (Item 304) Changes in and disagreements with accountants on accounting and financial disclosure. |
| § 229.305 - (Item 305) Quantitative and qualitative disclosures about market risk. |
| § 229.306 - [Reserved] |
| § 229.307 - (Item 307) Disclosure controls and procedures. |
| § 229.308 - (Item 308) Internal control over financial reporting. |
| Appendix to Item 305 - Tabular Disclosures |
| § 229.304T - Item 304T) Item 304T of Regulation S-K. |
| § 229.308T - Item 308T) Internal control over financial reporting. |
| Subpart 229.400 - Management and Certain Security Holders |
| § 229.401 - (Item 401) Directors, executive officers, promoters and control persons. |
| § 229.402 - (Item 402) Executive compensation. |
| § 229.403 - (Item 403) Security ownership of certain beneficial owners and management. |
| § 229.404 - (Item 404) Transactions with related persons, promoters and certain control persons. |
| § 229.405 - (Item 405) Compliance with section 16(a) of the Exchange Act. |
| § 229.406 - (Item 406) Code of ethics. |
| § 229.407 - (Item 407) Corporate governance. |
| § 229.408 - (Item 408) Insider trading arrangements and policies. |
| Subpart 229.500 - Registration Statement and Prospectus Provisions |
| § 229.501 - (Item 501) Forepart of Registration Statement and Outside Front Cover Page of Prospectus. |
| § 229.502 - (Item 502) Inside front and outside back cover pages of prospectus. |
| § 229.503 - (Item 503) Prospectus summary. |
| § 229.504 - (Item 504) Use of proceeds. |
| § 229.505 - (Item 505) Determination of offering price. |
| § 229.506 - (Item 506) Dilution. |
| § 229.507 - (Item 507) Selling security holders. |
| § 229.508 - (Item 508) Plan of distribution. |
| § 229.509 - (Item 509) Interests of named experts and counsel. |
| § 229.510 - (Item 510) Disclosure of Commission position on indemnification for Securities Act liabilities. |
| § 229.511 - (Item 511) Other expenses of issuance and distribution. |
| § 229.512 - (Item 512) Undertakings. |
| Subpart 229.600 - Exhibits |
| § 229.601 - (Item 601) Exhibits. |
| § 229.601T - Item 601T) Item 601T of Regulation S-K. |
| Subpart 229.700 - Miscellaneous |
| § 229.701 - (Item 701) Recent sales of unregistered securities; use of proceeds from registered securities. |
| § 229.702 - (Item 702) Indemnification of directors and officers. |
| § 229.703 - (Item 703) Purchases of equity securities by the issuer and affiliated purchasers. |
| Subpart 229.800 - List of Industry Guides |
| § 229.801 - Securities Act industry guides. |
| § 229.802 - Exchange Act industry guides. |
| Subpart 229.900 - Roll-Up Transactions |
| § 229.901 - (Item 901) Definitions. |
| § 229.902 - (Item 902) Individual partnership supplements. |
| § 229.903 - (Item 903) Summary. |
| § 229.904 - (Item 904) Risk factors and other considerations. |
| § 229.905 - (Item 905) comparative information. |
| § 229.906 - (Item 906) Allocation of roll-up consideration. |
| § 229.907 - (Item 907) Background of the roll-up transaction. |
| § 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction. |
| § 229.909 - (Item 909) Conflicts of interest. |
| § 229.910 - (Item 910) Fairness of the transaction. |
| § 229.911 - (Item 911) Reports, opinions and appraisals. |
| § 229.912 - (Item 912) Source and amount of funds and transactional expenses. |
| § 229.913 - (Item 913) Other provisions of the transaction. |
| § 229.914 - (Item 914) Pro forma financial statements: selected financial data. |
| § 229.915 - (Item 915) Federal income tax consequences. |
| Subpart 229.1000 - Mergers and Acquisitions (Regulation M-A) |
| § 229.1000 - (Item 1000) Definitions. |
| § 229.1001 - (Item 1001) Summary term sheet. |
| § 229.1002 - (Item 1002) Subject company information. |
| § 229.1003 - (Item 1003) Identity and background of filing person. |
| § 229.1004 - (Item 1004) Terms of the transaction. |
| § 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements. |
| § 229.1006 - (Item 1006) Purposes of the transaction and plans or proposals. |
| § 229.1007 - (Item 1007) Source and amount of funds or other consideration. |
| § 229.1008 - (Item 1008) Interest in securities of the subject company. |
| § 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used. |
| § 229.1010 - (Item 1010) Financial statements. |
| § 229.1011 - (Item 1011) Additional information. |
| § 229.1012 - (Item 1012) The solicitation or recommendation. |
| § 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction. |
| § 229.1014 - (Item 1014) Fairness of the going-private transaction. |
| § 229.1015 - (Item 1015) Reports, opinions, appraisals and negotiations. |
| § 229.1016 - (Item 1016) Exhibits. |
| Subpart 229.1100 - Asset-Backed Securities (Regulation AB) |
| § 229.1100 - (Item 1100) General. |
| § 229.1101 - (Item 1101) Definitions. |
| § 229.1102 - (Item 1102) Forepart of registration statement and outside cover page of the prospectus. |
| § 229.1103 - (Item 1103) Transaction summary and risk factors. |
| § 229.1104 - (Item 1104) Sponsors. |
| § 229.1105 - (Item 1105) Static pool information. |
| § 229.1106 - (Item 1106) Depositors. |
| § 229.1107 - (Item 1107) Issuing entities. |
| § 229.1108 - (Item 1108) Servicers. |
| § 229.1109 - (Item 1109) Trustees and other transaction parties. |
| § 229.1110 - (Item 1110) Originators. |
| § 229.1111 - (Item 1111) Pool assets. |
| § 229.1112 - (Item 1112) Significant obligors of pool assets. |
| § 229.1113 - (Item 1113) Structure of the transaction. |
| § 229.1114 - (Item 1114) Credit enhancement and other support, except for certain derivatives instruments. |
| § 229.1115 - (Item 1115) Certain derivatives instruments. |
| § 229.1116 - (Item 1116) Tax matters. |
| § 229.1117 - (Item 1117) Legal proceedings. |
| § 229.1118 - (Item 1118) Reports and additional information. |
| § 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions. |
| § 229.1120 - (Item 1120) Ratings. |
| § 229.1121 - (Item 1121) Distribution and pool performance information. |
| § 229.1122 - (Item 1122) Compliance with applicable servicing criteria. |
| § 229.1123 - (Item 1123) Servicer compliance statement. |
| § 229.1124 - (Item 1124) Sponsor interest in the securities. |
| § 229.1125 - (Item 1125) Schedule AL - Asset-level information. |
| Subpart 229.1200 - Disclosure by Registrants Engaged in Oil and Gas Producing Activities |
| § 229.1201 - (Item 1201) General instructions to oil and gas industry-specific disclosures. |
| § 229.1202 - (Item 1202) Disclosure of reserves. |
| § 229.1203 - (Item 1203) Proved undeveloped reserves. |
| § 229.1204 - (Item 1204) Oil and gas production, production prices and production costs. |
| § 229.1205 - (Item 1205) Drilling and other exploratory and development activities. |
| § 229.1206 - (Item 1206) Present activities. |
| § 229.1207 - (Item 1207) Delivery commitments. |
| § 229.1208 - (Item 1208) Oil and gas properties, wells, operations, and acreage. |
| Subpart 229.1300 - Disclosure by Registrants Engaged in Mining Operations |
| § 229.1300 - (Item 1300) Definitions. |
| § 229.1301 - (Item 1301) General instructions. |
| § 229.1302 - (Item 1302) Qualified person, technical report summary, and technical studies. |
| § 229.1303 - (Item 1303) Summary disclosure. |
| § 229.1304 - (Item 1304) Individual property disclosure. |
| § 229.1305 - (Item 1305) Internal controls disclosure. |
| Subpart 229.1400 - Disclosure by Bank and Savings and Loan Registrants |
| § 229.1401 - (Item 1401) General instructions. |
| § 229.1402 - (Item 1402) Distribution of assets, liabilities and stockholders' equity; interest rates and interest differential. |
| § 229.1403 - (Item 1403) Investments in debt securities. |
| § 229.1404 - (Item 1404) Loan portfolio. |
| § 229.1405 - (Item 1405) Allowance for Credit Losses. |
| § 229.1406 - (Item 1406) Deposits. |
| Subpart 229.1600 - Special Purpose Acquisition Companies |
| § 229.1601 - (Item 1601) Definitions. |
| § 229.1602 - (Item 1602) Registered offerings by special purpose acquisition companies. |
| § 229.1603 - (Item 1603) SPAC sponsor; conflicts of interest. |
| § 229.1604 - (Item 1604) De-SPAC transactions. |
| § 229.1605 - (Item 1605) Background of and reasons for the de-SPAC transaction; terms of the de-SPAC transaction; effects. |
| § 229.1606 - (Item 1606) Board determination about the de-SPAC transaction. |
| § 229.1607 - (Item 1607) Reports, opinions, appraisals, and negotiations. |
| § 229.1608 - (Item 1608) Tender offer filing obligations. |
| § 229.1609 - (Item 1609) Projections in de-SPAC transactions. |
| § 229.1610 - (Item 1610) Structured data requirement. |