(a) An offer or sale of securities by any person other than the issuer, a distributor, any of their respective affiliates (except any officer or ...
The term accredited investor as used in section 2(15)(ii) of the Securities Act of 1933 (15 U.S.C. 77b(15)(ii)) shall include the following persons: (a) Any ...
Rule 479 — Procedure with Respect to Abandoned Registration Statements and Post-Effective Amendments
When a registration statement, or a post-effective amendment to such a statement, has been on file with the Commission for a period of nine months ...
(a) Sending confirmations and notices of allocations. After the effective date of a registration statement, the following are exempt from the provisions of section 5(b)(1) ...
(a) For the purposes only of Section 5 of the Act (15 U.S.C. 77e), an issuer that is a foreign private issuer (as defined in ...
(a) Except as provided in this section, following the effective date of the first registration statement filed under the Act by an issuer, the issuer ...
(a) Any interest or participation in a single trust fund or in a collective trust fund maintained by a bank, or any security arising out ...
(a) A registration statement filed on Form N-14 by a registered open-end management investment company for the purpose of registering securities to be issued in ...
(a) Except for telegraphic amendments filed pursuant to Rule 473 (§230.473), there shall be filed with the Commission three complete, unmarked copies of every amendment, ...
(a) An amendment in the following form filed with a registration statement, or as an amendment to a registration statement which has not become effective, ...