---
kind: "section"
citation: "17 C.F.R. § 232.101"
title: "17"
number: "232.101"
heading: "Mandated electronic submissions and exceptions."
url: "https://uscodex.org/cfr/17/232.101"
---

# §232.101. Mandated electronic submissions and exceptions.

- (a) **Mandated electronic submissions.**
  - (1) The following filings, including any related correspondence and supplemental information, except as otherwise provided, shall be submitted in electronic format:
    - (i) Registration statements and prospectuses filed pursuant to the Securities Act ([15 U.S.C. 77a](/usc/15/77a.md), et seq.) or registration statements filed pursuant to Section 12(b) or 12(g) of the Exchange Act (15 U.S.C. [78l(b)](/usc/15/78l.md?p=b) or [(g)](/usc/15/78l.md?p=g)), and certifications that a security has been approved by an exchange for listing and registration filed pursuant to Section 12(d) of the Exchange Act ([15 U.S.C. 78l(d)](/usc/15/78l.md?p=d)) and [§ 240.12d1-3](/cfr/17/240.12d1-3.md) of this chapter ([Rule 12d1-3](/cfr/17/12d1-3.md)) under the Exchange Act. The certification that a security has been approved by an exchange for listing and registration must be made on EDGAR in the electronic format required by the EDGAR Filer Manual, as defined in [§ 232.11](/cfr/17/232.11.md) of this chapter ([Rule 11](/cfr/17/11.md) of Regulation S-T). Notwithstanding [§ 232.104](/cfr/17/232.104.md) of this chapter ([Rule 104](/cfr/17/104.md) of Regulation S-T), the certification filed under this paragraph will be considered as officially filed with the Commission;
    - (ii) Statements and applications filed with the Commission pursuant to the Trust Indenture Act ([15 U.S.C. 77aaa](/usc/15/77aaa.md) et seq.), other than applications for exemptive relief filed pursuant to [section 304](/cfr/17/304.md) ([15 U.S.C. 77ddd](/usc/15/77ddd.md)) and [section 310](/cfr/17/310.md) ([15 U.S.C. 77jjj](/usc/15/77jjj.md)) of that Act;
    - (iii) Statements, reports, and schedules filed with the Commission pursuant to sections 13, 14, 14A(d), 15(d), or 16(a) of the Exchange Act (15 U.S.C. [78m](/usc/15/78m.md), [78n](/usc/15/78n.md), [78n-1(d)](/usc/15/78n-1.md?p=d), [78o(d)](/usc/15/78o.md?p=d), and [78p(a)](/usc/15/78p.md?p=a)), and proxy materials required to be furnished for the information of the Commission pursuant to §§ [240.14a-3](/cfr/17/240.14a-3.md) and [240.14c-3](/cfr/17/240.14c-3.md) of this chapter (Rules [14a-3](/cfr/17/14a-3.md) and [14c-3](/cfr/17/14c-3.md)) or in connection with annual reports on Form 10-K ([§ 249.310](/cfr/17/249.310.md) of this chapter) filed pursuant to section 15(d) of the Exchange Act;
    - (iv) Documents filed with the Commission pursuant to sections 8, 17, 20, 23(c), 24(b), 24(e), 24(f), and 30 of the Investment Company Act (15 U.S.C. [80a-8](/usc/15/80a-8.md), [80a-17](/usc/15/80a-17.md), [80a-20](/usc/15/80a-20.md), [80a-23(c)](/usc/15/80a-23.md?p=c), [80a-24(b)](/usc/15/80a-24.md?p=b), [80a-24(e)](/usc/15/80a-24.md?p=e), [80a-24(f)](/usc/15/80a-24.md?p=f), and [80a-29](/usc/15/80a-29.md)) and any application for an order under any section of the Investment Company Act ([15 U.S.C. 80a-1](/usc/15/80a-1.md) et seq.). The filing of an application for an order under any section of the Investment Company Act must be made on EDGAR as required by the EDGAR Filer Manual, as defined in [§ 232.11](/cfr/17/232.11.md) ([Rule 11](/cfr/17/11.md) of Regulation S-T). Notwithstanding [§ 232.104](/cfr/17/232.104.md) ([Rule 104](/cfr/17/104.md) of Regulation S-T), the documents filed or furnished under this paragraph will be considered as officially filed with or furnished to, as applicable, the Commission;
    - (v) Documents relating to offerings exempt from registration under the Securities Act filed with the Commission pursuant to Regulation E ([§§ 230.601-230.610a](/cfr/17/230.601-230.610a.md) of this chapter);
    - (vi) Form CB (§§ [239.800](/cfr/17/239.800.md) and [249.480](/cfr/17/249.480.md) of this chapter) filed or submitted under § [230.801](/cfr/17/230.801.md) or [230.802](/cfr/17/230.802.md) of this chapter or § [240.13e-4(h)(8)](/cfr/17/240.13e-4.md?p=h-8), [240.14d-1(c)](/cfr/17/240.14d-1.md?p=c), or [240.14e-2(d)](/cfr/17/240.14e-2.md?p=d) of this chapter;
    - (vii) Form F-X ([§ 239.42](/cfr/17/239.42.md) of this chapter) when filed in connection with a Form CB (§§ [239.800](/cfr/17/239.800.md) and [249.480](/cfr/17/249.480.md) of this chapter) or a Form 1-A ([§ 239.90](/cfr/17/239.90.md) of this chapter);
    - (viii) Form F-N ([§ 239.43](/cfr/17/239.43.md) of this chapter) filed by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries under [§ 230.489](/cfr/17/230.489.md) of this chapter;
    - (ix) Form ID (§§ [239.63](/cfr/17/239.63.md), [249.446](/cfr/17/249.446.md), [269.7](/cfr/17/269.7.md) and [274.402](/cfr/17/274.402.md) of this chapter); the Form ID authenticating document required by [Rule 10(b)](/cfr/17/10.md?p=b) of Regulation S-T ([§ 232.10(b)](/cfr/17/232.10.md?p=b)) also shall be filed in electronic format as an uploaded Portable Document Format (PDF) attachment to the Form ID filing. Other related correspondence and supplemental information submitted after the Form ID filing shall not be submitted in electronic format;
    - (x) Form 25 ([§ 249.25](/cfr/17/249.25.md) of this chapter);
    - (xi) Form TA-1 ([§ 249.100](/cfr/17/249.100.md) of this chapter), Form TA-2 ([§ 249.102](/cfr/17/249.102.md) of this chapter), and Form TA-W ([§ 249.101](/cfr/17/249.101.md) of this chapter);
    - (xii) Forms 15 and 15F ([§ 249.323](/cfr/17/249.323.md) and [§ 249.324](/cfr/17/249.324.md) of this chapter);
    - (xiii) Form D ([§ 239.500](/cfr/17/239.500.md) of this chapter).
    - (xiv) Form NRSRO ([§ 249b.300](/cfr/17/249b.300.md) of this chapter), and the information and documents in Exhibits 1 through 9 to Form NRSRO, filed with or furnished to, as applicable, the Commission under § [240.17g-1(e)](/cfr/17/240.17g-1.md?p=e), [(f)](/cfr/17/240.17g-1.md?p=f), and [(g)](/cfr/17/240.17g-1.md?p=g) of this chapter and the annual reports filed with or furnished to, as applicable, the Commission under [§ 240.17g-3](/cfr/17/240.17g-3.md) of this chapter. The filings or furnishings must be made on EDGAR as PDF documents in the format required by the EDGAR Filer Manual, as defined in [Rule 11](/cfr/17/11.md) of Regulation S-T ([§ 232.11](/cfr/17/232.11.md)). Notwithstanding [Rule 104](/cfr/17/104.md) of Regulation S-T ([§ 232.104](/cfr/17/232.104.md)), the PDF documents filed or furnished under this paragraph will be considered as officially filed with or furnished to, as applicable, the Commission.
    - (xv) Form ABS-EE ([§ 249.1401](/cfr/17/249.1401.md) of this chapter);
    - (xvi) Form ABS-15G (as defined in [§ 249.1400](/cfr/17/249.1400.md) of this chapter);
    - (xvii) Documents filed with the Commission pursuant to section 13(n) of the Exchange Act ([15 U.S.C. 78m(n)](/usc/15/78m.md?p=n)) and the rules and regulations thereunder, including Form SDR ([17 CFR 249.1500](/cfr/17/249.1500.md)) and reports filed pursuant to Rules [13n-11(d)](/cfr/17/13n-11.md?p=d) and [(f)](/cfr/17/13n-11.md?p=f) (17 CFR [240.13n-11(d)](/cfr/17/240.13n-11.md?p=d) and [(f)](/cfr/17/240.13n-11.md?p=f)) under the Exchange Act;
    - (xviii) Filings made pursuant to Regulation A ([§§ 230.251 through 230.262](/cfr/17/230.251..230.262.md) of this chapter); and
    - (xix) Form C ([§ 239.900](/cfr/17/239.900.md) of this chapter). Exhibits to Form C ([§ 239.900](/cfr/17/239.900.md) of this chapter) may be filed on EDGAR as PDF documents in the format required by the EDGAR Filer Manual, as defined in [Rule 11](/cfr/17/11.md) of Regulation S-T ([§ 232.11](/cfr/17/232.11.md) of this chapter). Notwithstanding [Rule 104](/cfr/17/104.md) of Regulation S-T ([§ 232.104](/cfr/17/232.104.md) of this chapter), the PDF documents filed under this paragraph will be considered as officially filed with the Commission;
    - (xx) Form Funding Portal ([§ 249.2000](/cfr/17/249.2000.md) of this chapter). Exhibits and attachments to Form Funding Portal ([§ 249.2000](/cfr/17/249.2000.md) of this chapter) may be filed on EDGAR as PDF documents in the format required by the EDGAR Filer Manual, as defined in [Rule 11](/cfr/17/11.md) of Regulation S-T ([§ 232.11](/cfr/17/232.11.md) of this chapter). Notwithstanding [Rule 104](/cfr/17/104.md) of Regulation S-T ([§ 232.104](/cfr/17/232.104.md) of this chapter), the PDF documents filed under this paragraph will be considered as officially filed with the Commission.
- (xxi) Form ATS-N ([§ 249.640](/cfr/17/249.640.md) of this chapter);
- (xxii) Confidential treatment requests filed with the Commission pursuant to section 13(f) of the Exchange Act ([15 U.S.C. 78m(f)](/usc/15/78m.md?p=f)) and the rules and regulations in this chapter, including Form 13F ([§ 249.325](/cfr/17/249.325.md) of this chapter), or pursuant to the instructions to Form N-PX (§§ [249.326](/cfr/17/249.326.md) and [274.129](/cfr/17/274.129.md) of this chapter). The filings must be made on EDGAR in the format required by the EDGAR Filer Manual, as defined in [§ 232.11](/cfr/17/232.11.md) ([Rule 11](/cfr/17/11.md) of Regulation S-T). Notwithstanding [§ 232.104](/cfr/17/232.104.md) ([Rule 104](/cfr/17/104.md) of Regulation S-T), the documents filed or furnished under this paragraph (a)(1)(xxii) will be considered as officially filed with or furnished to, as applicable, the Commission; and
- (xxiii) Any application for an order under any section of the Investment Advisers Act ([15 U.S.C. 80b-1](/usc/15/80b-1.md) et seq.). The filings must be made on EDGAR in the format required by the EDGAR Filer Manual, as defined in [§ 232.11](/cfr/17/232.11.md) ([Rule 11](/cfr/17/11.md) of Regulation S-T). Notwithstanding [§ 232.104](/cfr/17/232.104.md) ([Rule 104](/cfr/17/104.md) of Regulation S-T), the documents filed or furnished under this paragraph will be considered as officially filed with or furnished to, as applicable, the Commission.
- (xxiv) Annual reports to security holders furnished for the information of the Commission under [§ 240.14a-3(c)](/cfr/17/240.14a-3.md?p=c) of this chapter or [§ 240.14c-3(b)](/cfr/17/240.14c-3.md?p=b) of this chapter, under the requirements of Form 10-K ([§ 249.310](/cfr/17/249.310.md) of this chapter) filed by registrants under Exchange Act [Section 15(d)](/cfr/17/15.md?p=d) ([15 U.S.C. 78o(d)](/usc/15/78o.md?p=d)), or by foreign private issuers filed on Form 6-K ([§ 249.306](/cfr/17/249.306.md) of this chapter) under [§ 240.13a-16](/cfr/17/240.13a-16.md) of this chapter or [§ 240.15d-16](/cfr/17/240.15d-16.md) of this chapter;
- (xxv) Notices of exempt solicitation furnished for the information of the Commission pursuant to [Rule 14a-6(g)](/cfr/17/14a-6.md?p=g) ([§ 240.14a-6(g)](/cfr/17/240.14a-6.md?p=g) of this chapter) and notices of exempt preliminary roll-up communications furnished for the information of the Commission pursuant to [§ 240.14a-6(n)](/cfr/17/240.14a-6.md?p=n) of this chapter ([Rule 14a-6(n)](/cfr/17/14a-6.md?p=n));
- (xxvi) Form 11-K ([§ 249.311](/cfr/17/249.311.md) of this chapter);
- (xxvii) Form 144 ([§ 239.144](/cfr/17/239.144.md) of this chapter), where the issuer of the securities is, and has been for a period of at least 90 days immediately before the sale, subject to the reporting requirements of section 13 or 15(d) of the Exchange Act (15 U.S.C. [78m](/usc/15/78m.md) or [78o(d)](/usc/15/78o.md?p=d), respectively);
- (xxviii) **Periodic reports and reports with respect to distributions of primary obligations filed by—**
  - (A) The International Bank for Reconstruction and Development under Section 15(a) of the Bretton Woods Agreements Act ([22 U.S.C. 286k-1(a)](/usc/22/286k-1.md?p=a)) and [part 285](/cfr/17/part285.md) of this chapter;
  - (B) The Inter-American Development Bank under [Section 11(a)](/cfr/17/11.md?p=a) of the Inter-American Development Bank Act ([22 U.S.C. 283h(a)](/usc/22/283h.md?p=a)) and [part 286](/cfr/17/part286.md) of this chapter;
  - (C) The Asian Development Bank under Section 11(a) of the Asian Development Bank Act ([22 U.S.C. 285h(a)](/usc/22/285h.md?p=a)) and [part 287](/cfr/17/part287.md) of this chapter;
  - (D) The African Development Bank under Section 9(a) of the African Development Bank Act ([22 U.S.C. 290i-9(a)](/usc/22/290i-9.md?p=a)) and [part 288](/cfr/17/part288.md) of this chapter;
  - (E) The International Finance Corporation under Section 13(a) of the International Finance Corporation Act ([22 U.S.C. 282k(a)](/usc/22/282k.md?p=a)) and [part 289](/cfr/17/part289.md) of this chapter; and
  - (F) The European Bank for Reconstruction and Development under [Section 9(a)](/cfr/17/9.md?p=a) of the European Bank for Reconstruction and Development Act ([22 U.S.C. 290l-7(a)](/usc/22/290l-7.md?p=a)) and [part 290](/cfr/17/part290.md) of this chapter;
- (xxix) A report or other document submitted by a foreign private issuer under cover of Form 6-K ([§ 249.306](/cfr/17/249.306.md) of this chapter) that the issuer must furnish and make public under the laws of the jurisdiction in which the issuer is incorporated, domiciled or legally organized (the foreign private issuer's “home country”), or under the rules of the home country exchange on which the issuer's securities are traded, as long as the report or other document is not a press release, is not required to be and has not been distributed to the issuer's security holders, and, if discussing a material event, has already been the subject of a Form 6-K or other Commission filing or submission on EDGAR;
- (xxx) Documents filed with the Commission pursuant to section 33 of the Investment Company Act ([15 U.S.C. 80a-32](/usc/15/80a-32.md)); and
- (xxxi) Reports filed pursuant to [§ 240.17Ad-27](/cfr/17/240.17Ad-27.md) of this chapter ([Rule 17Ad-27](/cfr/17/17Ad-27.md) under the Exchange Act).
- (xxxii)
  - (A) The annual reports filed with the Commission under [§ 240.17a-5(d)](/cfr/17/240.17a-5.md?p=d) of this chapter, the supplemental reports and statements filed with the Commission under [§ 240.17a-5(k)](/cfr/17/240.17a-5.md?p=k) of this chapter, the annual reports filed with the Commission under [§ 240.17a-12(b)](/cfr/17/240.17a-12.md?p=b) of this chapter, the accountant's reports filed with the Commission under § [240.17a-12(k)](/cfr/17/240.17a-12.md?p=k), [(l)](/cfr/17/240.17a-12.md?p=l), and [(m)](/cfr/17/240.17a-12.md?p=m) of this chapter, the reports filed with the Commission under [§ 240.17a-19](/cfr/17/240.17a-19.md) of this chapter, and the annual reports filed with the Commission under [§ 240.18a-7(c)](/cfr/17/240.18a-7.md?p=c) of this chapter. The submissions must be made on EDGAR in the electronic format required by the EDGAR Filer Manual, as defined in [§ 232.11](/cfr/17/232.11.md) ([Rule 11](/cfr/17/11.md) of Regulation S-T) and must be filed in accordance with the requirements of this part 232 (Regulation S-T);
  - (B) The reports filed and furnished, as applicable, with the Commission under [§ 240.17h-2T](/cfr/17/240.17h-2T.md) of this chapter. The submissions must be made on EDGAR in the electronic format required by the EDGAR filer Manual, as defined in [Rule 11](/cfr/17/11.md) of Regulation S-T, and must be filed in accordance with the requirements of Regulation S-T;
- (xxxiii) Notices (and withdrawals of notices) filed with the Commission pursuant to [§ 240.3a71-3(d)(1)(vi)](/cfr/17/240.3a71-3.md?p=d-1-vi) of this chapter ([Rule 3a71-3(d)(1)(vi)](/cfr/17/3a71-3.md?p=d-1-vi));
- (xxxiv) Notices (and amendments, including notices of dispute termination) provided to the Commission pursuant to [§ 240.15fi-3(c)](/cfr/17/240.15fi-3.md?p=c) of this chapter ([Rule 15fi-3(c)](/cfr/17/15fi-3.md?p=c));
- (xxxv) Compliance reports submitted with the Commission pursuant to [§ 240.15fk-1(c)(2)(ii)(A)](/cfr/17/240.15fk-1.md?p=c-2-ii-A) of this chapter ([Rule 15fk-1(c)(2)(ii)(A)](/cfr/17/15fk-1.md?p=c-2-ii-A));
- (xxxvi) Form 1 ([§ 249.1](/cfr/17/249.1.md) of this chapter);
- (xxxvii) Form 1-N ([§ 249.10](/cfr/17/249.10.md) of this chapter); and
- (xxxviii) Form 15A ([§ 249.801](/cfr/17/249.801.md) of this chapter).
  - (2) The following amendments to filings and applications, including any related correspondence and supplemental information except as otherwise provided, shall be submitted as follows:
    - (i) Any amendment to a filing or application submitted by or relating to a registrant or an applicant that is required to file electronically, including any amendment to a paper filing or application, shall be submitted in electronic format;
    - (ii) The first electronic amendment to a paper format Schedule 13D ([§ 240.13d-101](/cfr/17/240.13d-101.md) of this chapter) or Schedule 13G ([§ 240.13d-102](/cfr/17/240.13d-102.md) of this chapter), shall restate the entire text of the Schedule 13D or 13G, but previously filed paper exhibits to such Schedules are not required to be restated electronically. See [Rule 102](/cfr/17/102.md) ([§ 232.102](/cfr/17/232.102.md)) regarding amendments to exhibits previously filed in paper format. Notwithstanding the foregoing, if the sole purpose of filing the first electronic Schedule 13D or 13G amendment is to report a change in beneficial ownership that would terminate the filer's obligation to report, the amendment need not include a restatement of the entire text of the Schedule being amended.
  - (3) Supplemental information, including documents related to applications under any section of the Investment Company Act, shall be submitted in electronic format except as provided in [paragraph (c)(2)](#c-2) of this section. The information shall be stored in the non-public EDGAR data storage area as correspondence. Supplemental information that is submitted in electronic format shall not be returned.
- (b) **Permitted electronic submissions.** The following documents may be submitted to the Commission in electronic format, at the option of the electronic filer:
  - (1) -(9) [Reserved]
- (c) **Documents that shall not be submitted in electronic format on EDGAR.** Except as otherwise specified in [paragraph (d)](#d) of this section, the following shall not be submitted in electronic format on EDGAR:
  - (1)
    - (i) Confidential treatment requests and the information with respect to which confidential treatment is requested;
    - (ii) Preliminary proxy materials and information statements with respect to a matter specified in Item 14 of Schedule 14A ([§ 240.14a-101](/cfr/17/240.14a-101.md) of this chapter) for which confidential treatment has been requested in the manner prescribed by [Rule 14a-6(e)(2)](/cfr/17/14a-6.md?p=e-2) ([§ 240.14a-6(e)(2)](/cfr/17/240.14a-6.md?p=e-2) of this chapter) or [Rule 14c-5(d)(2)](/cfr/17/14c-5.md?p=d-2) ([§ 240.14c-5(d)(2)](/cfr/17/240.14c-5.md?p=d-2) of this chapter);
  - (2) Supplemental information, if the submitter requests that the information be protected from public disclosure under the Freedom of Information Act ([5 U.S.C. 552](/usc/5/552.md)) pursuant to a request for confidential treatment under [Rule 83](/cfr/17/83.md) ([§ 200.83](/cfr/17/200.83.md) of this chapter) or if the submitter requests that the information be returned after staff review and the information is of the type typically returned by the staff pursuant to [Rule 418(b)](/cfr/17/418.md?p=b) of Regulation C ([§ 230.418(b)](/cfr/17/230.418.md?p=b) of this chapter) or [Rule 12b-4](/cfr/17/12b-4.md) of Regulation 12B ([§ 240.12b-4](/cfr/17/240.12b-4.md) of this chapter);
  - (3) Shareholder proposals and all related correspondence submitted pursuant to Rule 14a-8 of the Exchange Act ([§ 240.14a-8](/cfr/17/240.14a-8.md) of this chapter);
  - (4) No-action and interpretive letter requests ([§ 200.81](/cfr/17/200.81.md) of this chapter and [15 U.S.C. 78l(h)](/usc/15/78l.md?p=h));
  - (5) Applications for exemptive relief filed pursuant to Sections 304 and 310 of the Trust Indenture Act;
  - (6) Filings on Form 144 ([§ 239.144](/cfr/17/239.144.md) of this chapter) where the issuer of the securities is not subject to the reporting requirements of section 13 or 15(d) of the Exchange Act (15 U.S.C. [78m](/usc/15/78m.md) or [78o(d)](/usc/15/78o.md?p=d), respectively);
  - (7) Promotional and sales material submitted pursuant to Securities Act Industry Guide 5 ([§ 229.801(e)](/cfr/17/229.801.md?p=e) of this chapter) or otherwise supplementally furnished for review by the staff of the Division of Corporation Finance;
  - (8) [Reserved]
  - (9) Exchange Act filings submitted to the Division of Trading and Markets other than those that are submitted in electronic format as mandated or permitted electronic submissions under paragraphs [(a)](#a) and [(b)](#b) of this section or that are submitted electronically in a filing system other than EDGAR;
  - (10) Documents relating to investigations and litigation submitted pursuant to the [Subpart D of Part 201](/cfr/17/part201-subpartD.md) of this chapter;
  - (11) -(14) [Reserved]
  - (15) Annual reports filed with the Commission by indenture trustees pursuant to Section 313 of the Trust Indenture Act ([15 U.S.C. 77mmm](/usc/15/77mmm.md)); and
  - (16) Applications for an exemption from Exchange Act reporting obligations filed pursuant to Section 12(h) of the Exchange Act ([15 U.S.C. 78l(h)](/usc/15/78l.md?p=h)).
- (d) The following must be filed or submitted, as applicable, in electronic format:
  - (1) All documents, including any information with respect to which confidential treatment is requested, filed pursuant to [section 13(n)](/cfr/17/13.md?p=n) ([15 U.S.C. 78m(n)](/usc/15/78m.md?p=n)) and [section 13(f)](/cfr/17/13.md?p=f) ([15 U.S.C. 78m(f)](/usc/15/78m.md?p=f)) of the Exchange Act and the rules and regulations thereunder and the instructions to Form N-PX (§§ [249.326](/cfr/17/249.326.md) and [274.129](/cfr/17/274.129.md) of this chapter);
  - (2) All documents, including any information with respect to which confidential treatment is requested, filed pursuant to §§ [240.17a-5(d)](/cfr/17/240.17a-5.md?p=d), [240.17a-5(k)](/cfr/17/240.17a-5.md?p=k), [240.17a-12(b)](/cfr/17/240.17a-12.md?p=b), [240.17a-12(k) through (m)](/cfr/17/240.17a-12.md?p=k..m), [240.17a-19](/cfr/17/240.17a-19.md), [240.17h-2T](/cfr/17/240.17h-2T.md), or [240.18a-7(c)](/cfr/17/240.18a-7.md?p=c) of this chapter;
  - (3) All notices (and amendments, including notices of dispute termination), including any information with respect to which confidential treatment is requested, provided to the Commission pursuant to [§ 240.15fi-3(c)](/cfr/17/240.15fi-3.md?p=c) of this chapter; and
  - (4) All compliance reports, including any information with respect to which confidential treatment is requested, submitted to the Commission pursuant to [§ 240.15fk-1(c)(2)(ii)(A)](/cfr/17/240.15fk-1.md?p=c-2-ii-A) of this chapter.

## Notes

### Amendments

[58 FR 14670, Mar. 18, 1993; 58 FR 26383, May 3, 1993]

### 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

[58 FR 14670, Mar. 18, 1993; 58 FR 26383, May 3, 1993]