Securities Lawyer's Deskbook
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General Rules and Regulations
promulgated
under the
Securities Act of 1933





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


  1. A registration statement on Form S-8 and a registration statement on Form S-3 or on Form F-3 for a dividend or interest reinvestment plan shall become effective upon filing with the Commission.

  2. A registration statement and any post-effective amendment thereto shall become effective upon filing with the Commission if:

    1. The registration statement is for registering additional securities of the same class(es) as were included in an earlier registration statement for the same offering and declared effective by the Commission;

    2. The new registration statement is filed prior to the time confirmations are sent or given; and

    3. The new registration statement registers additional securities in an amount and at a price that together represent no more than 20% of the maximum aggregate offering price set forth for each class of securities in the "Calculation of Registration Fee" table contained in such earlier registration statement.

  3. If the prospectus contained in a post-effective amendment filed prior to the time confirmations are sent or given contains no substantive changes from or additions to the prospectus previously filed as part of the effective registration statement, other than price-related information omitted from the registration statement in reliance on Rule 430A of the Act, such post-effective amendment shall become effective upon filing with the Commission.

  4. A post-effective amendment filed solely to add exhibits to a registration statement shall become effective upon filing with the Commission.

  5. An automatic shelf registration statement, including an automatic shelf registration statement filed in accordance with Rule 415(a)(6), and any post-effective amendment thereto, including a post-effective amendment filed to register additional classes of securities pursuant to Rule 413(b), shall become effective upon filing with the Commission.

  6. A post-effective amendment filed pursuant to paragraph (e) of this section for purposes of adding a new issuer and its securities as permitted by Rule 413(b) that satisfies the requirements of Form S-3 or Form F-3, as applicable, including the signatures required by Rule 402(e), and contains a prospectus satisfying the requirements of Rule 430B, shall become effective upon filing with the Commission.

Regulatory History


59 FR 21650, Apr. 26, 1994, as amended by 60 FR 26617, May 17, 1995; 62 FR 39755, 39763, July 24, 1997; 70 FR 44722, 44818, Aug. 3, 2005.

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