U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

All TitlesTitle 17Chapter IIPart 260 - PART 260—GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939

TERMS USED IN THE RULES AND REGULATIONS
§ 260.0-1 - Application of definitions contained in the act.
§ 260.0-2 - Definitions of terms used in the rules and regulations.
§ 260.0-3 - Definition of “rules and regulations” as used in certain sections of the Act.
§ 260.0-4 - Sequential numbering of documents filed with the Commission.

OFFICE OF THE COMMISSION
§ 260.0-5 - Business hours of the Commission.
§ 260.0-6 - Nondisclosure of information obtained in the course of examinations and investigations.
§ 260.0-7 - Small entities for purposes of the Regulatory Flexibility Act.
§ 260.0-11 - Liability for certain statements by issuers.

RULES UNDER SECTION 303
§ 260.3(4)-1 - Definition of “commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions” in section 303(4), for certain transactions.
§ 260.3(4)-2 - Definition of “distribution” in section 303(4) for certain transactions.
§ 260.3(4)-3 - Definitions of “participates” and “participation” as used in section 303(4), in relation to certain transactions.

RULES UNDER SECTION 304
§ 260.4a-1 - Exempted securities under section 304(a)(8).
§ 260.4a-2 - Exempted securities under section 304(d).
§ 260.4a-3 - Exempted securities under section 304(a)(9).
§ 260.4c-1 - Form for applications under section 304(c).
§ 260.4c-2 - General requirements as to form and content of applications.
§ 260.4c-3 - Number of copies; filing; signatures; binding.
§ 260.4c-4 - Applications under section 304(c)(1).
§ 260.4c-5 - Applications under section 304(c)(2).
§ 260.4d-7 - Application for exemption from one or more provisions of the Act.
§ 260.4d-8 - Content.
§ 260.4d-9 - Exemption for Canadian Trust Indentures from Specified Provisions of the Act.
§ 260.4d-10 - Exemption for securities issued pursuant to of this chapter.
§ 260.4d-11 - Exemption for security-based swaps offered and sold in reliance on Rule 239 under the Securities Act of 1933 (17 CFR 230.239).
§ 260.4d-12 - Exemption for security-based swaps offered and sold in reliance on Securities Act of 1933 Rule 240 (§ 230.240).

RULES UNDER SECTION 305
§ 260.5a-1 - Forms for statements of eligibility and qualification.
§ 260.5a-2 - General requirements as to form and content of statements of eligibility and qualification.
§ 260.5a-3 - Number of copies; filing; signatures; binding.
§ 260.5b-1 -
§ 260.5b-2 - General requirements as to form and content of applications.
§ 260.5b-3 - Number of copies—Filing—Signatures.

RULES UNDER SECTION 307
APPLICATIONS FOR QUALIFICATION OF INDENTURES
§ 260.7a-1 - Form for application.
§ 260.7a-2 - Powers of agent for service named in application.
§ 260.7a-3 - Number of copies; filing; signatures; binding.
§ 260.7a-4 - Calculation of time.
§ 260.7a-5 - Filing of amendments; number of copies.
§ 260.7a-6 - Telegraphic delaying amendments.
§ 260.7a-7 - Effective date of amendment filed under section 8(a) of the Securities Act with the consent of the Commission.
§ 260.7a-8 - Effective date of amendment filed under section 8(a) of the Securities Act pursuant to order of Commission.
§ 260.7a-9 - Delaying amendments.

GENERAL REQUIREMENTS AS TO FORM AND CONTENT OF APPLICATIONS, STATEMENTS AND REPORTS
GENERAL
§ 260.7a-15 - Scope of §to 260.7a-37.

FORMAL REQUIREMENTS
§ 260.7a-16 - Inclusion of items, differentiation between items and answers, omission of instructions.
§ 260.7a-17 - Quality, color and size of paper.
§ 260.7a-18 - Legibility.
§ 260.7a-19 - Margin for binding.
§ 260.7a-20 - Riders; inserts.

GENERAL REQUIREMENTS AS TO CONTENTS
§ 260.7a-21 - Clarity.
§ 260.7a-22 - Information unknown or not reasonably available.
§ 260.7a-23 - Statements required where item is inapplicable or where answer is “none”.
§ 260.7a-24 - Words relating to periods of time in the past.
§ 260.7a-25 - Words relating to the future.
§ 260.7a-26 - Disclaimer of control.
§ 260.7a-27 - Title of securities.

INCORPORATION BY REFERENCE
§ 260.7a-28 - Incorporation of matter in application, statement or report, other than exhibits, as answer to item.
§ 260.7a-29 - Incorporation of exhibits as such.
§ 260.7a-30 - Identification of material incorporated; form of incorporation.
§ 260.7a-31 - Incorporation by reference of contested material.
§ 260.7a-32 - Incorporation by reference rendering document incomplete, unclear, or confusing.

EXHIBITS
§ 260.7a-33 - Additional exhibits.
§ 260.7a-34 - Omission of substantially identical documents.

AMENDMENTS
§ 260.7a-35 - Formal requirements as to amendments.
§ 260.7a-36 - Signatures to amendments.

INSPECTION AND PUBLICATION OF APPLICATIONS, STATEMENTS AND REPORTS
§ 260.7a-37 - Inspection of applications, statements and reports.

RULE UNDER SECTION 310
§ 260.10a-1 - Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.
§ 260.10a-2 - General requirements as to form and content of applications.
§ 260.10a-3 - Number of copies—Filing—Signatures.
§ 260.10a-4 - Consent of trustee to service of process.
§ 260.10a-5 - Eligibility of Canadian Trustees.
§ 260.10b-1 - Calculation of percentages.
§ 260.10b-2 - Applications under section 310(b)(1)(ii).
§ 260.10b-3 - Applications relative to affiliations between trustees and underwriters.
§ 260.10b-4 - Application for stay of trustee's duty to resign pursuant to section 310(b) of the Act.
§ 260.10b-5 - Content.
§ 260.10b-6 - Notices—Exemptive Application Procedure.

RULES UNDER SECTION 311
§ 260.11b-4 - Definition of “cash transaction” in section 311(b)(4).
§ 260.11b-6 - Definition of “self-liquidating paper” in section 311(b)(6).

RULES UNDER SECTION 314
PERIODIC REPORTS
§ 260.14a-1 - Application of §to 260.7a-38.
§ 260.19a-1 - Compliance with Section 314(a)(1) of the Trust Indenture Act for certain eligible indenture obligors.
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