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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 260 - General Rules and Regulations, Trust Indenture Act of 1939 |
| Amendments |
| § 260.7a-35 - Formal requirements as to amendments. |
| § 260.7a-36 - Signatures to amendments. |
| Inspection and Publication of Applications, Statements and Reports |
| § 260.7a-37 - Inspection of applications, statements and reports. |
| Formal Requirements |
| § 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions. |
| § 260.7a-17 - Quality, color and size of paper. |
| § 260.7a-18 - Legibility. |
| § 260.7a-19 - Margin for binding. |
| § 260.7a-20 - Riders; inserts. |
| Rule Under Section 310 |
| § 260.10a-1 - Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act. |
| § 260.10a-2 - General requirements as to form and content of applications. |
| § 260.10a-3 - Number of copies - Filing - Signatures. |
| § 260.10a-4 - Consent of trustee to service of process. |
| § 260.10a-5 - Eligibility of Canadian Trustees. |
| § 260.10b-1 - Calculation of percentages. |
| § 260.10b-2 - Applications under section 310(b)(1)(ii). |
| § 260.10b-3 - Applications relative to affiliations between trustees and underwriters. |
| § 260.10b-4 - Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act. |
| § 260.10b-5 - Content. |
| § 260.10b-6 - Notices - Exemptive Application Procedure. |
| General |
| § 260.7a-15 - Scope of §§ 260.7a-15 to 260.7a-37. |
| Exhibits |
| § 260.7a-33 - Additional exhibits. |
| § 260.7a-34 - Omission of substantially identical documents. |
| Rules Under Section 304 |
| § 260.4a-1 - Exempted securities under section 304(a)(8). |
| § 260.4a-2 - Exempted securities under section 304(d). |
| § 260.4a-3 - Exempted securities under section 304(a)(9). |
| § 260.4c-1 - Form for applications under section 304(c). |
| § 260.4c-2 - General requirements as to form and content of applications. |
| § 260.4c-3 - Number of copies; filing; signatures; binding. |
| § 260.4c-4 - Applications under section 304(c)(1). |
| § 260.4c-5 - Applications under section 304(c)(2). |
| § 260.4d-7 - Application for exemption from one or more provisions of the Act. |
| § 260.4d-8 - Content. |
| § 260.4d-9 - Exemption for Canadian Trust Indentures from Specified Provisions of the Act. |
| § 260.4d-10 - Exemption for securities issued pursuant to § 230.802 of this chapter. |
| § 260.4d-11 - Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239). |
| § 260.4d-12 - Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240). |
| § 260.4d-11T - Temporary exemption for eligible credit default swaps offered and sold in reliance on Securities Act of 1933 Rule 239T ( 230.239T). |
| Incorporation by Reference |
| § 260.7a-28 - Incorporation of matter in application, statement or report, other than exhibits, as answer to item. |
| § 260.7a-29 - Incorporation of exhibits as such. |
| § 260.7a-30 - Identification of material incorporated; form of incorporation. |
| § 260.7a-31 - Incorporation by reference of contested material. |
| § 260.7a-32 - Incorporation by reference rendering document incomplete, unclear, or confusing. |
| Applications for Qualification of Indentures |
| § 260.7a-1 - Form for application. |
| § 260.7a-2 - Powers of agent for service named in application. |
| § 260.7a-3 - Number of copies; filing; signatures; binding. |
| § 260.7a-4 - Calculation of time. |
| § 260.7a-5 - Filing of amendments; number of copies. |
| § 260.7a-6 - Telegraphic delaying amendments. |
| § 260.7a-7 - Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission. |
| § 260.7a-8 - Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission. |
| § 260.7a-9 - Delaying amendments. |
| § 260.7a-10 - Payment of fees. |
| Rules Under Section 311 |
| § 260.11b-4 - Definition of “cash transaction” in section 311(b)(4). |
| § 260.11b-6 - Definition of “self-liquidating paper” in section 311(b)(6). |
| Rules Under Section 303 |
| § 260.3(4)-1 - Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions. |
| § 260.3(4)-2 - Definition of “distribution” in section 303(4) for certain transactions. |
| § 260.3(4)-3 - Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions. |
| Periodic Reports |
| § 260.14a-1 - Application of §§ 260.7a-15 to 260.7a-38. |
| § 260.19a-1 - Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors. |
| Rules Under Section 314 |
| Rules Under Section 305 |
| § 260.5a-1 - Forms for statements of eligibility and qualification. |
| § 260.5a-2 - General requirements as to form and content of statements of eligibility and qualification. |
| § 260.5a-3 - Number of copies; filing; signatures; binding. |
| § 260.5b-1 - Application pursuant to section 305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis. |
| § 260.5b-2 - General requirements as to form and content of applications. |
| § 260.5b-3 - Number of copies - Filing - Signatures. |
| General Requirements as to Form and Content of Applications, Statements and Reports |
| Rules Under Section 307 |
| Terms Used in the Rules and Regulations |
| § 260.0-1 - Application of definitions contained in the act. |
| § 260.0-2 - Definitions of terms used in the rules and regulations. |
| § 260.0-3 - Definition of “rules and regulations” as used in certain sections of the Act. |
| § 260.0-4 - Sequential numbering of documents filed with the Commission. |
| General Requirements as to Contents |
| § 260.7a-21 - Clarity. |
| § 260.7a-22 - Information unknown or not reasonably available. |
| § 260.7a-23 - Statements required where item is inapplicable or where answer is “none”. |
| § 260.7a-24 - Words relating to periods of time in the past. |
| § 260.7a-25 - Words relating to the future. |
| § 260.7a-26 - Disclaimer of control. |
| § 260.7a-27 - Title of securities. |
| Office of the Commission |
| § 260.0-5 - Business hours of the Commission. |
| § 260.0-6 - Nondisclosure of information obtained in the course of examinations and investigations. |
| § 260.0-7 - Small entities for purposes of the Regulatory Flexibility Act. |
| § 260.0-11 - Liability for certain statements by issuers. |