§ 239.200. Form 1-E, notification under Regulation E.
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/us/cfr/t17/s§ 239.200·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
This form shall be used for notification pursuant to Rule 604 (§ 230.604 of this chapter) of Regulation E (§§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§ 230.602 of this chapter). (Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c
(b)and (c); sec. 38, Investment Company Act of 1940 (15 U.S.C. 80a-37)) \[49 FR 35347, Sept. 7, 1984\] Editorial Note:For Federal Register citations affecting Form 1-E, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
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- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesNotice of application for an exemption pursuant to Section 6(c) of the Investment Company Act of 1940, as amended (the “1940 Act”) from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
- UnknownFinal rule; official staff interpretation
- NoticesNotice
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