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





Regulation C -- Registration


    Rule 400 -- Application of Rule 400 to Rule 494, Inclusive


GENERAL REQUIREMENTS

    Rule 401 -- Requirements as to Proper Form

    Rule 401a -- Requirements as to Proper Form

    Rule 402 -- Number of Copies; Binding; Signatures

    Rule 403 -- Requirements as to Paper, Printing, Language and Pagination [Effective until Nov. 4, 2002.]

    Rule 404 -- Preparation of Registration Statement

    Rule 405 -- Definitions of Terms

    Rule 406 -- Confidential Treatment of Information Filed with the Commission

    Rule 408 -- Additional Information

    Rule 409 -- Information Unknown or Not Reasonably Available

    Rule 410 -- Disclaimer of Control

    Rule 411 -- Incorporation by Reference

    Rule 412 -- Modified or Superseded Documents

    Rule 413 -- Registration of Additional Securities

    Rule 414 -- Registration by Certain Successor Issuers

    Rule 415 -- Delayed or Continuous Offering and Sale of Securities

    Rule 416 -- Securities to Be Issued as a Result of Stock Splits, Stock Dividends and Anti-Dilution Provisions and Interests to Be Issued Pursuant to Certain Employee Benefit Plans

    Rule 417 -- Date of Financial Statements

    Rule 418 -- Supplemental Information

    Rule 419 -- Offerings by Blank Check Companies


FORM AND CONTENT OF PROSPECTUSES

    Rule 420 -- Legibility of Prospectus

    Rule 421 -- Presentation of Information in Prospectuses

    Rule 423 -- Date of Prospectuses

    Rule 424 -- Filing of Prospectuses; Number of Copies

    Rule 425 -- Filing of Certain Prospectuses and Communications under Rule 135 in Connection with Business Combination Transactions

    Rule 426 -- Filing of Certain Prospectuses Under Rule 167 in Connection with Certain Offerings of Asset-based Securities

    Rule 427 -- Contents of Prospectus Used After Nine Months

    Rule 427T -- Information in Prospectuses More than Nine Months after the Effective Date of the Related Registration Statement

    Rule 428 -- Documents Constituting a Section 10(a) Prospectus for Form S-8 Registration Statement; Requirements Relating to Offerings of Securities Registered on Form S-8

    Rule 429 -- Prospectus Relating to Several Registration Statements

    Rule 430 -- Prospectus for Use Prior to Effective Date

    Rule 430A -- Prospectus in a Registration Statement at the Time of Effectiveness

    Rule 430B -- Prospectus in a Registration Statement After Effective Date

    Rule 430C -- Prospectus in a Registration Statement Pertaining to an Offering Other Than Pursuant to Rule 430A or Rule 430B After the Effective Date

    Rule 431 -- Summary Prospectuses

    Rule 432 -- Additional Information Required to Be Included in Prospectuses Relating to Tender Offers

    Rule 433 -- Conditions to Permissible Post-Filing Free Writing Prospectuses

    Rule 434 -- [Removed]


WRITTEN CONSENTS

    Rule 436 -- Consents Required in Special Cases

    Rule 437 -- Application to Dispense with Consent

    Rule 437a -- Written Consents

    Rule 438 -- Consents of Persons about to Become Directors

    Rule 439 -- Consent to Use of Material Incorporated by Reference

    Rule 445 -- Through Rule 447 [Removed and reserved in Release 33-7300, effective July 15, 1996, 61 FR 30397.]


FILING; FEES; EFFECTIVE DATE

    Rule 455 -- Place of Filing

    Rule 456 -- Date of Filing

    Rule 457 -- Computation of Fee

    Rule 459 -- Calculation of Effective Date

    Rule 460 -- Distribution of Preliminary Prospectus

    Rule 461 -- Acceleration of Effective Date

    Rule 462 -- Immediate Effectiveness of Certain Registration Statements and Post-Effective Amendments

    Rule 463 -- Report of Offering of Securities and Use of Proceeds Therefrom

    Rule 464 -- Effective Date of Post-Effective Amendments to Registration Statements Filed on Form S-8 and on Certain Forms S-3, S-4, F-2, and F-3

    Rule 466 -- Effective Date of Certain Registration Statements on Form F-6

    Rule 467 -- Effectiveness of Registration Statements and Post-Effective Amendments Thereto Made on Forms F-7, F-8, F-9, F-10 and F-80


AMENDMENTS; WITHDRAWALS

    Rule 470 -- Formal Requirements for Amendments

    Rule 471 -- Signatures to Amendments

    Rule 472 -- Filing of Amendments; Number of Copies

    Rule 473 -- Delaying Amendments

    Rule 474 -- Date of Filing of Amendments

    Rule 475 -- Amendment Filed with Consent of Commission

    Rule 475a -- Certain Pre-Effective Amendments Deemed Filed with the Consent of the Commission

    Rule 476 -- Amendment Filed Pursuant to Order of Commission

    Rule 477 -- Withdrawal of Registration Statement or Amendment

    Rule 478 -- Powers to Amend or Withdraw Registration Statement

    Rule 479 -- Procedure with Respect to Abandoned Registration Statements and Post-Effective Amendments


INVESTMENT COMPANIES; BUSINESS DEVELOPMENT COMPANIES


Note: The rules which comprise this section of Regulation C (Rules 480 to 489) are applicable only to investment companies and business development companies, except Rule 489, which applies to certain entities excepted from the definition of investment company by rules under the Investment Company Act of 1940. The rules comprising the rest of Regulation C (Rules 400 to 479 and 490 to 494) are, unless the context specifically indicates otherwise, also applicable to investment companies and business development companies. See Rule 400

    Rule 480 -- Title of Securities

    Rule 481 -- Information Required in Prospectus

    Rule 482 -- Advertising by an Investment Company as Satisfying Requirements of Section 10

    Rule 483 -- Exhibits for Certain Registration Statements

    Rule 484 -- Undertaking Required in Certain Registration Statements

    Rule 485 -- Effective Date of Post-Effective Amendments Filed by Certain Registered Investment Companies

    Rule 486 -- Effective Date of Post-Effective Amendments and Registration Statements Filed by Certain Closed-End Management Investment Companies

    Rule 487 -- Effectiveness of Registration Statements Filed by Certain Unit Investment Trusts

    Rule 488 -- Effective Date of Registration Statements Relating to Securities to Be Issued in Certain Business Combination Transactions

    Rule 489 -- Filing of Form by Foreign Banks and Insurance Companies and Certain of Their Holding Companies and Finance Subsidiaries


REGISTRATION BY FOREIGN GOVERNMENTS OR POLITICAL SUBDIVISIONS THEREOF

    Rule 490 -- Information to Be Furnished Under Paragraph (3) of Schedule B

    Rule 491 -- Information to Be Furnished Under Paragraph (6) of Schedule B

    Rule 492 -- Omissions from Prospectuses

    Rule 493 -- Filing of Opinions of Counsel [Effective until Nov. 4, 2002.]

    Rule 494 -- Newspaper Prospectuses

    Rule 495 -- Preparation of Registration Statement

    Rule 496 -- Contents of Prospectus and Statement of Additional Information Used After Nine Months

    Rule 497 -- Filing of Investment Company Prospectuses--Number of Copies

    Rule 498 -- Profiles for Certain Open-End Management Investment Companies



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