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Code of Federal Regulations (Last Updated: July 5, 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 239 - Forms Prescribed Under the Securities Act of 1933 |
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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.
Latest version.
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Small business issuers, as defined in Rule 405 (17 CFR 230.405 of this chapter), may use this form to register up to $10,000,000 of securities to be sold for cash, if they have not registered more than $10,000,000 in securities offerings in any continuous 12-month period, including the transaction being registered. In calculating the $10,000,000 ceiling, issuers should include all offerings which were registered under the Securities Act, other than any amounts registered on Form S-8 (§ 239.16b).