PART 239 — FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s,
77z-2, 77z-3, 77sss, 78c, 78l, 78m, 78n, 78o(d), 78o-7 note,
78u-5, 78w(a), 78ll, 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9,
80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, 80a-37; and sec.
71003 and sec. 84001, Pub. L. 114-94, 129 Stat. 1321, unless
otherwise noted.
Sections 239.31, 239.32 and 239.33 are also issued under 15 U.S.C.
78l, 78m, 78o, 78w, 80a-8, 80a-29,
80a-30, 80a-37 and 12 U.S.C. 241.
Sections 239.63 and 239.64 are also issued under 15 U.S.C. 77f, 77g, 77h, 77j,
77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 80a-8,
80a-24, 80a-29, and 80a-37.
Source:
33 FR 18991, Dec. 20, 1968, unless otherwise noted.
239.0-1 — Availability of forms.
(a) This part identifies and describes the forms prescribed for use under the Securities Act of 1933.
(b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. Any persons may inspect the forms at this address and at the Commission's regional offices. (See § 200.11 of this chapter for the addresses of the SEC regional offices.)
[46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5945, Feb. 9, 1994; 73 FR 970, Jan. 4, 2008]