US Codex
C.F.R.
Browse by date

View an earlier version

Latest
Current
Browse all versions by date
Notes

17 C.F.R. §§ 260.7a-15–260.7a-37

23 sections in range

§260.7a-15. Scope of §§ 260.7a-15 to 260.7a-37.

17 C.F.R. § 260.7a-15

The rules contained in §§ 260.7a-15 to 260.7a-37 shall govern applications for exemption filed pursuant to section 304(c) or 304(d) of the Act, applications for qualification of indentures filed pursuant to section 307, statements of eligibility and qualifications of trustees filed pursuant to section 305, 307, or 310(a) of the Act, applications for the stay of the trustee's duty to resign filed pursuant to section 310(b) of the Act, and reports filed pursuant to section 314(a) of the Act.
Notes, amendments, and revision history

Amendments

[56 FR 22320, May 15, 1991]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[56 FR 22320, May 15, 1991]

§260.7a-16. Inclusion of items, differentiation between items and answers, omission of instructions.

17 C.F.R. § 260.7a-16

Except as expressly provided otherwise in the particular form, the application, statement, or report shall contain all of the items of the form as well as the answers thereto. The items shall be made to stand out from the answers by variation in margin or type or by other means. All instructions shall be omitted.
Notes, amendments, and revision history

Amendments

[6 FR 981, Feb. 15, 1941]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[6 FR 981, Feb. 15, 1941]

§260.7a-17. Quality, color and size of paper.

17 C.F.R. § 260.7a-17

The application, statement or report, including all amendments and, where practicable, all papers and documents filed as a part thereof, shall be on good quality, unglazed, white paper, no larger than 8 1/2 × 11 inches in size. To the extent that the reduction of larger documents would render them illegible, such documents may be filed on paper larger than 8 1/2 × 11 inches in size.
Notes, amendments, and revision history

Amendments

[47 FR 58239, Dec. 30, 1982]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[47 FR 58239, Dec. 30, 1982]

§260.7a-18. Legibility.

17 C.F.R. § 260.7a-18

(a)
The application, statement or report, including all amendments and, where practicable, all papers and documents filed as a part thereof, shall be clear, easily readable and shall be typewritten, mimeographed, printed or prepared by any similar process which, in the opinion of the Commission, produces copies suitable for repeated photocopying and microfilming.
(b)
If printed, the application, statement or report shall be in type not smaller than 10-point, roman type, at least two points leaded.
(c)
All printing, mimeographing, typing or other markings shall be in black ink, except that debits in credit categories and credits in debit categories may be set forth in red or black ink, but shall in all cases be designated in such manner as to be clearly distinguishable as such on photocopies.
Notes, amendments, and revision history

Amendments

[5 FR 293, Jan. 25, 1940, as amended at 47 FR 58239, Dec. 30, 1982]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[5 FR 293, Jan. 25, 1940, as amended at 47 FR 58239, Dec. 30, 1982]

§260.7a-19. Margin for binding.

17 C.F.R. § 260.7a-19

The application, statement or report, including all amendments and, where practicable, all papers and documents filed as a part thereof, shall have a back or stitching margin of at least 1 1/2 inches for binding.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-20. Riders; inserts.

17 C.F.R. § 260.7a-20

Riders shall not be used. If the application, statement or report is typed on a printed form, and the space provided for the answer to any given item is insufficient, reference shall be made in such space to a full insert page or pages on which the item number and item shall be restated and a complete answer given.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-21. Clarity.

17 C.F.R. § 260.7a-21

The answer to each item of the particular form shall be so worded as to be intelligible without the necessity of referring to the instructions or to this part.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-22. Information unknown or not reasonably available.

17 C.F.R. § 260.7a-22

Information required shall be given insofar as it is known or can be obtained by reasonable investigation. Responsibility for the accuracy or completeness of information obtained from persons other than affiliates may be disclaimed. As to information which is unknown and is unavailable after reasonable investigation, there shall be included a statement as to the nature of the investigation.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-23. Statements required where item is inapplicable or where answer is “none”.

17 C.F.R. § 260.7a-23

If any item is inapplicable or the answer is “none”, a statement to such effect shall be made.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-24. Words relating to periods of time in the past.

17 C.F.R. § 260.7a-24

Unless the context clearly shows otherwise, wherever any fixed period of time in the past is indicated, such period shall be computed from the date of filing with the Commission.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-25. Words relating to the future.

17 C.F.R. § 260.7a-25

Unless the context clearly shows otherwise, whenever words relate to the future, they have reference solely to present intention.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-26. Disclaimer of control.

17 C.F.R. § 260.7a-26

If the existence of control is open to reasonable doubt in any instance, the applicant or the trustee, as the case may be, may disclaim the existence of control and any admission thereof; in such case, however, a statement shall be made of the material facts pertinent to the possible existence of control.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-27. Title of securities.

17 C.F.R. § 260.7a-27

Where the title of securities is required to be furnished in an application, statement or report, the following requirements shall be met:
(a)
In the case of shares, there shall be given the full designation of the class of shares and, if not included therein, the par or stated value, if any, and the rate of dividends, if fixed, and whether cumulative or non-cumulative.
(b)
In the case of funded debt, there shall be given the full designation of the issue and, if not included therein, the rate of interest and the date of maturity. If the issue matures serially, a brief indication shall be given of the serial maturities: For example, “maturing serially from 1950 to 1960”. If the payment of interest or principal is contingent, such contingency shall be appropriately indicated. The rate of interest, however, may be omitted from the title of indenture securities on the facing page of Form T-1 and Form T-2, if the rate of interest is not determined at the time these forms are filed.
(c)
In the case of other securities, a similar designation shall be given.
Notes, amendments, and revision history

Amendments

[5 FR 293, Jan. 25, 1940, as amended at 9 FR 750, Jan. 20, 1944]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[5 FR 293, Jan. 25, 1940, as amended at 9 FR 750, Jan. 20, 1944]

§260.7a-28. Incorporation of matter in application, statement or report, other than exhibits, as answer to item.

17 C.F.R. § 260.7a-28

Matter contained in any part of the application, statement or report, other than exhibits, may be incorporated by reference as answer, or partial answer, to any item in the same application, statement or report.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-29. Incorporation of exhibits as such.

17 C.F.R. § 260.7a-29

(a)
Any exhibit or part thereof previously or concurrently filed with the Commission pursuant to any Act administered by the Commission, may, subject to the limitations of § 228.10(f) and § 229.10(d) of this chapter, be incorporated by reference as an exhibit to any application, statement or report filed with the Commission by the same or any other person. Any exhibit or part thereof so filed with a trustee pursuant to the Trust Indenture Act of 1939 may be incorporated by reference as an exhibit to any report filed with such trustee pursuant to section 314(a) of that Act by the same or any other person.
(b)
If any modification has occurred in the text of any exhibit incorporated by reference since the filing thereof, there shall be filed with the reference a statement containing the text of any such modification and the date thereof.
(c)
If the number of copies of any exhibit previously or concurrently filed is less than the number required to be filed with the application, statement or report which incorporates such exhibit, there shall be filed with the application, statement or report as many additional copies of the exhibit as may be necessary to meet the requirements of such application, statement or report.
Notes, amendments, and revision history

Amendments

[6 FR 667, Jan. 30, 1941, as amended at 29 FR 2421, Feb. 13, 1964; 60 FR 32825, June 23, 1995; 76 FR 71877, Nov. 21, 2011]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[6 FR 667, Jan. 30, 1941, as amended at 29 FR 2421, Feb. 13, 1964; 60 FR 32825, June 23, 1995; 76 FR 71877, Nov. 21, 2011]

§260.7a-30. Identification of material incorporated; form of incorporation.

17 C.F.R. § 260.7a-30

In each case of incorporation by reference, the matter incorporated shall be clearly identified in the reference. An express statement shall be made to the effect that the specified matter is incorporated in the application, statement or report at the particular place where the information is required.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-31. Incorporation by reference of contested material.

17 C.F.R. § 260.7a-31

Notwithstanding any particular provision permitting incorporation by reference, no application, statement or report shall incorporate by reference any matter which is subject, at the time of filing the application, statement or report, to pending proceedings under section 8(b) or 8(d) of the Securities Act of 1933 (whether pursuant to the provisions of the Trust Indenture Act of 1939, or otherwise) or to an order entered under either of those sections.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-32. Incorporation by reference rendering document incomplete, unclear, or confusing.

17 C.F.R. § 260.7a-32

Notwithstanding any particular provision permitting incorporation by reference, the Commission may refuse to permit such incorporation in any case in which in its judgment such incorporation would render the application, statement or report incomplete, unclear or confusing.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-33. Additional exhibits.

17 C.F.R. § 260.7a-33

Any application, statement or report may include exhibits in addition to those required by the particular form. Such additional exhibits shall be so marked as to indicate clearly the items to which they refer.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-34. Omission of substantially identical documents.

17 C.F.R. § 260.7a-34

In any case where two or more documents required to be filed as exhibits are substantially identical in all material respects except as to the parties thereto, dates of execution or other details, a copy of only one of such documents need be filed, with a schedule identifying the documents omitted and setting forth the material details in which such documents differ from the document, a copy of which is filed: Provided, however, That the Commission may at any time in its discretion require the filing of copies of any documents so omitted.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-35. Formal requirements as to amendments.

17 C.F.R. § 260.7a-35

(a)
Amendments to an application, statement or report shall comply with §§ 260.7a-17 to 260.7a-19.
(b)
All amendments relating to a particular application, statements or report shall be numbered consecutively in the order in which they are filed with the Commission. Amendments shall be numbered separately for each separate application, statement or report.
(c)
Every amendment to an item of an application, statement or report shall contain the item number, the caption and the text of the item being amended and the complete amended answer thereto.
(d)
If at any time the application, statement or report becomes unclear or confusing because of the number of amendments filed or the length or complexity thereof, there may be filed, and at the written request of the Commission there shall be filed, a complete new application, statement or report, as amended, but no additional copies of exhibits need be filed.
Notes, amendments, and revision history

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

§260.7a-36. Signatures to amendments.

17 C.F.R. § 260.7a-36

Subject to § 260.7a-2, at least the original of every amendment to an application, statement or report shall be signed in the manner prescribed by the particular form on which the application, statement or report was filed.
Notes, amendments, and revision history

Amendments

[16 FR 8737, Aug. 29, 1951]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[16 FR 8737, Aug. 29, 1951]

§260.7a-37. Inspection of applications, statements and reports.

17 C.F.R. § 260.7a-37

All applications, statements and reports are available for public inspection during business hours at the principal office of the Commission.
Notes, amendments, and revision history

Amendments

[16 FR 8737, Aug. 29, 1951]

Authority

Authority: 15 U.S.C. 77c, 77ddd, 77eee, 77ggg, 77nnn, 77sss, 78 ll (d), 80b-3, 80b-4, and 80b-11, unless otherwise noted.

Source

Source: 5 FR 293, Jan. 25, 1940, unless otherwise noted.

Amendments

[16 FR 8737, Aug. 29, 1951]