Inhaltsverzeichnis PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K (17 CFR Part 229)

17 CFR Part 229

US - CFR Title 17: Commodity and Securities Exchanges

PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K

PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K
Chapter II—Securities and Exchange Commission
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.
§ 229.105 (Item 105) Risk factors.
§ 229.106 (Item 106) Cybersecurity.
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 [Reserved]
§ 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.
§ 229.408 (Item 408) Insider trading arrangements and policies.
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.
§ 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 (Item 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—Disclosure by Registrants Engaged in Mining Operations
§ 229.1300 (Item 1300) Definitions.
§ 229.1301 (Item 1301) General instructions.
§ 229.1302 (Item 1302) Qualified person, technical report summary, and technical studies.
§ 229.1303 (Item 1303) Summary disclosure.
§ 229.1304 (Item 1304) Individual property disclosure.
§ 229.1305 (Item 1305) Internal controls disclosure.
Subpart 229.1400—Disclosure by Bank and Savings and Loan Registrants
§ 229.1401 (Item 1401) General instructions.
§ 229.1402 (Item 1402) Distribution of assets, liabilities and stockholders' equity; interest rates and interest differential.
§ 229.1403 (Item 1403) Investments in debt securities.
§ 229.1404 (Item 1404) Loan portfolio.
§ 229.1405 (Item 1405) Allowance for Credit Losses.
§ 229.1406 (Item 1406) Deposits.
Subpart 1500—XXX
Subpart 229.1600—Special Purpose Acquisition Companies
§ 229.1601 (Item 1601) Definitions.
§ 229.1602 (Item 1602) Registered offerings by special purpose acquisition companies.
§ 229.1603 (Item 1603) SPAC sponsor; conflicts of interest.
§ 229.1604 (Item 1604) De-SPAC transactions.
§ 229.1605 (Item 1605) Background of and reasons for the de-SPAC transaction; terms of the de-SPAC transaction; effects.
§ 229.1606 (Item 1606) Board determination about the de-SPAC transaction.
§ 229.1607 (Item 1607) Reports, opinions, appraisals, and negotiations.
§ 229.1608 (Item 1608) Tender offer filing obligations.
§ 229.1609 (Item 1609) Projections in de-SPAC transactions.
§ 229.1610 (Item 1610) Structured data requirement.

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