PF Rules & Regulatory Actions

If a registration statement is prepared on a form available solely to investment companies registered under the investment Company Act of 1940, or a business ...
(a) Any requirement to the contrary notwithstanding, no registration statement, prospectus, or other document filed with the Commission or used in connection with the offering ...
(a) If a registration statement purports to register securities to be offered pursuant to terms which provide for a change in the amount of securities ...
(a) A form of prospectus filed as a part of the registration statement shall be deemed to meet the requirements of section 10 of the ...
(a) Any annuity contract or optional annuity contract (a contract) shall be deemed to be within the provisions of section 3(a)(8) of the Securities Act ...
(a) A registration statement shall consist of the facing sheet of the applicable form; a prospectus containing the information called for by Part I of ...
(a) A depositary that previously has filed a registration statement on Form F-6 (§239.36 of this chapter) may designate a date and time for a ...
(a) A registration statement on Form S-8 (§239.16b of this chapter) and a registration statement on Form S-3 (§239.13 of this chapter) or on Form ...
The publication or distribution by a broker or dealer of information, an opinion or a recommendation with respect to asset-backed securities meeting the criteria of ...
(a) Definition of preceded by a prospectus. The term preceded by a prospectus as used in section 5(b)(2) of the Act, regarding any requirement of ...
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