General Rules and Regulations for
Electronic Filings
Regulation S-T
Rule 100 -- Persons and Entities Subject to Mandated Electronic Filing
The following persons or entities shall be subject to the electronic filing requirements
of this part 232.
Registrants whose filings are subject to review by the Division of Corporation Finance;
Registrants whose filings are subject to review by the Division
of Investment Management;
Persons or entities whose filings are subject to review by the Division of Market Regulation; and
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.
Notice to Users: The Deskbook is made available
with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
