General Rules and Regulations
promulgated
under the
Securities Act of 1933
Rule 413 -- Registration of Additional Securities
Except as provided in section 24(f) of the Investment Company Act of
1940 (15 U.S.C. 80a-24(f)) and in paragraph (b) of this section, where a registration
statement is already in effect, the registration of additional securities shall only be
effected through a separate registration statement relating to the additional securities.
Notwithstanding paragraph (a) of this section, the following additional
securities or additional classes of securities may be added to an automatic shelf
registration statement already in effect by filing a post-effective amendment to that
automatic shelf registration statement:
Securities of a class different than those registered on the effective
automatic shelf registration statement identified as provided in Rule 430B(a)
(§230.430B(a)); or
Securities of a majority-owned subsidiary that are permitted to be included
in an automatic shelf registration statement, provided that the subsidiary and the
securities are identified as provided in Rule 430B and the subsidiary satisfies the
signature requirements of an issuer in the post-effective amendment.
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