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17 C.F.R. § 239.200   Form 1–E, notification under Regulation E.

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
Subpart B—Forms Pertaining to Exemptions

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§ 239.200   Form 1–E, notification under Regulation E.

This form shall be used for notification pursuant to Rule 604 (§230.604 of this chapter) of Regulation E (§§230.601–230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§230.602 of this chapter).

(Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c (b) and (c); sec. 38, Investment Company Act of 1940 (15 U.S.C. 80a–37))

[49 FR 35347, Sept. 7, 1984]

Editorial Note:  For Federal Register citations Form 1–E, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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