§ 249.103. Form 3, initial statement of beneficial ownership of securities.
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/us/cfr/t17/s§ 249.103A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
This Form shall be filed pursuant to Rule 16a-3 (§ 240.16a-3 of this chapter) for initial statements of beneficial ownership of securities. The Commission is authorized to solicit the information required by this Form pursuant to sections 16(a) and 23(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78p(a) and 78w(a)); and sections 30(h) and 38 of the Investment Company Act of 1940 (15 U.S.C. 80a-29(h) and 80a-37), and the rules and regulations thereunder. Disclosure of information specified on this Form is mandatory.
The information will be used for the primary purpose of disclosing the holdings of directors, officers and beneficial owners of registered companies. Information disclosed will be a matter of public record and available for inspection by members of the public. The Commission can use the information in investigations or litigation involving the federal securities laws or other civil, criminal, or regulatory statutes or provisions, as well as for referral to other governmental authorities and self-regulatory organizations.
Failure to disclose required information may result in civil or criminal action against persons involved for violations of the federal securities laws and rules. \[56 FR 7274, Feb. 21, 1991, as amended at 72 FR 45112, Aug. 10, 2007\] Editorial Note:For Federal Register citations affecting Form 3, 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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- Rules and RegulationsFinal rule
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- Rules and RegulationsFinal rule
- NoticesNotice of approval of documents
- Proposed RulesProposed rule
- Proposed RulesProposed rules
- Presidential DocumentsFinal rule
- Rules and RegulationsNotice of OMB approval of collections of information
- NoticesProposed rule
- Rules and RegulationsNotice and request for comment
- Proposed RulesProposed rule
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- NoticesSECURITIES AND EXCHANGE COMMISSION
- Proposed RulesFinal rule
- NoticesProposed rule
- NoticesNotice
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Presidential DocumentsFinal rule
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Proposed RulesFinal rule
- NoticesNotice and request for comment
- Rules and RegulationsProposed rule
- NoticesFinal rule
- Proposed RulesFinal rule
- NoticesFinal rule; request for comment
- Proposed RulesProposed rule
- NoticesAmendment 2
- NoticesNotice and request for comment
- NoticesNotice of intent of waiver with respect to land
- Proposed RulesProposed rule
- NoticesProposed rule
- NoticesFinal rule
- NoticesNotice and request for comment
- Rules and RegulationsFinal rule
- NoticesAgency information collection activities: Submission for OMB review; comment request
- Rules and RegulationsFinal rule
- Rules and RegulationsInterim final rule; request for comment
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§ 249.103
Form 3, initial statement of beneficial ownership of securities.
Fed. Reg.×42
C.F.R.×1
Cites 2Cited by 43 across 2 sources