§ 16.8. Small issues.
123 words·~1 min read·
/us/cfr/t12/s§ 16.8·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)The OCC will deem offers and sales of national bank or Federal savings association issued securities that satisfy the requirements of SEC Regulation A (17 CFR part 230, Regulation A—Conditional Small Issues Exemption) to be exempt from the registration and prospectus requirements of § 16.3 pursuant to § 16.5(d) of this part.
(b)A filer should consult the SEC's Securities Act Industry Guide 3—Statistical Disclosure by Bank Holding Companies (17 CFR 229.801(c) and 231) and requirement 7 (Loans) of Rule 9-03 of SEC Regulation S-X (17 CFR 230.9-03) for guidance on appropriate disclosures when preparing offering documents to be filed with the OCC pursuant to Regulation A. [59 FR 54798, Nov. 2, 1994, as amended at 82 FR 8108, Jan. 23, 2017]
Connections6 cite this · traces to 1
Cited by 6 sections
Traces to 1 document
2 references not yet in our index
- 17 CFR 230
- 17 CFR 230.9-03
Citation graph
cites case law
Cites 3Cited by 6 across 2 sources