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





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


  1. The following foreign issuers shall file Form F-N under the Act appointing an agent for service of process when filing a registration statement under the Act:

    1. A foreign issuer that is a foreign bank or foreign insurance company excepted from the definition of investment company by rule 3a-6 under the Investment Company Act of 1940 (the "1940 Act");

    2. A foreign issuer that is a finance subsidiary of a foreign bank or foreign insurance company, as those terms are defined in rule 3a-6 under the 1940 Act, if the finance subsidiary is excepted from the definition of investment company by rule 3a-5 under the 1940 Act; or

    3. A foreign issuer that is excepted from the definition of investment company by rule 3a-1 under the 1940 Act because some or all of its majority-owned subsidiaries are foreign banks or insurance companies excepted from the definition of investment company by rule 3a-6 under the 1940 Act.

  2. The requirements of paragraph (a) of this section shall not apply to:

    1. A foreign issuer that has filed Form F-X under the Securities Act of 1933 with respect to the securities being offered; and

    2. A foreign issuer filing a registration statement relating to debt securities or non-voting preferred stock that has on file with the Commission a currently accurate Form N-6C9 under the 1940 Act.

  3. Six copies of Form F-N, one of which shall be manually signed, shall be filed with the Commission at its principal office.

Regulatory History


56 FR 56299, Nov. 4, 1991



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