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Securities and Exchange Commission-Continued

Regulations under various acts-Continued

Investment Company Act of 1940-Continued

Rules and regulations, 17 Part 270—Continued
Documents to be filed with Commission:

Exemptions, applications, etc., in connection with. See
Exemptions.

General requirements of papers and applications, 17 § 270.0-2
Procedure with respect to applications and other matters,
17 § 270.0-5

Reference, incorporation by, 17 § 270.4

Registration and registration statements, rules for; notification
of registration, reports, etc., 17 §§ 270.8b-1—270.8b-32
Prospectuses; filing as post-effective amendments to regis-
tration statements, 17 § 270.24e-1

Reports:

See also Forms prescribed, above.
Amendments, 17 § 270.0-3

Who shall file:

Affiliated persons:

Changes in beneficial ownership of securities of
closed-end investment companies, 17
§ 270.30f-2

Exemptions from section 30 (f), 17 § 270.30f-3
Initial statement of beneficial ownership of out-
standing securities of closed-end investment
companies, 17 § 270.30f-1

Use of forms by directors, officers and principal
stockholders of issuers of registered equity
securities, under Securities Exchange Act of
1934, 17 § 240.16a-7

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
§ 270.30b2-1

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-
tion of application, 17 § 270.6b-1

Exemptions:

Accountants, selection of; exemption from affiliation provi-
sions, 17 § 270.32a-1

Affiliated persons and underwriters:

Accountants, selection of. See Accountants.

Reports of; exempted securities, 17 § 270.30f-3
Transactions by, 17 §§ 270.17a-1-270.17a-5

Change of status by temporarily diversified company, 17
§ 270.13a-1

Companies:

Closed-end investment companies, certain; information
required in application, 17 § 270.6d-1

Employees' securities company, pending determination of
application, 17 § 270.6b-1

Investment advisory contracts, small, stockholders' approval
of, 17 § 270.15a-1

Reports of affiliated persons; exempted securities, 17 § 270.30f-3
Underwriting transactions by directors and other affiliated
persons, 17 §§ 270.10f-1, 270.10f-2, 270.17a-1

Securities and Exchange Commission-Continued

Regulations under various acts-Continued

Investment Company Act of 1940-Continued
Rules and regulations, 17 Part 270-Continued
Face-amount certificate companies, qualified investments; loans
partially or wholly guaranteed under Servicemen's Readjust-
ment Act of 1944, as amended, 17 § 270.28b-1

Guarantees, exclusion of, as securities of guarantor, 17 § 270.5b-2
Information filed with Commission, confidential treatment of
names and addresses of dealers of registered investment com-
pany, 17 § 270.45a-1

Investment adviser:

See also Affiliated persons.

Contracts, stockholders' approval of, exemption, 17 § 270.15a-1
Definition of, for purposes of section 12 (d) (3), 17 § 270.2a-3
Records to be preserved by, 17 § 270.31a-2

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
investments, 17 § 270.17f-1

Officers, certain transactions by. See Affiliated persons and under-
writers.

Policy, investment:

Exemption from restriction on change of; temporarily diversi-
fied company, 17 § 270.13a-1

Statement for recital of, in connection with registration, 17
§ 270.8b-1

Portfolio securities:

Valuation of:

Effect of eliminations on, 17 § 270.2a-2
Special cases, 17 § 270.2a-1

Warrants or rights received on, exercise of in acquisition of
securities; exemption from section 10 (f), 17 § 270.10f-2
Procedure with respect to applications and other matters, 17
§ 270.0-5

Prospectuses; filing of, as post-effective amendments to registra-
tion statements, 17 § 270.24e-1

Proxies, solicitation of, 17 § 270.20a-1

Records to be preserved:

By other persons (investment adviser, depositor, principal
underwriter, etc.) having transactions with registered in-
vestment companies, 17 § 270.31a-2

By registered investment companies and certain majority-
owned subsidiaries thereof, 17 § 270.31a-1

Registration, forms and statements relating to. See Documents
to be filed with Commission.

Reports:

To be filed with Commission. See Documents to be filed with
Commission.

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:
Definitions; form letter, distribution, 17 § 270.24b-2

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
Custody of, 17 §§ 270.17f-1, 270.17f-2

Distribution and repurchase of, by closed end companies, 17
§§ 270.23c-1, 270.23c-2

Securities and Exchange Commission-Continued

Regulations under various acts-Continued

Investment Company Act of 1940-Continued
Rules and regulations, 17 Part 270-Continued
Securities Continued

Guarantees, exclusion of, as securities of guarantor, 17
§ 270.5b-2

Registration of, forms and statements to be filed in connection
with. See Documents to be filed with Commission.
Securities Act of 1933, registration statements currently effective
under, use of, 17 §§ 270.8c-1-270.8c-3

Service of process, consent to, to be furnished by nonresident
brokers or dealers, general partners, or managing agents, 17
§§ 270.0-6, 270.0-7

Serviceman's Readjustment Act of 1944, as amended, loans par-
tially or wholly guaranteed under; qualified investments, 17
§ 270.2b-1

Underwriting transactions by affiliated persons. See Affiliated per-
sons and underwriters.

Unit investment trusts; reports to shareholders. See Reports.
Public Utility Holding Company Act of 1935:

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
Nonregistered (exempt) companies, statements and reports from,

17 §§ 259.402, 259.403

Registration and annual supplements, 17 §§ 259.5a-259.5s

Reports. See Accounting reports, and Statements and reports.
Statements and reports, 17 §§ 259.206-259.221

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,
250.93

Acquisition and sale of securities, utility assets or other interests,
17 §§ 250.40-250.50

Affiliated persons. See Officers, directors and representatives.

Appliance sales, certain exemptions in connection with, 17 § 250.48
Applications and declarations. See Documents to be filed with

Commission.

Assets, utility, acquisition and sale of. See Acquisition and sale of
securities, utility assets or other interest.

Bankruptcy; approval of fees in connection with, 17 § 250.63
Banks, certain, exemption of, 17 § 250.3

Brokers, dealers, and underwriters, certain, exemption of, 17 § 250.4
Construction contracts. See Contracts.

Contracts; service, sales and construction, 17 §§ 250.80-250.95
Dealers, certain, exemption of, 17 § 250.4

Declarations. See Documents to be filed with Commission.
Definitions, 17 § 250.103

"Authorization", as used in connection with solicitations and
reorganizations, 17 § 250.60

Companies deemed not to be electric or gas utility companies,
17 § 250.7

Service, sales and construction contracts; definitions of "serv-
ice", "goods", and "construction”, 17 § 250.80

Subsidiary companies of holding companies, exemption of cer-
tain public utility companies from definition of, 17 § 250.12
Directors. See Officers, directors and representatives.

Securities and Exchange Commission-Continued

Regulations under various acts-Continued

Public Utility Holding Company Act of 1935-Continued
General rules and regulations, 17 Part 250—Continued
Documents to be filed with Commission:
Applications and declarations:

Dividend declaration, 17 § 250.46

Exemptions, applications and declarations with respect
to. See Exemptions from applicable provisions of
the act.

Financial transactions, applications and declarations with
respect to. See Financial transactions.

Form, procedure, etc., 17 §§ 250.20-250.25

Mutual service company, application for approval of,
17 § 250.88 (a)

Solicitations and reorganizations, applications and decla-
rations in connection with, 17 §§ 250.61, 250.62, 250.64,
250.65

Subsidiary service company, declaration with respect to
organization and conduct of business, 17 § 250.88 (b)
Declarations. See Applications and declarations.

Exemption statements. See Exemptions from applicable pro-
visions of the act.

Forms, procedure, etc., 17 §§ 250.20-250.25

Information contained in document filed with Commission,
public disclosure of and objections thereto, 17 § 250.104
Officers, directors and representatives of registered holding
companies, statements to be filed pursuant to section 12
(i) of act, 17 § 250.71

Registration; notification of, registration statement and sup-
plements, 17 § 250.1

Reports required of certain companies:

Affiliate service companies and companies principally en-
gaged in performing service, construction of sale of
goods, 17 § 250.95

Holding and investment companies, annual accounting re-
ports, 17 § 250.26 (d)

Mutual and subsidiary service companies, annual reports,
17 § 250.94

Reports to stockholders and State Commissions, filing of,
17 § 250.29

Effective date of rules, 17 § 250.102

Exemptions from applicable provisions of the act:

General exemptions; certain companies, banks, brokers, etc.,
17 §§ 250.2-250.13

Financial transactions, certain, 17 §§ 250.40, 250.41, 250.47–
250.49

Officers, directors and representatives of registered holding
companies and subsidiaries, 17 § 250.70

Orders granting or withdrawing exemptions, 17 § 250.100
Service, sales and construction contracts, 17 §§ 250.81–250.83
Special or limited rules; certain subsidiaries engaged in petro-
leum business, real estate business, or production or trans-
portation of natural gas, 17 § 250.201

Fees, reorganization, approval of, 17 § 250.63

Financial statements inconsistent with book accounts or statement
filed with Commission, prohibition of distribution or publica-
tion of, 17 § 250.28

Financial transactions, various, regulation and exemption of, 17
§§ 250.40-250.50

Foreign associates, transactions with, exemption of, 17 § 250.83
Foreign holding companies, certain exemptions of, 17 § 250.5
Forms, procedure and accounts, 17 §§ 250.20-250.28

Securities and Exchange Commission-Continued

Regulations under various acts-Continued

Public Utility Holding Company Act of 1935-Continued
General rules and regulations, 17 Part 250-Continued

Information, public disclosure of, and objections thereto, 17
§ 250.104

Disclosure detrimental to national security, 17 § 250.105

Interstate Commerce Commission, exemption of subsidiaries sub-
ject to jurisdiction of, 17 § 250.8

Intrastate or predominantly operating holding companies, exemp-
tion of, 17 § 250.2

Liquidation. See Solicitations and reorganizations.

Loans, extensions of credit, donations and capital contributions to
associate companies, 17 § 250.45

Mutual service companies:

Application for approval of, 17 § 250.88 (a)

Service, sales, and construction contracts, 17 §§ 250.80-250.95
Natural gas, production or transportation of, certain subsidiaries
engaged in; rules of special and limited application, 17 § 250.201
Non-utility subsidiaries, exemptions granted to, 17 §§ 250.13, 250.49,
250.201

Officers, directors and representatives of registered holding com-
panies and their subsidiaries:

Persons who may hold positions, 17 § 250.70

Reporting requirements, exemption of securities reported under
Holding Company Act from section 16 (a) of Securities
Exchange Act of 1934, 17 § 240.16a-6

Sale of securities, exemption of certain transactions from sec-
tion 16 (b) of Securities Exchange Act of 1934, 17
§ 240.16b-4

Statements to be filed by, 17 § 250.71

Petroleum business or accessory thereto, certain subsidiaries en-
gaged in; rules of special and limited application, 17 § 250.201
Proxies, solicitation of, 17 §§ 250.60-250.65

Real estate business, certain subsidiaries engaged in; rules of spe-
cial and limited application, 17 § 250.201

Receivership; approval of fees in connection with, 17 § 250.63
Registration and general exemptions, 17 §§ 250.1-250.12

Reorganizations; solicitations in connection with, approval of plans,
fees, etc., 17 §§ 250.60-250.65

Reports. See Documents to be filed with Commission.
Rules:

Effective date of, 17 § 250.102

Standards and interpretations of, 17 § 250.101

Rural Electrification Administration, certain securities issued to,
exemption of public utility subsidiaries as to, 17 § 250.47

Sale of goods or services, contracts for. See Contracts.

Sale of securities, utility assets or other interest. See Acquisition
and sale of securities.

Securities:

Acquisition and sale of. See Acquisition and sale of securities,
utility assets or other interest.

Solicitation of authorization regarding. See Solicitations and
reorganizations.

Service contracts. See Contracts.

Small holding company systems, exemption of, 17 § 250.9
Solicitations and reorganizations, 17 §§ 250.60-250.65

Underwriting of securities:

Exemption of certain underwriters, 17 § 250.4
Public invitation of proposals for, 17 § 250.50

Uniform system of accounts:

See also Uniform system of accounts, below.

Mutual and subsidiary service companies, applicability of regu-
lations, 17 § 250.93

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