Rules |
Description |
Rule 144 |
Persons deemed not to be engaged in a distribution and therefore not underwriters [17 CFR 230.144]
|
Rule 147
|
Exemption for intrastate offers and sales of securities [17 CFR 230.147]
|
Rule 701
|
Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation [17 CFR 230.701]
|
|
Regulations |
Description |
Regulation A
|
Conditional small issues exemption from registration under the Securities Act of 1933 [17 CFR 230.251 - 230.263]
|
Regulation C
|
General registration and filing requirements [17 CFR 230.400 - 230.494]
|
Regulation D
|
Rules governing the limited offer and sale of securities without registration under the Securities Act [17 CFR 230.500 - 230.508]
|
Regulation CE
|
Coordinated exemption for certain issues of securities exempt under California law [17 CFR 230.1001]
|
Regulation S-X
|
Financial statement requirements
|
Regulation S-K
|
Integrated disclosure requirements
|
Regulation S-T
|
Electronic filing rules
|
|
Forms |
Description |
Form 1-A
|
Regulation A offering statement under the Securities Act
|
Form D
|
Notice of exempt offering of securities |
Form 144
|
Notice of proposed sale of securities pursuant to Rule 144 under the Securities Act
|
Form S-1
|
Registration statement under the Securities Act
|
|
Other |
Description |
Pub. L. 96-977 Title V
|
Omnibus Small Business Capital Formation Act of 1980 |