17 C.F.R. § 230.430C

Current through November 30, 2024
Section 230.430C - Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date
(a) In offerings made other than in reliance on Rule 430B (§ 230.430B ) or Rule 430D (§ 230.430D ) and other than for prospectuses filed in reliance on Rule 430A (§ 230.430A ), information contained in a form of prospectus required to be filed with the Commission pursuant to Rule 424(b) (§ 230.424(b) ) or Rule 497(b), (c), (d), or (e) (§ 230.497(b), (c) , (d) or (e)), shall be deemed to be part of and included in the registration statement on the date it is first used after effectiveness.
(b) Notwithstanding paragraph (a) of this section or paragraph (a) of Rule 412 (§ 230.412 ), no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use.
(c) Nothing in this section shall affect the information required to be included in an issuer's registration statement and prospectus.
(d) Issuers subject to paragraph (a) of this section shall furnish the undertakings required by Item 512(a) of Regulation S-K (§ 229.512(a) of this chapter) or Item 34.4 of Form N-2 (§§ 239.14 and 274.11a-1 of this chapter), as applicable.

17 C.F.R. §230.430C

70 FR 44815 , Aug. 3, 2005, as amended at 73 FR 969 , Jan. 4, 2008; 79 FR 57329 , Sept. 24, 2014