TheCorporateCounsel.net

On Friday, Corp Fin updated a whole bunch of CFIs. This included the issuance of seven revised CFIs and the withdrawal of a whopping 26 CFIs across a wide range of topics. None of these are earth shattering.  For the most part, the revised CFIs update references to rules that have changed since they were first issued, while the withdrawn CFIs address outdated guidance relating to repealed or superseded rules or transition arrangements for rules that have long since been implemented.

Nevertheless, we’re a full service blog, so we’ll run through them all. Let’s start with the revised CFIs, all of which involve Securities Act Rules or Securities Act Forms CFIs. I’ll link to the markup of each that Corp Fin posted, since that’s probably what will be most useful to you.

Securities Act Rules

Section 131. Rule 144(c) — Current Public Information
Revised Question 131.06

Section 133. Rule 144(e) — Limitation on Amount of Securities Sold
Revised Question 133.02

Section 134. Rule 144(f) — Manner of Sale
Revised Question 134.02

Section 136. Rule 144(h) — Notice of Proposed Sale
Revised Question 136.05

Securities Act Forms

Section 102. F-Series Forms Generally
Revised Question 102.02

Section 108. Form F-9
Revised Question 108.02

Section 109. Form F-10
Revised Question 109.07

Okay, now for the withdrawn CFIs, which include previously issued Securities Act Rules, Securities Act Forms, Exchange Act Rules, Exchange Act Forms, and Interactive Data CFIs. I’ll link to the marked copies for these as well.

Securities Act Rules

Section 198. Rule 401 — Requirements as to Proper Form
Withdrawn Question 198.08

Section 212. Rule 415 — Delayed or Continuous Offering and Sale of Securities
Withdrawn Question 212.22

Section 233. Rule 436 — Consents Required in Special Cases
Withdrawn Question 233.07

Section 240. Rule 457 — Computation of Fee
Withdrawn Question 240.14

Section 598. Rule 401 — Requirements as to Proper Form
Withdrawn 598.02

Securities Act Forms

Section 108. Form F-9
Withdrawn Question 108.01

Section 216. Form S-3 — General Instructions I.B.1 to I.B.6 — Transaction Requirements
Withdrawn Question 216.15
Withdrawn Question 216.16
Withdrawn Question 216.17
Withdrawn Question 216.18

Exchange Act Rules

Section 120. Manipulative and Deceptive Devices and Contrivances: Rule 10b5-1
Withdrawn Question 120.26

Section 121H. Requirements Under Section 10D: Rule 10D-1 – Listing standards relating to recovery of erroneously awarded compensation
Withdrawn Question 121H.01

Section 135. Rule 12b-25
Withdrawn Question 135.12
Withdrawn Question 135.13

Exchange Act Forms 

Section 104. Form 10-K
Withdrawn Question 104.18
Withdrawn Question 104.19

Section 110. Form 20-F
Withdrawn Question 110.09

Section 112. Form 40-F
Withdrawn Question 112.02
Withdrawn Question 112.04

Interactive Data

Inline XBRL
Withdrawn Question 101.08
Withdrawn Question 101.09

Exchange Act Forms
Withdrawn Question 105.07

Regulation S-K
Withdrawn Question 146.14

Regulation S-T
Withdrawn Question 130.03
Withdrawn Question 130.09

Rule 406T
Withdrawn Question 131.01

Yeah, so that was fun. Now on to the next blog. . .

– John Jenkins