Part 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933  


§ 239.0-1 Availability of forms.
Subpart A — Forms for Registration Statements
§ 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 Form N-1 for open-end management investment companies registered on Form N-8A.
§ 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.
§ 239.42 Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§§ 240.13e-102, 240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 239.37), F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (§ 230.251 et seq. of this chapter) on Form 1-A (§ 239.90), or by any non-U.S. issuer providing Form CB (§ 249.480 of this chapter) to the Commission in connection with a tender offer, rights offering or business combination.
§ 239.43 Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offerings of securities in the United States.
§ 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.
§ 239.63 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.
§ 239.15A Form N–1A, registration statement of open-end management investment companies.
§ 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.
§§ 239.4-239.10 [Reserved]
§§ 239.26-239.30 [Reserved]
§§ 239.44-239.62 [Reserved]
§§ 239.46-239.62 [Reserved]
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.
§§ 239.92-239.143 [Reserved]
§§ 239.95-239.143 [Reserved]
§§ 239.145-239.199 [Reserved]
§§ 239.202-239.300 [Reserved]

Authority

15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z–2, 77z–3, 77sss, 78c, 78 l, 78m, 78n, 78o(d), 78u–5, 78w(a), 78 ll, 78mm, 80a–2(a), 80a–3, 80a–8, 80a–9, 80a–10, 80a–13, 80a–24, 80a–26, 80a–29, 80a–30, 80a–37, and Pub. L. No. 111–203, §939A, 124 Stat. 1376, (2010) unless otherwise noted. Sections 239.31, 239.32 and 239.33 are also issued under 15 U.S.C. 78 l, 78m, 78 o, 78w, 80a–8, 80a–29, 80a–30, 80a–37 and 12 U.S.C. 241. Sections 239.63 and 239.64 are also issued under secs. 6, 7, 8, 10 and 19(a) of the Securities Act (15 U.S.C. 77f, 77g, 77h, 77j and 77s(a)); secs. 3(b), 12, 13, 14, 15(d) and 23(a) of the Exchange Act (15 U.S.C. 78c(b), 78 l, 78m, 78n, 78o(d) and 78w(a)); secs. 5, 6, 7, 10, 12, 13, 14, 17 and 20 of the Holding Company Act (15 U.S.C. 79e, 79f, 79g, 79j, 79 l, 79m, 79n, 79q and 79t); sec. 319(a) of the Trust Indenture Act (15 U.S.C. 77sss(a)) and secs. 8, 24, 30 and 38 of the Investment Company Act (15 U.S.C. 80a–8, 80a–24, 80a–29 and 80a–37).

Source

33 FR 18991, Dec. 20, 1968, unless otherwise noted.