GUIDE to SORP Rules/Forms

RULE	Description
134	Communications not deemed a prospectus
137	Publications or distributions of research reports by brokers or dealers that are not participating in an issuer's registered distribution of securities
138	Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing
139	Publications or distributions of research reports by brokers or dealers distributing securities
153	Definition of "preceded by a prospectus" as used in section 5(b)(2) of the Act, in relation to certain transactions
158	Definition of certain terms in the last paragraph of section 11(a)
159	Information available to purchaser at time of contract of sale
159A	Certain definitions for purposes of section 12(a)(2) of the Act
163	Exemption from section 5(c) of the Act for certain communications by or on behalf of well-known seasoned issuers
163A	Exemption from section 5(c) of the Act for certain communications made by or on behalf of issuers more than 30 days before a registration statement is filed
164	Post-filing free writing prospectuses in connection with certain registered offerings
168	Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information and forward-looking information
169	Exemption from sections 2(a)(10) and 5(c) of the Act for certain communications of regularly released factual business information
172	Delivery of prospectuses
173	Notice of registration
174	Delivery of prospectus by dealers; exemptions under section 4(3) of the Act
401	Requirements as to proper form
405	Definition of terms— Automatic Shelf Registration Statement; Free Writing Prospectus; Graphic Communication; Ineligible Issuer; Well-Known Seasoned Issuer; Written Communication
408	Additional information
412	Modified or superseded documents
413	Registration of additional securities and additional classes of securities
415	Delayed or continuous offering and sale of securities
418	Supplemental information
424	Filing of prospectuses, number of copies
430A	Prospectus in a registration statement at the time of effectiveness
430B	Prospectus in a registration statement after effective date
430C	Prospectus in a registration statement pertaining to an offering other than pursuant to Rule 430A or Rule 430B after the effective date
433	Conditions to permissible post-filing free writing prospectuses
434	REMOVED
439	Consent to use of material incorporated by reference
456	Date of filing, timing of fee payment
457	Computation of fee
462	Immediate effectiveness of certain registration statements and post-effective amendments
473	Delaying amendments
497	Filing of Investment Company Prospectuses
902	Definitions—Directed Selling Effort
Item 512_SB	Undertakings
Item 512_SK	Undertakings
14a-2	Solicitations to which § 240.14a-3 to § 240.14a-15 apply
FD 100	General rule regarding selective disclosure
Form S-1	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form S-2	Removal of
Form S-3	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form S-4	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form F-1	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form F-2	Removal of
Form F-3	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form F-4	REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Form 10	GENERAL FORM FOR REGISTRATION OF SECURITIES (’34 Act)
Form 20-F	Registration Statement/Annual Report (’34 Act Foreign Private Issuer)
Form 10-K	Annual Report-’34 Act
Form 10-KSB	Annual Report
Form 10-Q	Quarterly Report
Form N-2	REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT