Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
UC Law logo

General Rules and Regulations
under the
Securities Act of 1933

Rule 134b -- Statements of Additional Information

For the purpose only of Section 5(b) of the Act, the term "prospectus" as defined in Section 2(a)(10) of the Act does not include a Statement of Additional Information filed as part of a registration statement on Form N-1A (§ 239.15A and § 274.11A of this chapter), Form N-2 (§ 239.14 and § 274.11a-1 of this chapter), Form N-3 (§ 239.17a and § 274.11b of this chapter), Form N-4 (§ 239.17b and § 274.11c of this chapter), or Form N-6 (§ 239.17c and § 274.11d of this chapter) transmitted prior to the effective date of the registration statement if it is accompanied or preceded by a preliminary prospectus meeting the requirements of Rule 430.

Regulatory History

57 FR 56834, Dec. 1, 1992; 67 FR 19848, 19868, Apr. 23, 2002.

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.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved