General Rules and Regulations, Securities Act of 1933: Rule 100 to Rule 215

Rule 100 — Definition of terms used in the rules and regulations.

Rule 110 — Business hours of the commission.

Rule 111 — Payment of fees.

Rule 120 — Inspection of registration statements.

Rule 122 — Non-disclosure of information obtained in the course of examinations and investigations.

Rule 130 — Definition of “rules and regulations” as used in certain sections of the Act.

Rule 131 — Definition of security issued under governmental obligations.

Rule 132 — Definition of “common trust fund” as used in section 3(a)(2) of the Act.

Rule 134 — Communications not deemed a prospectus.

Rule 134a — Options material not deemed a prospectus.

Rule 134b — Statements of additional information.

Rule 135 — Notice of proposed registered offerings.

Rule 135a — Generic advertising.

Rule 135b — Materials not deemed an offer to sell or offer to buy nor a prospectus.

Rule 135c — Notice of certain proposed unregistered offerings.

Rule 135d — Communications involving security-based swaps.

Rule 135e — Offshore press conferences, meetings with issuer representatives conducted offshore, and press-related materials released offshore.

Rule 136 — Definition of certain terms in relation to assessable stock.

Rule 137 — Publications or distributions of research reports by brokers or dealers that are not participating in an issuer’s registered distribution of securities.

Rule 138 — Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing.

Rule 139 — Publications or distributions of research reports by brokers or dealers distributing securities.

Rule 139a — Publications by brokers or dealers distributing asset-backed securities.

Rule 139b –Publications or distributions of covered investment fund research reports by brokers or dealers distributing securities.

Rule 140 — Definition of “distribution” in Section 2(11) for certain transactions.

Rule 141 — Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors’ or sellers’ commissions” in section 2(11), for certain transactions.

Rule 142 — Definition of “participates” and “participation,” as used in Section 2(11), in relation to certain transactions.

Rule 143 — Definition of “has purchased”, “sells for”, “participates”, and “participation”, as used in section 2(11), in relation to certain transactions of foreign governments for war purposes.

Rule 144 — Persons deemed not to be engaged in a distribution and therefore not underwriters.

Rule 144A — Private resales of securities to institutions.

Rule 145 — Reclassifications of securities, mergers, consolidations and acquisitions of assets.

Rule 145a — Business combinations with reporting shell companies.

Rule 146 — Rules under section 18 of the Act.

Rule 147 — Intrastate offers and sales.

Rule 147A — Intrastate sales exemption.

Rule 148 — Exemption from general solicitation or general advertising.

Rule 149 — Definition of “exchanged” in section 3(a)(9), for certain transactions.

Rule 150 — Definition of “commission or other remuneration” in section 3(a)(9), for certain transactions.

Rule 151 — Safe harbor definition of certain “annuity contracts or optional annuity contracts” within the meaning of section 3(a)(8).

Rule 152 — Definition of “transactions by an issuer not involving any public offering” in section 4(2), for certain transactions.

Rule 152a — Offer or sale of certain fractional interests.

Rule 153 — Definition of “preceded by a prospectus,” as used in section 5(b)(2) of the Act, in relation to certain transactions.

Rule 153a — Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of security holders.

Rule 153b — Definition of “preceded by a prospectus”, as used in section 5(b)(2), in connection with certain transactions in standardized options.

Rule 154 — Delivery of prospectuses to investors at the same address.

Rule 155 — [Reserved]

Rule 156 — Investment company sales literature.

Rule 157 — Small entities under the Securities Act for purposes of the Regulatory Flexibility Act.

Rule 158 — Definitions of certain terms in the last paragraph of section 11(a).

Rule 159 — Information available to purchaser at time of contract of sale.

Rule 159A — Certain definitions for purposes of section 12(a)(2) of the Act.

Rule 160 — Registered investment company exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act.

Rule 161 — Amendments to rules and regulations governing exemptions.

Rule 162 — Submission of tenders in registered exchange offers.

Rule 163 — Exemption From section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers.

Rule 163A — Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed.

Rule 163B — Exemption from section 5(b)(1) and section 5(c) of the Act for certain communications to qualified institutional buyers or institutional accredited investors.

Rule 164 — Post-filing free writing prospectuses in connection with certain registered offerings.

Rule 165 — Offers made in connection with a business combination transaction.

Rule 166 — Exemption from section 5(c) for certain communications in connection with business combination transactions.

Rule 167 — Communications in connection with certain registered offerings of asset-backed securities.

Rule 168 — Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information.

Rule 169 — Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information.

Rule 170 — Prohibition of use of certain financial statements.

Rule 171 — Disclosure detrimental to the national defense or foreign policy.

Rule 172 — Delivery of prospectuses.

Rule 173 — Notice of registration.

Rule 174 — Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.

Rule 175 — Liability for certain statements by issuers.

Rule 176 — Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.

Rule 180 — Exemption from registration of interests and participations issued in connection with certain H.R. 10 plans.

Rule 190 — Registration of underlying securities in asset-backed securities transactions.

Rule 191 — Definition of “issuer” in section 2(a)(4) of the Act in relation to asset-backed securities.

Rule 193 — Review of underlying assets in asset-backed securities transactions.

Rule 194 — Definitions of the terms “swap” and “security-based swap” as used in the Act.

Rule 215 — Accredited investor.