For sale by the Superintendent of Documents, U. S. Government Printing Office, Washington 25, D. C. Price 45 cents COMMISSIONERS EDWARD N. GADSBY, Chairman HAROLD C. PATTERSON EARL F. HASTINGS JAMES C. SARGENT BYRON D. WOODSIDE SECRETARY ORVAL L. DuBois PRINCIPAL OFFICE OF THE COMMISSION Mail should be addressed as follows: REGIONAL AND BRANCH OFFICES REGION 1-New York, New Jersey. 225 Broadway, New York 7, N.Y. Phone, Rector 2-6363. REGION 2-Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. Federal Building, Post Office Square, Boston 9, Mass. Phone, Capital 3-2721. REGION 3-Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River. Suite 138, 1371 Peachtree Street, NE., Atlanta 9, Ga. Phone, Trinity 3-3714. Branch, Room 440, Plaza Bldg., 245 SE. First Street, Miami 32, Fla. Phone, Franklin 1-1651. REGION 4 Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin. Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. Phone, Tower 1-5939. Room 1027, Main Post Office and Customhouse, 180 East Kellogg Boulevard, St. Paul 1, Minn. Phone, Room 1025, Arcade Bldg., 812 Olive Street, St. Louis 1, Mo. Phone, Main 1-8100, Ext. 2372. REGION 5 Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City). Room 301, United States Courthouse, Tenth and Lamar Sts., Ft. Worth 2, Texas. Phone, Edison 2-4463. REGION 6-Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah. Room 802, Midland Savings Bldg., 444 17th St., Denver 2, Colorado. Phone, Keystone 4-4151. REGION 7-California, Nevada, Arizona, Hawaii. Phone, Empire 4-2552. Room 339, Pacific Bldg., 821 Market St., San Francisco 3, Calif. Phone, Yukon 6–3500. Branch, Room 309, Guaranty Bldg., 6331 Hollywood Blvd., Los Angeles 28, Calif. Phone, Hollywood 2-0701. REGION 8-Washington, Oregon, Idaho, Montana, Alaska. 9th Floor, Hoge Bldg., 701-5 Second Ave., Seattle 4, Wash. Phone, Main 2-7760. REGION 9-Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia. II Room 402, Courts Bldg., 310 Sixth St., NW., Washington 25, D.C. Phone, Worth 3-3151. GPC-12. JT-61 PREFACE The rules comprising this compilation have been grouped according to subject matter under broad classifications, designated regulations, and subdivisions called articles. The sequence in which articles and rules have been arranged is based in general on the chronological order of steps involved in the registration of securities. Rules relating to the same subject matter have been assigned numbers in the same 100 series so far as practicable. In accordance with this plan, and in order that any additional rule adopted in the future may be assigned a number at the point appropriate to the subject matter, no attempt has been made to number the rules consecutively. IMPORTANT NOTICE Individuals or firms REGISTERED under the Securities Act of 1933 will receive all proposed or adopted rule changes promulgated under this Act--which affects their registration. Others who wish. to receive all adopted changes under this Act are requested to fill in this coupon and forward promptly to the Securities and Exchange Commission, Washington 25, D. C. GENERAL RULES AND REGULATIONS UNDER THE SECURITIES ACT OF 1933 (Cite as 17 CFR 230.—) CONTENTS ARTICLE 1. DEFINITIONS OF TERMS USED IN THE RULES AND REGULATIONS 120 122 1 130 133 134 135 136 140 Inspection of registration statements.... Definition of "rules and regulations" as used in certain sections of the act.- Notice of certain proposed offerings... Definition of certain terms in relation to assessable stock... Definition of "distribution" in section 2 (11), for certain transactions. 141 Definition of "commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions" in section 2 (11), for certain transactions... 142 Definition of "participates" and "participation," as used in section 2 (11), in relation to certain trans Definition of "has purchased," "sells for," "participates," and "participation," as used in section 2 (11), 150 151 Definition of "commission or other remuneration" in section 3 (a) (9), for certain transactions. งงงงงง 7 7 7 7 152 Definition of "transactions by an issuer not involving any public offering" in section 4 (1), for certain 153 154 Definition of "preceded by a prospectus," as used in section 5 (b) (2), in relation to certain transactions. 778 ARTICLE 5. APPLICATION OF RULES AND REGULATIONS Consent to service of process to be furnished by nonresident brokers or dealers and by nonresident general 9 173 Consent to service of process to be furnished by nonresident investment advisers and by nonresident investment general partners or managing agents of investment advisers. |