Securities and Exchange Commission-Continued Regulations under various acts-Continued Investment Company Act of 1940-Continued Rules and regulations, 17 Part 270—Continued Exemptions, applications, etc., in connection with. See General requirements of papers and applications, 17 § 270.0-2 Reference, incorporation by, 17 § 270.4 Registration and registration statements, rules for; notification Reports: See also Forms prescribed, above. Who shall file: Affiliated persons: Changes in beneficial ownership of securities of Exemptions from section 30 (f), 17 § 270.30f-3 Use of forms by directors, officers and principal Registered investment companies: Annual reports: Forms for, 17 § 270.30a-2 Requirements for filing of, 17 § 270.30a-1 Quarterly report, form for, 17 § 270.30b1-1 Reports to stockholders, copies to be filed, 17 Subsidiary, totally-held, of registered investment company: Annual report, 17 § 270.30a-3 Quarterly report, 17 § 270.30b1-2 Employees, certain transactions by. See Affiliated persons and underwriters. Employees' securities company, exemption of, pending determina- Exemptions: Accountants, selection of; exemption from affiliation provi- Affiliated persons and underwriters: Accountants, selection of. See Accountants. Reports of; exempted securities, 17 § 270.30f-3 Change of status by temporarily diversified company, 17 Companies: Closed-end investment companies, certain; information Employees' securities company, pending determination of Investment advisory contracts, small, stockholders' approval Reports of affiliated persons; exempted securities, 17 § 270.30f-3 Securities and Exchange Commission-Continued Regulations under various acts-Continued Investment Company Act of 1940-Continued Guarantees, exclusion of, as securities of guarantor, 17 § 270.5b-2 Investment adviser: See also Affiliated persons. Contracts, stockholders' approval of, exemption, 17 § 270.15a-1 Management companies: Definition of "total assets", 17 § 270.5b-1 Exclusion of certain guarantees as securities of guarantor, 17 § 270.5b-2 Reports to stockholders, 17 § 270.30d-1 National securities exchanges, custody of securities and similar Officers, certain transactions by. See Affiliated persons and under- Policy, investment: Exemption from restriction on change of; temporarily diversi- Statement for recital of, in connection with registration, 17 Portfolio securities: Valuation of: Effect of eliminations on, 17 § 270.2a-2 Warrants or rights received on, exercise of in acquisition of Prospectuses; filing of, as post-effective amendments to registra- Proxies, solicitation of, 17 § 270.20a-1 Records to be preserved: By other persons (investment adviser, depositor, principal By registered investment companies and certain majority- Registration, forms and statements relating to. See Documents Reports: To be filed with Commission. See Documents to be filed with To stockholders: Of management companies, 17 § 270.30d-1 Of unit investment trusts, 17 § 270.30d-2 Sales literature in connection with public offering of securities: Filing copies of sales literature, 17 § 270.24b-2 Securities: See also Portfolio securities. Beneficial ownership, reports of, 17 § 270.30f-1, 270.30f-2 Distribution and repurchase of, by closed end companies, 17 Securities and Exchange Commission-Continued Regulations under various acts-Continued Investment Company Act of 1940-Continued Guarantees, exclusion of, as securities of guarantor, 17 Registration of, forms and statements to be filed in connection Service of process, consent to, to be furnished by nonresident Serviceman's Readjustment Act of 1944, as amended, loans par- Underwriting transactions by affiliated persons. See Affiliated per- Unit investment trusts; reports to shareholders. See Reports. Forms prescribed, 17 Part 259 Accounting reports, periodic, 17 § 259.313 Amendments, 17 § 259.501 Applications and declarations, 17 §§ 259.101-259.113 Declarations. See Applications and declarations. Exempt companies, statements and reports, 17 §§ 259.402, 259.403 17 §§ 259.402, 259.403 Registration and annual supplements, 17 §§ 259.5a-259.5s Reports. See Accounting reports, and Statements and reports. For nonregistered (exempt) companies, 17 §§ 259.402, 259.403 General rules and regulations, 17 Part 250 Accounts: See also Uniform system of accounts, below. Accounts prescribed for various companies, 17 §§ 250.26, 250.27, Acquisition and sale of securities, utility assets or other interests, Affiliated persons. See Officers, directors and representatives. Appliance sales, certain exemptions in connection with, 17 § 250.48 Commission. Assets, utility, acquisition and sale of. See Acquisition and sale of Bankruptcy; approval of fees in connection with, 17 § 250.63 Brokers, dealers, and underwriters, certain, exemption of, 17 § 250.4 Contracts; service, sales and construction, 17 §§ 250.80-250.95 Declarations. See Documents to be filed with Commission. "Authorization", as used in connection with solicitations and Companies deemed not to be electric or gas utility companies, Service, sales and construction contracts; definitions of "serv- Subsidiary companies of holding companies, exemption of cer- Securities and Exchange Commission-Continued Regulations under various acts-Continued Public Utility Holding Company Act of 1935-Continued Dividend declaration, 17 § 250.46 Exemptions, applications and declarations with respect Financial transactions, applications and declarations with Form, procedure, etc., 17 §§ 250.20-250.25 Mutual service company, application for approval of, Solicitations and reorganizations, applications and decla- Subsidiary service company, declaration with respect to Exemption statements. See Exemptions from applicable pro- Forms, procedure, etc., 17 §§ 250.20-250.25 Information contained in document filed with Commission, Registration; notification of, registration statement and sup- Reports required of certain companies: Affiliate service companies and companies principally en- Holding and investment companies, annual accounting re- Mutual and subsidiary service companies, annual reports, Reports to stockholders and State Commissions, filing of, Effective date of rules, 17 § 250.102 Exemptions from applicable provisions of the act: General exemptions; certain companies, banks, brokers, etc., Financial transactions, certain, 17 §§ 250.40, 250.41, 250.47– Officers, directors and representatives of registered holding Orders granting or withdrawing exemptions, 17 § 250.100 Fees, reorganization, approval of, 17 § 250.63 Financial statements inconsistent with book accounts or statement Financial transactions, various, regulation and exemption of, 17 Foreign associates, transactions with, exemption of, 17 § 250.83 Securities and Exchange Commission-Continued Regulations under various acts-Continued Public Utility Holding Company Act of 1935-Continued Information, public disclosure of, and objections thereto, 17 Disclosure detrimental to national security, 17 § 250.105 Interstate Commerce Commission, exemption of subsidiaries sub- Intrastate or predominantly operating holding companies, exemp- Liquidation. See Solicitations and reorganizations. Loans, extensions of credit, donations and capital contributions to Mutual service companies: Application for approval of, 17 § 250.88 (a) Service, sales, and construction contracts, 17 §§ 250.80-250.95 Officers, directors and representatives of registered holding com- Persons who may hold positions, 17 § 250.70 Reporting requirements, exemption of securities reported under Sale of securities, exemption of certain transactions from sec- Statements to be filed by, 17 § 250.71 Petroleum business or accessory thereto, certain subsidiaries en- Real estate business, certain subsidiaries engaged in; rules of spe- Receivership; approval of fees in connection with, 17 § 250.63 Reorganizations; solicitations in connection with, approval of plans, Reports. See Documents to be filed with Commission. Effective date of, 17 § 250.102 Standards and interpretations of, 17 § 250.101 Rural Electrification Administration, certain securities issued to, Sale of goods or services, contracts for. See Contracts. Sale of securities, utility assets or other interest. See Acquisition Securities: Acquisition and sale of. See Acquisition and sale of securities, Solicitation of authorization regarding. See Solicitations and Service contracts. See Contracts. Small holding company systems, exemption of, 17 § 250.9 Underwriting of securities: Exemption of certain underwriters, 17 § 250.4 Uniform system of accounts: See also Uniform system of accounts, below. Mutual and subsidiary service companies, applicability of regu- 356055-56--58 Page 879 |