17 CFR Part 260
PART 260—GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
- PART 260—GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
- Chapter II—Securities and Exchange Commission
- Terms Used in the Rules and Regulations
- § 260.0-1 Application of definitions contained in the act.
- § 260.0-2 Definitions of terms used in the rules and regulations.
- § 260.0-3 Definition of “rules and regulations” as used in certain sections of the Act.
- § 260.0-4 Sequential numbering of documents filed with the Commission.
- Office of 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.
- Rules Under Section 303
- § 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.
- § 260.3(4)-2 Definition of “distribution” in section 303(4) for certain transactions.
- § 260.3(4)-3 Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.
- Rules Under Section 304
- § 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).
- Rules Under Section 305
- § 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.
- Applications for Qualification of Indentures
- § 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.
- General
- § 260.7a-15 Scope of §§ 260.7a-15 to 260.7a-37.
- Formal Requirements
- § 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.
- General Requirements as to Contents
- § 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.
- Incorporation by Reference
- § 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.
- Exhibits
- § 260.7a-33 Additional exhibits.
- § 260.7a-34 Omission of substantially identical documents.
- Amendments
- § 260.7a-35 Formal requirements as to amendments.
- § 260.7a-36 Signatures to amendments.
- Inspection and Publication of Applications, Statements and Reports
- § 260.7a-37 Inspection of applications, statements and reports.
- Rule Under Section 310
- § 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.
- Rules Under Section 311
- § 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).
- Periodic Reports
- § 260.14a-1 Application of §§ 260.7a-15 to 260.7a-38.
- § 260.19a-1 Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
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