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17 C.F.R. § 260.4d-7   Application for exemption from one or more provisions of the Act.

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 260—GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939
Rules Under Section 304

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§ 260.4d-7   Application for exemption from one or more provisions of the Act.

(a) Three copies of every application for an order under section 304(d) of the Act (15 U.S.C. 77ddd(d)) and of every amendment thereto shall be filed with the Commission at its principal office.

(b) One copy shall be manually signed by a duly authorized officer of the applicant (or individual customarily performing similar functions with respect to an organization, whether incorporated or unincorporated), or by a natural person seeking exemption under section 304(d) of the Act.

(c) Such applications shall be on paper no larger 81/2 × 11 inches in size. If reduction of large documents would render them illegible, such documents may be filed on paper larger than 81/2 × 11 inches in size. The left margin shall be at least 11/2 inches wide and if the application is bound, it shall be bound on the left side.

(d) The application shall be typed, printed, copied, or prepared by a process which produces copies suitable for repeated photocopying and microfilming. All typewritten or printed matter shall be set forth in black ink to permit photocopying. If printed, the application shall be in type not smaller than 10-point, roman type, at least two points leaded.

(e) Rules 7a–28 through 7a–32 (§§260.7a–28 through 260.7a–32 of this chapter) relating to incorporation by reference shall be applicable to applications for exemption pursuant to section 304(d) of the Act.

[56 FR 22319, May 15, 1991]

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