Rules & Regulations

The terms has purchased, sells for, participates, and participation, in section 2(11) (48 Stat. 74, 48 Stat. 905; 15 U.S.C. 77b), shall not be deemed ...

(a) In a transaction that represents a sale by the issuer or an underwriter, or a sale where there is not an exclusion or exemption ...

An issuer of an “asset-backed security,” as that term is defined in Section 3(a)(79) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(79)), offering ...

(a) Prepared by or on behalf of the issuer. An offering document (as defined in Section 18(d)(1) of the Act [15 U.S.C. 77r(d)(1)]) is “prepared ...

(a) The term swap as used in section 2(a)(17) of the Act (15 U.S.C. 77b(a)(17)) has the same meaning as provided in section 3(a)(69) of ...

(a) Provided that the conditions of paragraph (b) of this section are satisfied and except as expressly provided in paragraph (c) of this section, the ...

(a) Except as expressly provided in paragraph (b) of this section, the Act does not apply to the offer or sale of any security-based swap ...

A public offer or sale of securities that meets the following terms and conditions shall be exempt under section 3(b) from the registration requirements of ...

(a) Documents to be included. The offering statement consists of the facing sheet of Form 1-A [§239.90 of this chapter], the contents required by the ...

(a) If none of the securities which are the subject of an offering statement have been sold and such offering statement is not the subject ...