SUBPART A—Forms for Registration Statements (§239.4-239.10 to §239.65)
- 239.11—Form S-1, registration statement under the Securities Act of 1933.
- 239.13—Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.
- 239.14—Form N-2 for closed end management investment companies registered on Form N-8A.
- 239.15—Form N-1 for open-end management investment companies registered on Form N-8A.
- 239.15A—Form N-1A, registration statement of open-end management investment companies.
- 239.16—Form S-6, for unit investment trusts registered on Form N-8B-2.
- 239.16b—Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.
- 239.17a—Form N-3, registration statement for separate accounts organized as management investment companies.
- 239.17b—Form N-4, registration statement for separate accounts organized as unit investment trusts.
- 239.17c—Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.
- 239.18—Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.
- 239.20—Form S-20, for standardized options.
- 239.23—Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.
- 239.24—Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
- 239.25—Form S-4, for the registration of securities issued in business combination transactions.
- 239.31—Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.
- 239.33—Form F-3, for registration under the Securities Act of 1933 of securities of certain foreign private issuers offered pursuant to certain types of transactions.
- 239.34—Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions.
- 239.36—Form F-6, for registration under the Securities Act of 1933 of depositary shares evidenced by American Depositary Receipts.
- 239.37—Form F-7, for registration under the Securities Act of 1933 of securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing securityholders.
- 239.38—Form F-8, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
- 239.39—Form F-9, for registration under the Securities Act of 1933 of certain investment grade debt or investment grade preferred securities of certain Canadian issuers.
- 239.40—Form F-10, for registration under the Securities Act of 1933 of securities of certain Canadian issuers.
- 239.41—Form F-80, for registration under the Securities Act of 1933 of securities of certain Canadian issuers to be issued in exchange offers or a business combination.
- 239.42—Form F-X, for appointment of agent for service of process and undertaking for issuers registering securities on Form F-8, F-9, F-10, or F-80 (§§ 239.38, 239.39, 239.40, or 239.
- 239.43—Form F-N, appointment of agent for service of process by foreign banks and foreign insurance companies and certain of their holding companies and finance subsidiaries making public offer
- 239.63—Form ID, uniform application for access codes to file on EDGAR.
- 239.64—Form SE, form for submission of paper format exhibits by electronic filers.
- 239.65—Form TH—Notification of reliance on temporary hardship exemption.