SEC Rules and Regulations
This is a resource center for
commonly used SEC rules, regulations and forms, as well as
the principal federal securities law statutes. Unless otherwise
noted, this information comes directly from the SEC.
|
A.
Securities Act of 1933 and Rules, Regs & Forms
Statute
|
Securities
Act of 1933 |
from the University of Cincinnati
Law School Web Site |
Rules and Regulations |
Regulation
A |
Conditional Small Issues Exemption from Registration |
| Regulation
C |
Rules related to Registration and Filing
Requirements |
| Regulation
CE |
Coordinated Exemption for Certain Securities
Issues Exempt under State Law |
| Regulation
D |
Rules related to the Limited Offer and
Sale of Securities Without Registration |
| Regulation
S-B |
Small Business Integrated Disclosure
System |
| Regulation
S-K |
Instructions for Filing Forms |
| Regulation
S-T |
Rules related to EDGAR Filings |
| Regulation
S-X |
Requirements for Financial Statements
|
| Rule
144 |
Rule and Form for Persons deemed not
to be Underwriters |
| Rule
701 |
Exemption for Certain Benefit Plan Offerings
|
Forms |
Form
S-1 |
"Catch-All" Registration Statement
|
| Form
S-3 |
Registration Statement for Qualified
Issuers |
| Form
S-4 |
Registration Statement for Certain Business
Combinations |
| Form
S-8 |
Registration Statement for Certain Benefit
Plans |
| Form
S-11 |
Registration Statement for Certain Real
Estate and Asset Backed Issuers |
| Form
SB-1 |
Registration Statement for Certain Small
Business Issuers |
| Form
SB-2 |
Registration Statement for Certain Small
Business Issuers |
| Form
1-A |
Regulation A Offering Statement |
| Form
2-A |
Report of Sales and Uses of Proceeds for
Regulation A Offerings |
| Form
144 |
Form for Persons deemed not to be Underwriters
|
| Form
D |
Notice of Securities Sale under Regulation
D |
B. Securities Exchange Act of 1934
and Rules, Regs & Forms |
Statute
|
Securities Exchange Act of 1934 |
from the University of Cincinnati
Law School Web Site |
Rules and Regulations
|
Regulation 14A |
Proxy Solicitation Regulations |
| Schedule
14A |
Proxy Statement Requirements |
| Regulation
14C |
Information Statement Regulations |
| Schedule
14C |
Information Statement Requirements |
| Schedule
13D |
Statement of Beneficial Ownership |
| Schedule
13G |
Short Form Statement of Beneficial Ownership
|
Forms
|
Form 10 |
General Form for Securities Registration under the Securities
Exchange Act of 1934 |
| Form
10-SB |
General Form for Securities Registration
of Small Business Issuers under the Securities Exchange Act
of 1934 |
| Form
10-Q |
Quarterly Report |
| Form
10-QSB |
Quarterly Report for Small Business
Issuers |
| Form
8-K |
Current Report |
| Form
10-K |
Annual Report |
| Form
10-KSB |
Annual Report for Small Business Issuers
|
| Form
12b-25 |
Notification of Late Filing |
| Form
3 |
Initial Statement of Beneficial Ownership
of Securities |
| Form
4 |
Statement of Changes of Beneficial Ownership
of Securities |
| Form
5 |
Annual Statement of Beneficial Ownership
of Securities |
C. Business Combination Rules, Regs & Forms |
Rules and Regulations
|
Regulation M-A |
Mergers and Acquisitions |
| Schedule
TO |
Tender Offer Statement |
| Regulation
14D |
Tender Offer Disclosure and Time Requirements
|
| Schedule
14d-1F |
Tender Offer Statement Requirements
|
| Schedule
14d-9 |
Solicitation/Recommendation Statement
Requirements |
| Schedule
14d-9F |
Solicitation/Recommendation Statement
Requirements |
| Regulation
14E |
Tender Offer Rules |
| Rule
13e-1 |
Purchase of Securities by Issuer |
| Rule
13e-3 |
Going Private Transactions |
| Schedule
13e-3 |
Schedule for Going Private Transactions
|
| Rule
13e-4 |
Self Tender Offers |
| Regulation
14A |
Proxy Solicitation Regulations |
| Schedule
14A |
Proxy Statement Requirements |
| Regulation
14C |
Information Statement Regulations |
| Schedule
14C |
Information Statement Requirements |
| Rules
800-802 |
Exemptions for Cross-Border Rights Offerings,
Exchange Offers and Business Combinations |
| Form
CB |
Tender Offer/Rights Offering Notification
Form |
| Form
S-4 |
Registration Statement for Certain Business
Combinations |
D. International Rules, Regs &
Forms |
Rules
and Regulations
|
Regulation S
|
Rules relating to Offers and Sales made outside the US without
SEC Registration |
| Rule
12g3-2 |
Exemption for American Depositary Receipts
and Certain Foreign Securities |
Forms
|
Form
F-1 |
"Catch-All" Registration Statement
|
| Form
F-3 |
Registration Statement Under The Securities Act Of 1933 |
| Form
F-4 |
Registration Statement for Certain Business
Combinations |
| Form
20-F |
Registration Statement or Annual Report
|
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