Part 260 - GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939  


§ 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.
§ 260.0-1 Application of definitions contained in the act.
§ 260.0-2 Definitions of terms used in the rules and regulations.
§ 260.3(4)-2 Definition of “distribution” in section 303(4) for certain transactions.
§ 260.0-3 Definition of “rules and regulations” as used in certain sections of the Act.
§ 260.3(4)-3 Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
§ 260.0-4 Sequential numbering of documents filed with 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.
§ 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.
§ 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).
§ 260.14a-1 Application of §§260.7a–15 to 260.7a–38.
§ 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).
§ 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.
§ 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-15 Scope of §§260.7a–15 to 260.7a–37.
§ 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.
§ 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.
§ 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.
§ 260.7a-33 Additional exhibits.
§ 260.7a-34 Omission of substantially identical documents.
§ 260.7a-35 Formal requirements as to amendments.
§ 260.7a-36 Signatures to amendments.
§ 260.7a-37 Inspection of applications, statements and reports.
§ 260.19a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.

Authority

15 U.S.C. 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b–3, 80b–4, and 80b–11.

Source

5 FR 293, Jan. 25, 1940, unless otherwise noted.

EditorNote

, Nomenclature changes to part 260 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.