Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Act of 1933





General Rules


    Rule 100 -- Definition of Terms Used in the Rules and Regulations

    Rule 110 -- Business Hours of the Commission

    Rule 111 -- Payment of Fees

    Rule 120 -- Inspection of Registration Statements

    Rule 122 -- Non-Disclosure of Information Obtained in the Course of Examinations and Investigations

    Rule 130 -- Definition of "Rules and Regulations" as Used in Certain Sections of the Act

    Rule 131 -- Definition of Security Issued Under Governmental Obligations

    Rule 132 -- Definition of "Common Trust Fund" as Used in Section 3(a)(2) of the Act

    Rule 134 -- Communications Not Deemed a Prospectus

    Rule 134a -- Options Material Not Deemed a Prospectus

    Rule 134b -- Statements of Additional Information

    Rule 135 -- Notice of Certain Proposed Offerings

    Rule 135a -- Generic Advertising

    Rule 135b -- Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus

    Rule 135c -- Notice of Certain Proposed Unregistered Offerings

    Rule 135d -- [Reserved]

    Rule 135e -- Offshore Press Conferences, Meetings with Issuer Representatives Conducted Offshore, and Press-Related Materials Released Offshore

    Rule 136 -- Definition of Certain Terms in Relation to Assessable Stock

    Rule 137 -- Definition of "Offers", "Participates", or "Participation" in Section 2(a)(11) in Relation to Certain Publications by Persons Independent of Participants in a Distribution

    Rule 138 -- Definition of "Offer for Sale" and "Offer to Sell" in Sections 2(a)(10) and 5(c) in Relation to Certain Publications

    Rule 139 -- Definition of "Offer for Sale" and "Offer to Sell" in Sections 2(a)(10) and 5(c) in Relation to Certain Publications

    Rule 140 -- Definition of "Distribution" in Section 2(a)(11), for Certain Transactions

    Rule 141 -- Definition of "Commission from an Underwriter or Dealer Not in Excess of the Usual and Customary Distributors' or Sellers' Commissions" in Section 2(a)(11), for Certain Transactions

    Rule 142 -- Definition of "Participates" and "Participation," as Used in Section 2(a)(11), in Relation to Certain Transactions

    Rule 143 -- Definition of "Has Purchased", "Sells for", "Participates", and "Participation", as Used in Section 2(a)(11), in Relation to Certain Transactions of Foreign Governments for War Purposes

    Rule 144 -- Persons Deemed Not to Be Engaged in a Distribution and Therefore Not Underwriters

    Rule 144A -- Private Resales of Securities to Institutions

    Rule 145 -- Reclassifications of Securities, Mergers, Consolidations and Acquisitions of Assets

    Rule 146T -- Rules under Section 18 of the Act

    Rule 147 -- "Part of an Issue," "Person Resident," and "Doing Business Within" for Purposes of Section 3(a)(11)

    Rule 148 -- [Removed and reserved in Release 33-7300, effective July 15, 1996, 61 FR 30397.]

    Rule 149 -- Definition of "Exchanged" in Section 3(a)(9), for Certain Transactions

    Rule 150 -- Definition of "Commission or Other Remuneration" in Section 3(a)(9), for Certain Transactions

    Rule 151 -- Safe Harbor Definition of Certain "Annuity Contracts or Optional Annuity Contracts" Within the Meaning of Section 3(a)(8)

    Rule 152 -- Definition of "Transactions by an Issuer Not Involving Any Public Offering" in Section 4(2), for Certain Transactions

    Rule 152a -- Offer or Sale of Certain Fractional Interests

    Rule 153 -- Definition of "Preceded by a Prospectus," as Used in Section 5(b)(2), in Relation to Certain Transactions

    Rule 153a -- Definition of "Preceded by a Prospectus" as Used in Section 5(b)(2) in Relation to Certain Transactions Requiring Approval of Security Holders

    Rule 153b -- Definition of "Preceded by a Prospectus", as Used in Section 5(b)(2), in Connection with Certain Transactions in Standardized Options

    Rule 154 -- Delivery of Prospectuses to Investors at the Same Address

    Rule 155 -- Integration of Abandoned Offerings

    Rule 156 -- Investment Company Sales Literature

    Rule 157 -- Small Entities Under the Securities Act for Purposes of the Regulatory Flexibility Act

    Rule 158 -- Definitions of Certain Terms in the Last Paragraph of Section 11(a)

    Rule 159 -- Information Available to Purchaser at Time of Contract of Sale

    Rule 159A -- Certain Definitions for Purposes of Section 12(a)(2) of the Act

    Rule 160 -- Registered Investment Company Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act

    Rule 161 -- Amendments to Rules and Regulations Governing Exemptions

    Rule 162 -- Submission of Tenders in Registered Exchange Offers

    Rule 163 -- Exemption From Section 5(c) of the Act for Certain Communications By or On Behalf of Well-Known Seasoned Issuers

    Rule 163A -- Exemption From Section 5(c) of the Act for Certain Communications Made By or On Behalf of Issuers More Than 30 Days Before A Registration Statement is Filed

    Rule 164 -- Post-Filing Free Writing Prospectuses in Connection with Certain Registered Offerings

    Rule 165 -- Offers Made in Connection with a Business Combination Transaction

    Rule 166 -- Exemption from Section 5(c) for Certain Communications in Connection with Business Combination Transactions

    Rule 167 -- Communications in Connection with Certain Registered Offerings of Asset-Backed Securities

    Rule 168 -- Exemption from Sections 2(a)(10) and 5(c) of the Act for Certain Communications of Regularly Released Factual Business Information and Forward-Looking Information

    Rule 169 -- Exemption from Sections 2(a)(10) and 5(c) of the Act for Certain Communications of Regularly Released Factual Business Information

    Rule 170 -- Prohibition of Use of Certain Financial Statements

    Rule 172 -- Delivery of Prospectuses

    Rule 173 -- Notice of Registration

    Rule 174 -- Delivery of Prospectus by Dealers; Exemptions Under Section 4(3) of the Act

    Rule 175 -- Liability for Certain Statements by Issuers

    Rule 176 -- Circumstances Affecting the Determination of What Constitutes Reasonable Investigation and Reasonable Grounds for Belief Under Section 11 of the Securities Act

    Rule 180 -- Exemption from Registration of Interests and Participations Issued in Connection with Certain H.R. 10 Plans

    Rule 190 -- Registration of Underlying Securities in Asset-backed Securities Transactions

    Rule 191 -- Definition of "Issuer" in Section 2(a)(4) of the Act in Relation to Asset-backed Securities

    Rule 215 -- Accredited Investor



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