Part 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975REGULATION 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.
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 (Item 301) Selected financial data.
§ 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.
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.
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 and risk factors.
§ 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.
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 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—XXX

Authority

15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z–2, 77z–3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 777iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78 l, 78m, 78n, 78n–1, 78o, 78u–5, 78w, 78 ll, 78mm, 80a–8, 80a–9, 80a–20, 80a–29, 80a–30, 80a–31(c), 80a–37, 80a–38(a), 80a–39, 80b–11, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted. Section 229.303 is also issued under secs. 3(a) and 401(a), Pub. L. No. 107–204, 116 Stat. 745. Section 229.307 is also issued under secs. 3(a) and 302, Pub.L.No. 107–204, 116 Stat. 745. Section 229.401 is also issued under secs. 3(a) and 407, Pub. L. 107–204, 116 Stat. 745. Section 229.406 is also issued under secs. 3(a) and 406, Pub. L. 107–204, 116 Stat. 745. Section 229.601 is also issued under secs. 3(a) and 406, Pub. L. 107–204, 116 Stat. 745.

Source

47 FR 11401, Mar. 16, 1982, unless otherwise noted.