Code of Federal Regulations > Title 17 > Chapter II > Part 239 > Subpart A - Subpart A—Forms for Registration Statements

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 30, 2025

§§ 239.4-239.10 - §[Reserved]

§ 239.11 - Form S-1, registration statement under the Securities Act of 1933.

§ 239.12 - [Reserved]

§ 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 - [Reserved]

§ 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.

§ 239.17 - [Reserved]

§ 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.

§ 239.19 - [Reserved]

§ 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.

§§ 239.26-239.30 - §[Reserved]

§ 239.31 - Form F-1, registration statement under the Securities Act of 1933 for securities of certain foreign private issuers.

§ 239.32 - [Reserved]

§ 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.

§ 239.35 - [Reserved]

§ 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 - [Reserved]

§ 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-10, or F-80 (§239.39, 239.40, or 239.41), or registering securities or filing periodic reports on Form 40-F (of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F, or 14D-9F (§240.14d-102, or 240.14d-103 of this chapter), by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (F-8, F-10, or by a Canadian issuer qualifying an offering statement pursuant to Regulation A (et seq. of this chapter) on Form 1-A (or by any non-U.S. issuer providing Form CB (of this chapter) to the Commission in connection with a tender offer, rights offering or business combination.

§ 239.44 - Form SF-1, registration statement under the Securities Act of 1933 for offerings of asset-backed securities.

§ 239.45 - Form SF-3, for registration under the Securities Act of 1933 for offerings of asset-backed issuers offered pursuant to certain types of transactions.

§§ 239.46-239.62 - §[Reserved]

§ 239.63 - Form ID, application for EDGAR access.

§ 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.

§ 239.66 - Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.