17 C.F.R. § 200.80a Appendix A—Documentary materials available to the public.
Title 17 - Commodity and Securities Exchanges
Title 17: Commodity and Securities Exchanges
PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
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§ 200.80a Appendix A—Documentary materials available to the public.
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Securities Act of 1933-------------------------------------------Registration statement providing financial 6 and other information concerning securities offered for public sale, filed under Regulation C (17 CFR 230.400 et seq.).Prospectuses (selling circulars) in 10 connection with registration statement.Periodic reports (annual, quarterly, and (\1\) current) to keep reasonably current the information in registration statement.Requests for extension of time to file (\2\) information, document, or report.Reports of sales of registered securities 19(a), 20(a) and use of proceeds thereunder by first time registrants.Report by issuers of securities quoted on (\1\) NASDAQ Inter-Dealer Quotation System.Preliminary data (prospectus, circular 3(b) letters, etc.) to oil offering (Regulation B) (17 CFR 230.300 et seq.).Offering sheets for oil or gas rights and 3(b) royalties under Regulation B for exemption from registration provisions (17 CFR 230.300 et seq.).Notifications of exemption from 3(b) registration filed under Regulation A, E, and F (17 CFR 230.251, 230.601, 230.651 et seq.).Offering circulars and written 3(b) advertisements or other communications under Regulations A, E, and F (17 CFR 230.251, 230.601, 230.651 et seq.).Report of sales and use of proceeds 3(b) (Regulations A and E) (17 CFR 230.251, 230.601 et seq.).Consent by non-resident to service of 3(b) process (Regulation A) (17 CFR 230.251 et seq.).Application for relief from disability 3(b) under Regulations A and F (17 CFR 230.651 et seq.).Notice of proposed resale of restricted 4(1), 4(4) securities and resale of securities by control persons (17 CFR 230.144).Notice of proposed sale by non-controlling 3(b) person of restricted securities of issuers which do not satisfy all of the conditions of Rule 144 (17 CFR 230.237).Notice of sale of securities by closely 3(b) held issuers (issuers with 100 or less beneficial owners) other than investment companies, registered or required to be registered under the Investment Company Act of 1940 (17 CFR 230.240).------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Securities Exchange Act of 1934-------------------------------------------Registration statement (securities listed 12(b) on a national securities exchange).Registration statement (securities traded 12(g) over-the-counter).Exemption from section 12(g), 13, 14, 15, 12(h) or 16.Information by a foreign issuer 12(g)(3) temporarily exempt from section 12(g).Certification of exchange approving 12(d) securities for listing and registration.Periodic reports (annual, quarterly and 13(a) current) to keep current the information in the above registration statements.Request for extension of time to file 12(b) information, document, or report.Correspondence between the Commission and 13(a), 15(d) registrants that are delinquent in filing certain required reports.Report by issuers of securities quoted on 15(d), 13(a) NASDAQ Inter-Dealer Quotation System.Certificate of termination of Registration (\3\) for a class of security.Notices of suspension of trading.......... 12(d)Application to withdraw or strike a 12(d) security from listing and registration on a national securities exchange.Notification by an exchange of the 12(a) admission to trading of a substituted or additional class of security.Definitive proxy soliciting materials 14(a) filed under Regulation 14A (17 CFR 240.14a-1 et seq.).Distribution of information to security 14(c) holders from whom proxies are not solicited filed under Regulation C (17 CFR 230.400 et seq.).Acquisitions, tender offers and 13(d), 14(d) solicitations. (17 CFR 240.14d-1 et seq.).Initial statement of beneficial ownership 16(a) of equity securities by officers, directors and principal stockholders of issuers having listed equity securities; and changes in such ownership.Application for permission to extend 12(f) unlisted trading privileges, notification of changes, and notification of termination or suspension.Application for registration as a broker 15(b) and dealer, and amendments or supplements to such application.Reports of financial condition of 17 registered brokers and dealers.Application for registration as a transfer 17A(c) agent and amendments to such application.Application for registration as a 15B(a) municipal securities dealer.Application for registration or exemption 11A(b) as a securities information processor.Application for registration or exemption 17A(b) as a clearing agency.Irrevocable appointment of agent for 23(a) service of process, pleadings and other papers.Notice by non-resident broker or dealer 17 specifying address of place in United States where copies of books and records are located and undertaking to furnish to Commission, upon demand, copies of books and records he is required to maintain.Subordination agreements.................. 15Initial assessment and information form 15(b)(8) for registered brokers and dealers not members of a registered national securities association.Annual assessment and information form for 15(b)(8) registered brokers and dealers not members of a registered national securities association.Reports of market makers and other 17(a) registered broker-dealers in securities traded on national securities exchanges.Reports by registered brokers and dealers 17(a) who are OTC Market in Makers in any OTC Margin Securities.Proposed rule changes by all self- 19(b) regulatory organizations.Notice as to stated policies, practices 19(b) and interpretations of self-regulatory organizations.Application by an exchange for 6(a) registration or exemption from registration as a national securities exchange.Annual amendments and supplemental 6(e) material filed to keep reasonably current the information contained in application for registration or exemption.Record disposal plan of national 17 securities exchanges.Application for listing securities on an 12(b) exempted exchange.Periodic reports to keep reasonably 13 current the information contained in application for listing securities on exempted exchange.Certification of exempted exchange 12(d) approving securities for listing.Application for registration as a national 15A securities association or affiliated securities association.Annual supplement consolidated to keep 15A reasonably current the information in the above application.Report of changes in membership status of 17, 19 any of its members required of national securities exchanges and registered national securities associations.Application by a national securities 15A(b)(4) association or a broker or dealer for admission or continuance of a broker or dealer as member of a national securities association, notwithstanding a disqualification under section 15A(b)(4).Application for review of disciplinary 15A(g) action or denial of membership by registered securities association.Reports on stabilizing activities 17 pertaining to a fixed price offering of securities registered or to be registered under the Securities Act of 1933, or offered or to be offered pursuant to an exemption under Regulation A (17 CFR 230.251 et seq.), or being or to be otherwise offered if aggregate offering price exceeds $500,000.Plans by exchanges authorizing payment of 10 special commission in connection with a distribution of securities on exchanges.Suspensions of trading of securities 15(c)(5) otherwise than on a national securities exchange.Annual and supplemental reports of the 17 Municipal Securities Rulemaking Board.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Public Utility Holding Company Act of 1935-------------------------------------------Notification of registration and 5(a), 5(b) registration statement by public utility holding companies providing financial and other information concerning the issue and sale of securities.Annual reports by registered holding 5(d) companies to keep reasonably current information in the registration statement.Application for an order of the Commission 5(d) declaring registrant has ceased to be a holding company.Statement by a person employed or retained 12(i) by a registered holding company or subsidiary thereof, of subject matter in respect of which retained or employed; and annual statement thereafter.Application for exemption from provisions 2(a)(3), 2(a)(4), of the Act and applications for 2(a)(7)(B), 2(a)(8)(B), declaratory orders regarding status of 3(a), (b) company under Act by holding companies, subsidiaries, and other companies.Twelve-month statement by bank claiming 3(a), (d) exemption under the Act.Application for approval of mutual service 13(b) company or declaration with respect to organization and conduct of business of subsidiary service company.Statement executed by financial 17(c) institution authorizing representative to serve as officer or director of holding company or subsidiary, filed by representative.Initial statement of beneficial ownership 17(a) of securities filed by officers and directors of registered public utility holding companies, and changes in such ownership.Annual reports by mutual and subsidiary 13 service companies.Application by interested persons for 11(f) approval of reorganization plans required in court proceedings for reorganization of registered holding companies and subsidiaries.Application by or on behalf of persons 11(f) requesting approval of payment of fees, expenses or remuneration for services rendered in connection with a proceeding in reorganization in a U.S. Court involving registered holding companies or subsidiaries.Notices of intention regarding proposed 11, 12(d), 12(f) sale of securities and other assets not requiring filing of application or declaration.Statements in justification of fees and 6(b), 7, 9, 10, 12(d) expenses proposed to be paid.Reports to stockholders by registered 14, 15 holding company or subsidiary thereof and annual reports submitted by registered holding company or subsidiary thereof to a State commission covering operations not reported to Federal Power Commission.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Trust Indenture Act of 1939-------------------------------------------Statement of eligibility and qualification 305, 307 of corporations or individuals as trustees under qualified indenture under which debt security has been or is to be issued.Application for qualification of indenture 307 under which security (bonds, debentures, notes and similar debt securities) has been or is to be issued.Application for exemption from provisions 304(c), (d) of the Act in certain cases.Application re conflict of interest of 310(b)(1) trustees.Reports by indenture trustee to indenture 313 security holders with respect to eligibility and qualification under section 310.Application relative to affiliations 310(b)(3), 310(b)(6) between trustees and underwriters.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Investment Advisers Act of 1940-------------------------------------------Application for registration as investment 203(c), 204 adviser or to amend or supplement such an application.Application for exemption and other relief 206AIrrevocable appointment of agent for 211(a) service of process, pleadings and other papers.Notice by non-resident investment adviser 204 specifying address of place in United States where copies of books and records are located, or.Undertaking by non-resident investment 204 adviser to furnish to Commission, upon demand, copies of any books or records he is required to maintain.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------ Description Pursuant to section_------------------------------------------------------------------------ Investment Company Act of 1940-------------------------------------------Notification of registration of investment 8(a), 8(b) company, and registration statement covering an offering of securities of investment company evidencing an interest in a portfolio of securities in which the investment company invests.Periodic reports (annual and quarterly) to 30(a), 30(b)(1) keep reasonably current the information in above registration statement.Periodic or interim reports to security 30(b)(2) holders of registered investment companies.Application for order of the Commission 8(f) determining registrant has ceased to be an investment company.Fidelity bond, resolution of board of 17(g) directors, notice of cancellation or termination of bond for officers and employees of investment companies who have access to its securities or funds.Waiver of indemnification of officers and 17(h), 17(i) directors of investment companies.Report of independent auditors examining 17(f) records of investment companies.Application by other than registrant for 35(d) order of Commission declaring corporate name of registrant is misleading or deceptive.Request by company for certificate to be (\4\) issued to Secretary of Treasury.Proxy soliciting material................. 20(a) \5\Initial statement of beneficial ownership 30(f) of securities by officers, directors and other specified insiders of registered closed-end investment companies, and changes in such ownership.Application for exemption from provisions 2(a)(9), 3(b)(2), 6 (b), of the Act and other relief. (c), (d), 7 (d), 10 (e), (f), 11 (a), (c), 12 (d) (1), (d)(2), 14(a), 15 (a), 16(a), 17 (a), (b), (d), (e), 18(i), 22(d), 23 (b) (5), (c)(3), 24(d), 26(a) (2)(C), 28(c), 35(d), and others.Statement of transactions_exemption from 10(f) provisions of section 10(f).Application for an ineligible person to 9(b) serve as officer, director, etc. of a registered investment company.Request for advisory report of the 25(b) Commission relating to the reorganization of registered investment company.Report of repurchase of its own securities 23(c) by a closed-end company.Sales literature regarding securities of 24(b) certain investment companies.Statement of the Federal Savings and Loan 6(a)(4) Corporation relating to the exemption of certain issuers.Report submitted pursuant to an order of ............................ the Commission.Documents and records resulting from 33 derivative or representative law suits.------------------------------------------------------------------------Footnotes:\1\ Section 15(d)_Securities Exchange Act of 1934.\2\ Section 12(b)_Securities Exchange Act of 1934.\3\ Section 12(g)_Securities Exchange Act of 1934.\4\ Section 851(e)(1) of the Internal Revenue Code of 1954 is applicable.\5\ Regulation 14 under the Securities Exchange Act of 1934 is applicable (17 CFR 240.14a-1 et seq.).
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Miscellaneous
Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under the various Acts administered by the Commission.
Requests for no-action and interpretative letters and responses thereto.
Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral arguments, motions, briefs, exceptions.
Commission findings, opinions, orders, rulings and notices issued for public release.
Final opinions of the Commission, including concurring and dissenting opinions, as well as orders made by the Commission in the adjudication of cases.
A record of the final votes of each member of the Commission in every Commission proceedings concluded after July 1, 1967.
Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public.
Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW—Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act (17 CFR part 285).
Periodic reports filed by the Inter-American Development Bank, pursuant to Regulation IA (17 CFR part 286) adopted pursuant to section 11(a) of the Inter-American Bank Act.
Periodic reports filed by the Asian Development Bank, pursuant to Regulation AD (17 CFR part 287) adopted pursuant to section 11(a) of the Asian Development Bank Act.
Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy.
Statements of policy and interpretations which have been adopted by the Commission and are not published in the Federal Register.
Administrative staff manuals and instructions to the staff that affect a member of the public.
Reports by the Commission to the Congress as a whole.
Notices of Commission meetings announced to the public as described in §200.403; announcements of Commission action to close a meeting, or any portion thereof, as described in §200.404(b) and §200.405(c); and certifications by the General Counsel, pursuant to §200.406, that a Commission meeting, or any portion thereof, may be closed to the public.
[41 FR 44696, Oct. 12, 1976, as amended at 42 FR 14693, Mar. 16, 1977]
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