§ 240.0-3. Filing of material with the Commission.
323 words·~1 min read·
/us/cfr/t17/s§ 240.0-3·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)All papers required to be filed with the Commission pursuant to the Act or the rules and regulations thereunder shall be filed at the principal office in Washington, DC. Material may be filed by delivery to the Commission, through the mails or otherwise. The date on which papers are actually received by the Commission shall be the date of filing thereof if all of the requirements with respect to the filing have been complied with, except that if the last day on which papers can be accepted as timely filed falls on a Saturday, Sunday or holiday, such papers may be filed on the first business day following.
(b)The manually signed original (or in the case of duplicate originals, one duplicate original) of all registrations, applications, statements, reports, or other documents filed under the Securities Exchange Act of 1934, as amended, shall be numbered sequentially (in addition to any internal numbering which otherwise may be present) by handwritten, typed, printed, or other legible form of notation from the facing page of the document through the last page of that document and any exhibits or attachments thereto. Further, the total number of pages contained in a numbered original shall be set forth on the first page of the document.
(c)Each document filed shall contain an exhibit index, which should immediately precede the exhibits filed with such document. The index shall list each exhibit filed and identify by handwritten, typed, printed, or other legible form of notation in the manually signed original, the page number in the sequential numbering system described in paragraph
(b)of this section where such exhibit can be found or where it is stated that the exhibit is incorporated by reference. Further, the first page of the manually signed document shall list the page in the filing where the exhibit index is located. \[44 FR 4666, Jan. 23, 1979, as amended at 45 FR 58828, Sept. 5, 1980\]
Connections47 cite this
Cited by 47 sections · top 25
register
- NoticesProposed rules; proposed interpretations
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Rules and RegulationsFinal rule
- Presidential DocumentsProposed rule
- NoticesFinal rule
- NoticesFinal rule; guidance
- NoticesProposed rule
- Rules and RegulationsTemporary final rules and final rules
- Proposed RulesProposed rule
- NoticesFinal rule
- Rules and RegulationsFinal rule
- Proposed RulesProposed rule
- NoticesFinal rule
- Proposed RulesProposed rule
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesFinal rule
- NoticesFinal rule and form; final rule amendment; technical amendment
- NoticesNotice of final disposition
- Rules and RegulationsProposed rule
- NoticesProposed rule
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Rules and RegulationsFinal rule
- UnknownAffirmation of interim rule as final rule
- Rules and RegulationsProposed rule
- NoticesProposed rule
Citation graph
cites case law
§ 240.0-3
Filing of material with the Commission.
Fed. Reg.×47
Cites 0Cited by 47 across 1 source