Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
for Electronic Filings

Regulation S-T





Rule 100 -- Persons and Entities Subject to Mandated Electronic Filing


The following persons or entities shall be subject to the electronic filing requirements of this part 232.

  1. Registrants whose filings are subject to review by the Division of Corporation Finance;

  2. Registrants whose filings are subject to review by the Division of Investment Management;

  3. Persons or entities whose filings are subject to review by the Division of Market Regulation; and

  4. Any party (including natural persons) that files a document jointly with, or as a third party filer with respect to, a person or entity that is subject to mandated electronic filing requirements.



Regulatory History


62 FR 36450, 36456, July 8, 1997; 67 FR 36678, 36699, May 24, 2002; 72 FR 14416 , 14417, Mar. 28, 2007



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