General Rules and Regulations
Securities Act of 1933
Rule 430C -- Prospectus in a Registration Statement Pertaining to an Offering Other
Than Pursuant to Rule 430A or Rule 430B After the Effective
In offerings made other than in reliance on Rule 430B and
other than for prospectuses filed in reliance on Rule 430A, information
contained in a form of prospectus required to be filed with the Commission pursuant to
Rule 424(b) or Rule 497(b), (c), (d), or (e),
shall be deemed to be part of and included in the registration statement on the date it is
first used after effectiveness.
Notwithstanding paragraph (a) of this section or paragraph (a) of Rule 412, no statement made in a registration statement or prospectus that is part of the
registration statement or made in a document incorporated or deemed incorporated by
reference into the registration statement or prospectus that is part of the registration
statement will, as to a purchaser with a time of contract of sale prior to such first use,
supersede or modify any statement that was made in the registration statement or
prospectus that was part of the registration statement or made in any such document
immediately prior to such date of first use.
Nothing in this section shall affect the information required to be included
in an issuer’s registration statement and prospectus.
Issuers subject to paragraph (a) of this section shall furnish the undertakings required by Item 512(a) of Regulation S-K (Item 229.512(a) of this chapter) or Item 34.4 of Form N-2 (Rules 239.14 and 274.11a-1 of this chapter), as applicable.
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