---
kind: "section"
citation: "17 C.F.R. § 230.430"
title: "17"
number: "230.430"
heading: "Prospectus for use prior to effective date."
url: "https://uscodex.org/cfr/17/230.430"
---

# §230.430. Prospectus for use prior to effective date.

- (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 Act for the purpose of [section 5(b)(1)](/cfr/17/5.md?p=b-1) thereof prior to the effective date of the registration statement, provided such form of prospectus contains substantially the information required by the Act and the rules and regulations thereunder to be included in a prospectus meeting the requirements of section 10(a) of the Act for the securities being registered, or contains substantially that information except for the omission of information with respect to the offering price, underwriting discounts or commissions, discounts or commissions to dealers, amount of proceeds, conversion rates, call prices, or other matters dependent upon the offering price. Every such form of prospectus shall be deemed to have been filed as a part of the registration statement for the purpose of [section 7](/cfr/17/7.md) of the Act.
- (b) A form of prospectus filed as part of a registration statement on Form N-1A ([§ 239.15A](/cfr/17/239.15A.md) and [§ 274.11A](/cfr/17/274.11A.md) of this chapter), Form N-2 ([§ 239.14](/cfr/17/239.14.md) and [§ 274.11a-1](/cfr/17/274.11a-1.md) of this chapter), Form N-3 ([§ 239.17a](/cfr/17/239.17a.md) and [§ 274.11b](/cfr/17/274.11b.md) of this chapter), Form N-4 ([§ 239.17b](/cfr/17/239.17b.md) and [§ 274.11c](/cfr/17/274.11c.md) of this chapter), or Form N-6 ([§ 239.17c](/cfr/17/239.17c.md) and [§ 274.11d](/cfr/17/274.11d.md) of this chapter) shall be deemed to meet the requirements of Section 10 of the Act ([15 U.S.C. 77j](/usc/15/77j.md)) for the purpose of [Section 5(b)(1)](/cfr/17/5.md?p=b-1) thereof ([15 U.S.C. 77e(b)(1)](/usc/15/77e.md?p=b-1)) prior to the effective date of the registration statement, provided that:
  - (1) Such form of prospectus meets the requirements of [paragraph (a)](#a) of this section; and
  - (2) Such registration statement contains a form of Statement of Additional Information that is made available to persons receiving such prospectus upon written or oral request, and without charge, unless the form of prospectus contains the information otherwise required to be disclosed in the form of Statement of Additional Information. Every such form of prospectus shall be deemed to have been filed as part of the registration statement for the purpose of [section 7](/cfr/17/7.md) of the Act.

## Notes

### Amendments

[47 FR 11440, Mar. 16, 1982, as amended at 57 FR 56834, Dec. 1, 1992; 67 FR 19868, Apr. 23, 2002; 76 FR 71876, Nov. 21, 2011]

### Authority

Authority: 15 U.S.C. 77b, 77b note, 77c, 77d, 77f, 77g, 77h, 77j, 77r, 77s, 77z-3, 77sss, 78c, 78d, 78j, 78 l, 78m, 78n, 78o, 78o-7 note, 78t, 78w, 78 ll (d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, and Pub. L. 112-106, sec. 201(a), sec. 401, 126 Stat. 313 (2012), unless otherwise noted. Section 230.151 is also issued under 15 U.S.C. 77s(a). Section 230.160 is also issued under Section 104(d) of the Electronic Signatures Act. Section 230.193 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376. Sections 230.400 to 230.499 issued under secs. 6, 8, 10, 19, 48 Stat. 78, 79, 81, and 85, as amended (15 U.S.C. 77f, 77h, 77j, 77s). Sec. 230.457 also issued under secs. 6 and 7, 15 U.S.C. 77f and 77g. Section 230.502 is also issued under 15 U.S.C. 80a-8, 80a-29, 80a-30.

### Amendments

[55 FR 18322, May 2, 1990, as amended at 62 FR 53954, Oct. 17, 1997; 63 FR 9642, Feb. 25, 1998]

### Amendments

[47 FR 11440, Mar. 16, 1982, as amended at 57 FR 56834, Dec. 1, 1992; 67 FR 19868, Apr. 23, 2002; 76 FR 71876, Nov. 21, 2011]