§ 239.90 Form 1-A, offering statement under Regulation A
§ 239.91 Form 1-K
§ 239.92 Form 1-SA
§ 239.93 Form 1-U
§ 239.94 Form 1-Z
§ 239.144 Form 144, for notice of proposed sale of securities pursuant to § 230.144 of this chapter
§ 239.200 Form 1-E, notification under Regulation E
§ 239.201 Form 2-E, report of sales pursuant to Rule 609 of Regulation E
§ 239.500 Form D, notice of sales of securities under Regulation D and section 4(a)(5) of the Securities Act of 1933
§ 239.800 Form CB, report of sales of securities in connection with an exchange offer or a rights offering
§ 239.900 v2 Form C
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Terms Used In CFR > Title 17 > Chapter II > Part 239 > Subpart B - Forms Pertaining to Exemptions

  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Amortization: Paying off a loan by regular installments.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
  • Fair market value: The price at which an asset would change hands in a transaction between a willing, informed buyer and a willing, informed seller.
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.