17 C.F.R. § 230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.
Title 17 - Commodity and Securities Exchanges
The phrase transactions by an issuer not involving any public offering in section 4(2) (48 Stat. 77, sec. 203(a), 48 Stat. 906; 15 U.S.C. 77d) shall be deemed to apply to transactions not involving any public offering at the time of said transactions although subsequently thereto the issuer decides to make a public offering and/or files a registration statement. [2 FR 1076, May 26, 1937, as amended at 30 FR 2022, Feb. 13, 1965] For regulations relating to registration statement, see §§230.400–230.494.
Title 17: Commodity and Securities Exchanges
PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
§ 230.152 Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.
