249.222 249.223 249.224 249.231 249.232 249.235 Form 22, for issuers reorganized in Form 1-J, for registration of un- Form 2-J, for registration of unissued securities, other than unissued warrants, for "when issued" dealing. Form 15-AN, statements in respect of exemption of issued warrants. Subpart D-Forms for Annual and Other Reports of Issuers Having Securities Registered on National Securities Exchanges 249.350 Form N-30B-1, quarterly report of management investment companies registered under the Investment Company Act of 1940. Form U5-K, for public utility holding companies. Subpart E-Forms for Annual Reports of Registrants Under the Securities Act of 1933 Subpart F-Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets Sec. 249.503 Form 3-M, for applications for registration of brokers and dealers, except applications for which Form 4-M is authorized. 249.504 Form 4-M, for applications for registration of partnerships formed upon death, withdrawal, or admission of one or more partners in partnerships registered as brokers or dealers. 249.505 Form 5-M, for adoption of applicacations filed by predecessors. 249.506 Form 6-M, for supplemental statements to applications for registration of brokers and dealers. Subpart G-Forms for Reports to be Made by Certain Exchange Members, Brokers and Dealers 249.617 Form X-17-5. Subpart H-Forms for Reports as to Stabilization 249.709 Form X-9A6-1, for notice of intention to stabilize. 249.717 Form X-17A-1, for reports of stabilizing activities. Subpart I-Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations 249.801 Form X-15AA-1. 249.802 Form X-15AJ-1. 249.803 Form X-15AJ-2. AUTHORITY: §§ 249.1 to 249.803, inclusive, issued under secs. 19, 23, 209, 48 Stat. 85, 901, 908, secs. 205 (a), 8, 49 Stat. 704, 1379; 15 U.S.C. 77s, 78w. SOURCE: §§ 249.1 to 249.803, inclusive, contained in Regulations, Securities and Exchange Commission, effective Sept. 11, 1946, 11 FR. 177A-733. Subpart A-Forms for Registration or Exemption of Exchanges § 249.1 Form 1. Form 1 is prescribed for applications for registration or for exemption from registration as a national securities exchange. § 249.9 Form 9. This form is prescribed for amendatory and/or supplementary statements to registration statements of a national securities exchange. § 249.9a Form 9-A. This form is prescribed for amendatory and/or supplementary statements to applications for exemption from registration of a national securities exchange. Subpart B-Forms for Reports to be Filed by Officers, Directors and Security Holders § 249.104 Form 4, for reporting changes in ownership of equity securities. Every person who at any time during any month has been directly or indirectly the beneficial owner of more than 10 per cent of any class of any equity security (other than an exempted security) which is listed on a national securities exchange, or a director or an officer of the issuer of such security, shall, if there has been any change during such month in his ownership of any equity security of such issuer, whether registered or not, file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 4 (and a single duplicate original thereof with the Commission) indicating his ownership at the close of the calendar month and such changes in his ownership as have occurred during such calendar month. Such statements must be received by the Commission and the exchange on or before the 10th day of the month following that which they cover. § 249.105 Form 5, for reporting ownership of equity securities. In the case of an equity security (other than an exempted security) which is listed subsequent to February 15, 1935, on a national securities exchange, every person who at the time such registration becomes effective is directly or indirectly the beneficial owner of more than 10 per cent of any class of such security or a director or an officer of the issuer of such security, shall file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 5 (and a single duplicate original thereof with the Commission) of the amount of all equity securities of such issuer, whether registered or not, so beneficially owned by him at the time such registration became effective. Such statement must be received by the Commission and the exchange on or before the 10th day of the following calendar month. If such person files a statement on Form 4 (§ 249.104) for the same calendar month in respect of the same securities, he need not file an additional statement pursuant to this paragraph. § 249.106 Form 6, for reports by persons who have just become officers or directors or security holders of more than 10 per cent of any class of equity security. Every person who becomes directly or indirectly the beneficial owner of more than 10 per cent of any class of any equity security (other than an exempted security), which is listed on a national securities exchange, or becomes a director or an officer of the issuer of such security, shall file with each exchange on which any equity security of the issuer is listed and registered a statement on Form 6 (and a single duplicate original thereof with the Commission) of the amount of all equity securities of such issuer, whether registered or not, so beneficially owned by him immediately after becoming such beneficial owner, director, or officer. Such statement must be received by the Commission and the exchange on or before the 10th day following the day on which such person became such beneficial owner, director, or officer. Such person need not file the statement required by this paragraph, if prior to such 10th day and during the calendar month in which he has become such beneficial owner, director, or officer, there has been a change in his beneficial ownership which will require him to file a statement on Form 4 (§ 249.104) with respect to the same securities. Subpart C-Forms for Applications for Registration of Securities on National Securities Exchanges § 249.207 Form 7, for provisional application. Where the form for permanent registration of any particular class of security has not yet been authorized, and for a period of 90 days after the filing of applications on such form is authorized, a provisional application for registration of a security of such class may be filed on Form 7 pursuant to Rule X-12B-2 (17 CFR 240.12b-2). (Rule X-12b-2 sets forth the requirements of an application filed on Form 7). § 249.208 Form 8, for amendments to applications for registration or amendments to annual reports. This form shall be used for amendments to applications for registration of securities pursuant to section 12 (b) and (c) of the Securities Exchange Act of 1934 or amendments to annual reports pursuant to section 13 of that act. § 249.208a Form 8-A, for additional securities. This form shall be used for registration under the Securities Exchange Act of 1934 of securities on an exchange on which any other securities of the registrant are listed and registered, if Form 10, 11, 13, 15, 22 or 23 (§§ 249.210, 249.211, 249.213, 249.215, 249.222, 249.223) would be the form appropriate for registration in case the registrant did not have securities so listed and registered: Provided, however, That if Form 22 or 23 (§§ 249.222, 249.223) would be appropriate for original registration this form shall be used only if securities of the registrant, issued pursuant to the plan of reorganization or succession by reason of which Form 22 or 23 would be appropriate for original registration, have been registered on the exchange pursuant to an application on Form 22 or 23 (§§ 249.222, 249.223), whichever was appropriate. § 249.208b Form 8-B, for securities issued in certain cases upon the registrant's succession to an issuer or issuers of previously registered securities. This form shall be used by an issuer, not having securities previously registered, for applications filed on and after March 12, 1936, for the registration of securities, if the conditions set forth in paragraphs (a), (b), (c), and (d) of this section exist. (a) (1) The registrant, having no assets at the time other than nominal assets, succeeded to a single predecessor which had securities registered pursuant to section 12 (b) and (c) of the act on the exchange or exchanges on which registration is applied for on this form; or (2) The registrant was organized as the successor to, or, having no assets at the time other than nominal assets, succeeded to, a group of predecessors consisting of a parent which had securities so registered and one or more wholly owned subsidiaries of such parent; or (3) The registrant was a wholly owned subsidiary of a corporation having securities so registered, which corporation, either alone or with one or more of its other wholly owned subsidiaries, was merged into the registrant. (b) Substantially all of the securities to be registered on this form were or are to be issued in exchange for or otherwise in respect of previously registered securities of one or more of the predecessors, or are securities which, having been previously registered, have become or are to become securities of the registrant by operation of law or otherwise upon the succession. (c) Registrant acquired all the assets and assumed all the liabilities of its predecessor or predecessors. (d) Except for such changes as may have resulted (1) from the substitution of issuers incident to the succession, or (2) from changes in capital stock liability per share, or (3) from the issuance of securities in satisfaction of dividends or interest in arrears on securities of predecessors, the capital structure of the registrant immediately following the succession was substantially the same as the capital structure of the single predecessor or the combined capital structure of the predecessors, or in a case falling within paragraph (a) (3) of this section, the combined capital structure of all the constituent corporations. The term "wholly owned subsidiary" as used in this section refers to a subsidiary substantially all the outstanding stock of which is held, directly or indirectly, by a single parent. $249.208c Form 8-C, for registration on an additional exchange. This form may be used for registration under the Securities Exchange Act of 1934 of securities on an exchange on which the registrant has no securities listed and registered if the securities are listed and registered or registered upon notice of issuance on another exchange. § 249.210 Form 10, for corporations. This form shall be used for applications for the permanent registration of securities of corporations, filed on and after February 13, 1935, except the following: Securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or under section 219 of the Communications Act of 1934; certificates of deposit; American certificates against foreign issues, either government or corporate; securities of insurance companies, other than com- . panies engaged primarily in the title insurance business; securities of banks and bank holding companies; securities of investment trusts; securities issued by any corporation organized under the laws of any foreign country other than a North American country or Cuba; bonds issued by any corporation organized under the laws of a North American country or Cuba, which are guaranteed by any foreign government; securities issued by any corporation, foreign or domestic, which is directly or indirectly owned or controlled by any foreign government: Provided, however, That this form shall not be used for applications for the permanent registration of securities of any corporation for which, at the time the application is filed, Form 22 or 23 (§§ 249.222, 249.223) is prescribed. And provided further, That this form shall not be used for applications for the permanent registration of securities of any corporation, if, at the time the application is filed, such corporation is in bankruptcy or receivership or in the process of reorganization pursuant to section 77 or 77B of the Bankruptcy Act, and (a) a trustee or receiver appointed in such proceedings has title to or possession of a substantial portion of the assets of such corporation, or (b) such corporation is in possession of a substantial portion of its assets pursuant to an order entered under subdivision (c), clause (2) of said section 77 or subdivision (c), clause (1) of said section 77B. Any foreign issuer which by this paragraph is to file on Form 10 as to any class of securities other than bonds may also file on such form for such bonds; and any issuer of bonds which is organized under the laws of any foreign country may at its option file on Form 10 until 90 days after the proper form applicable to such foreign issuer shall have been published. § 249.211 Form 11, for unincorporated issuers. This form shall be used for applications filed on or after March 30, 1935, for the permanent registration of securities of unincorporated issuers, except the following: Securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or under section 219 of the Communications Act of 1934; certificates of deposit; voting trust certificates; American certificates against foreign issues, either government or private; securities of insurance companies; securities of banks and bank holding companies; securities of investment trusts; securities issued by a national of a foreign country other than a North American country or Cuba; bonds issued by a national of a North American country or Cuba, which are guaranteed by any foreign government; securities of any issuer, foreign or domestic, which is di rectly or indirectly owned or controlled by any foreign government: Provided, however, That this form shall not be used for applications for the permanent registration of securities of any issuer for which, at the time the application is filed, Form 22 or 23 (§§ 249.222, 249.223) is prescribed. And provided further, That this form shall not be used for applications for the permanent registration of securities of any issuer, if, at the time the application is filed, such issuer is in bankruptcy or receivership or in the process of reorganization pursuant to section 77 or 77B of the Bankruptcy Act, and (a) a trustee or receiver appointed in such proceedings has title to or possession of a substantial portion of the assets of such issuer, or (b) such corporation is in possession of a substantial portion of its assets pursuant to an order entered under subdivision (c), clause (2) of said section 77 or subdivision (c), clause (1) of said section 77B. § 249.212 Form 12, for companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or under section 219 of the Communications Act of 1934. This form shall be used for applications filed on or after April 10, 1935, for the permanent registration of securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934, except such companies in receivership or in process of reorganization pursuant to section 77 of the Bankruptcy Act. § 249.212a Form 12-A, for companies in receivership or bankruptcy and making annual reports under section 20 of the Interstate Commerce Act, as amended, or under section 219 of the Communications Act of 1934. This form shall be used for application filed on or after June 17, 1935, for the permanent registration of securities of companies making annual reports under section 20 of the Interstate Commerce Act, as amended, or section 220 of the Motor Carrier Act, 1935, or under section 219 of the Communications Act of 1934, and in receivership or in bankruptcy (including proceedings under sections 77 or 77B of the Bankruptcy Act). § 249.213 Form 13, for insurance companies other than life and title insurance companies. This form shall be used for applications filed on or after May 7, 1935, for permanent registration of securities of corporations engaged, directly or through subsidiaries, primarily in the insurance business, except corporations engaged primarily in the life or title insurance business. This form shall not be used by corporations engaged primarily in the business of guaranteeing mortgages or mortgage-participation certificates. Pending the authorization of a form for registration of securities of corporations engaged primarily in the life-insurance business, and for a period of 30 days after the filing of applications on such form is authorized, such corporations may file application on Form 13 for Insurance Companies other than Life and Title Insurance Companies. Insofar as Form 13 may be inappropriate to the life insurance business, a corporation engaged in the life insurance business filing on Form 13, pursuant to this section, shall furnish information comparable to that required by Form 13; and, in lieu of financial statements required under the Instructions as to Financial Statements in the Instruction Book for Form 13, such corporation may file a copy of its last annual statement filed with its State regulatory authority. § 249.214 Form 14, for certificates of deposit issued by a committee. This form shall be used for applications on or after May 10, 1935, for the permanent registration of certificates of deposit issued by a committee. § 249.215 Form 15, for incorporated investment companies. This form shall be used for applications filed on or after May 15, 1935, for the permanent registration of securities of any corporation which is engaged, either directly or through subsidiaries, primarily in the business of investing and reinvesting, or trading in securities, for the purpose of revenue and for profit, and not in general for the purpose, or with the effect, of exercising control; except securities of such corporations in process of reorganization pursuant to section 77B of the Bankruptcy Act or securities of such corporations in bankruptcy or receivership. § 249.216 Form 16, voting trust certificates and underlying securities. This form shall be used for applications filed on or after May 18, 1935, for the permanent registration of voting trust certificates and underlying securities. |
