SEC
Rules and Regulations
A:
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 and Form 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-2 |
Registration
Statement for Qualified Issuers
|
| 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
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-2 |
Registration
Statement for Qualified Issuers
|
| Form
F-4 |
Registration
Statement for Certain Business
Combinations |
| Form
20-F |
Registration
Statement or Annual Report
|
