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Notes

§232.100. Persons and entities subject to mandated electronic filing.

Cited by 5 provisions

17 C.F.R. § 232.100

The following persons or entities shall be subject to the electronic filing requirements of this part 232:
(a)
Registrants and other entities whose filings are subject to review by the Division of Corporation Finance;
(b)
Persons or entities whose filings are subject to review by the Division of Investment Management;
(c)
Persons or entities whose filings are subject to review by the Division of Trading and Markets; and
(d)
Any party (including natural persons) that files a document jointly with, or as a third party filer with respect to, a person or entity that is subject to mandated electronic filing requirements.
Notes, amendments, and revision history

Amendments

[62 FR 36456, July 8, 1997, as amended at 67 FR 36699, May 24, 2002; 72 FR 14417, Mar. 28, 2007; 73 FR 10616, Feb. 27, 2008; 87 FR 38964, June 30, 2022; 90 FR 7359, Jan. 21, 2025]

Authority

Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z-3, 77sss(a), 78c(b), 78 l, 78m, 78n, 78n-1, 78o(d), 78w(a), 78 ll, 80a-6(c), 80a-8, 80a-29, 80a-30, 80a-37, 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted. Section 232.302 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745.

Source

Source: 58 FR 14670, Mar. 18, 1993, unless otherwise noted.

Amendments

[62 FR 36456, July 8, 1997, as amended at 67 FR 36699, May 24, 2002; 72 FR 14417, Mar. 28, 2007; 73 FR 10616, Feb. 27, 2008; 87 FR 38964, June 30, 2022; 90 FR 7359, Jan. 21, 2025]