FAST Act Modernization and Simplification of Regulation S-K; Correction, 39966-39970 [2019-17138]
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39966
Federal Register / Vol. 84, No. 156 / Tuesday, August 13, 2019 / Rules and Regulations
Designated altitudes. 6,000 feet MSL to
11,000 feet MSL.
Time of designation. By NOTAM 4 hours
in advance.
Controlling agency. FAA, Anchorage
ARTCC.
Using agency. U.S. Army, AK (USARAK),
Commanding General, Joint Base ElmendorfRichardson (JBER), AK.
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Issued in Washington, DC, on August 7,
2019.
Rodger A. Dean Jr.,
Manager, Airspace Policy Group.
[FR Doc. 2019–17220 Filed 8–12–19; 8:45 am]
BILLING CODE 4910–13–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Parts 229, 232, 239, 249, and
274
[Release No. 33–10618A; 34–85381A; IA–
5206A; IC–33426A; File No. S7–08–17]
RIN 3235–AM00
FAST Act Modernization and
Simplification of Regulation S–K;
Correction
Securities and Exchange
Commission.
ACTION: Final rule; technical correction.
AGENCY:
SUMMARY: This document makes
technical corrections to certain
amendments to the Commission’s
disclosure rules and forms adopted in
Release No. 33–10618 (March 20, 2019),
which was published in the Federal
Register on April 2, 2019. Specifically,
this document reinstates certain item
headings in registration statement forms
under the Securities Act of 1933 that
were inadvertently changed; relocates
certain amendments to the correct item
numbers in these forms and reinstates
text that was inadvertently removed;
corrects a portion of the exhibit table in
Item 601(a) of Regulation S–K to make
it consistent with the regulatory text of
the amendments; and corrects certain
typographical errors and a crossreference in the regulatory text of the
amendments.
DATES:
Effective August 13, 2019.
FOR FURTHER INFORMATION CONTACT:
Charles Kwon, Office of Rulemaking,
Division of Corporation Finance, at
(202) 551–3430, or Michael C. Pawluk,
Investment Company Rulemaking
Office, Division of Investment
Management, at (202) 551–6792, U.S.
Securities and Exchange Commission,
100 F Street NE, Washington, DC 20549.
We are
making technical corrections to:
SUPPLEMENTARY INFORMATION:
Commission
reference
CFR citation
(17 CFR)
Regulation S–K ...............................................................................................................................................
Item 202 ...................................................................................................................................................
Item 601 ...................................................................................................................................................
Regulation S–T ...............................................................................................................................................
Rule 105 ..................................................................................................................................................
Securities Act of 1933: 1
Form S–1 .................................................................................................................................................
Form S–3 .................................................................................................................................................
Form S–6 .................................................................................................................................................
Form S–11 ...............................................................................................................................................
Form N–14 ...............................................................................................................................................
Form S–4 .................................................................................................................................................
Form F–1 .................................................................................................................................................
Form F–3 .................................................................................................................................................
Form F–4 .................................................................................................................................................
Form SF–1 ...............................................................................................................................................
Form SF–3 ...............................................................................................................................................
Securities Exchange Act of 1934: 2
Form 10–D ...............................................................................................................................................
Investment Company Act of 1940: 3
Form N–8B–2 ..........................................................................................................................................
Securities Act of 1933 and Investment Company Act of 1940:
Form N–1A ..............................................................................................................................................
Form N–2 .................................................................................................................................................
Form N–3 .................................................................................................................................................
Form N–4 .................................................................................................................................................
Form N–5 .................................................................................................................................................
Form N–6 .................................................................................................................................................
§§ 229.10 through 229.1305.
§ 229.202.
§ 229.601.
§§ 232.10 through 232.903.
§ 232.105.
§ 239.11.
§ 239.13.
§ 239.16.
§ 239.18.
§ 239.23.
§ 239.25.
§ 239.31.
§ 239.33.
§ 239.34.
§ 239.44.
§ 239.45.
§ 249.312.
§ 274.12.
§§ 239.15A and 274.11A.
§§ 239.14 and 274.11a–1.
§§ 239.17a and 274.11b.
§§ 239.17b and 274.11c.
§§ 239.24 and 274.5.
§§ 239.17c and 274.11d.
1 15
U.S.C. 77a et seq.
U.S.C. 78a et seq.
3 15 U.S.C. 80a–1 et seq.
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Federal Register / Vol. 84, No. 156 / Tuesday, August 13, 2019 / Rules and Regulations
List of Subjects in 17 CFR Parts 229,
232, 239, 249, and 274
Reporting and recordkeeping
requirements, Securities.
For the reasons set out above, we are
amending title 17, chapter II of the Code
of Federal Regulations as follows:
L. 111–203, 124 Stat. 1904 (2010); and sec.
102(c), Pub. L. 112–106, 126 Stat. 310 (2012).
PART 229—STANDARD
INSTRUCTIONS FOR FILING FORMS
UNDER SECURITIES ACT OF 1933,
SECURITIES EXCHANGE ACT OF 1934
AND ENERGY POLICY AND
CONSERVATION ACT OF 1975—
REGULATION S–K
§ 229.202
[Amended]
2. Amend § 229.202 in Instruction 3
under ‘‘Instructions to Item 202’’ by
removing the phrase ‘‘U.S.C. 77aaa et
seq.’’ and adding in its place ‘‘15 U.S.C.
77aaa et seq.’’
■ 3. Amend § 229.601 by revising
entries (4) and (104) to the exhibit table
in paragraph (a) to read as follows:
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1. The authority citation for part 229
continues to read as follows:
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Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j,
77k, 77s, 77z–2, 77z–3, 77aa(25), 77aa(26),
77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj,
77nnn, 77sss, 78c, 78i, 78j, 78j–3, 78l, 78m,
78n, 78n–1, 78o, 78u–5, 78w, 78ll, 78mm,
80a–8, 80a–9, 80a–20, 80a–29, 80a–30, 80a–
31(c), 80a–37, 80a–38(a), 80a–39, 80b–11 and
7201 et seq.; 18 U.S.C. 1350; sec. 953(b), Pub.
§ 229.601
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(Item 601) Exhibits.
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Exhibit Table
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EXHIBIT TABLE
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(4) Instruments defining the rights of
securities holders, including indentures, (i) through (v) .......................
(vi) Description of registrant’s securities .................................................
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(104) Cover Page Interactive Data
File .................................................
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Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j,
77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,
80a–30, 80a–37, and 7201 et seq.; and 18
U.S.C. 1350, unless otherwise noted.
§ 232.105
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5. Amend § 232.105, in paragraph (d),
in Instruction 2 under ‘‘Instructions to
paragraph (d)’’, by removing the phrase
‘‘in the case of a foreign private issuer
(as defined in § 229.405 of this chapter)’’
and adding in its place ‘‘in the case of
a foreign private issuer (as defined in
§ 230.405 of this chapter)’’.
PART 239—FORMS PRESCRIBED
UNDER THE SECURITIES ACT OF 1933
6. The authority citation for part 239
continues to read in part as follows:
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Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j,
77s, 77z–2, 77z–3, 77sss, 78c, 78l, 78m,78n,
78o(d), 78o–7 note, 78u–5, 78w(a), 78ll,
78mm, 80a–2(a), 80a–3, 80a–8, 80a–9, 80a–
10, 80a–13, 80a–24, 80a–26, 80a–29, 80a–30,
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and 80a–37; and sec. 107, Pub. L. 112–106,
126 Stat. 312, unless otherwise noted.
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
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Washington, D.C. 20549
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7. Amend Form S–1 (referenced in
§ 239.11) by revising the heading of Item
3 to read as follows:
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Note: The text of Form S–1 does not, and
this amendment will not, appear in the Code
of Federal Regulations.
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 3. Summary Information and Risk
Factors.
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■ 8. Amend Form S-3 (referenced in §
239.13) by revising the heading of Item
3 to read as follows:
Note: The text of Form S-3 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
PO 00000
FORM S-3
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 3. Summary Information and Risk
Factors.
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9. Amend Form S-6 (referenced in §
239.16) by revising the last sentence of
the second paragraph of Additional
Instruction 3 in ‘‘Instructions as to
Exhibits’’ to read as follows:
Note: The text of Form S-6 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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FORM S-1
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4. The authority citation for part 232
continues to read in part as follows:
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PART 232—REGULATION S–T—
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
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FORM S-6
[FACING SHEET]
FOR REGISTRATION UNDER THE
SECURITIES ACT OF 1933 OF
SECURITIES OF UNIT INVESTMENT
TRUSTS REGISTERED ON FORM N8B-2
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INSTRUCTIONS AS TO EXHIBITS
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Additional Instructions:
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3. * * *
After completing its review of the
supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 10. Amend Form S-11 (referenced in
§ 239.18) by revising the second
sentence of the first paragraph of
instruction H. under ‘‘General
Instructions’’ and the heading of Item 3
to read as follows:
Note: The text of Form S-11 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-4
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
Washington, D.C. 20549
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FORM S-11
Item 3. Risk Factors and Other
Information.
FOR REGISTRATION UNDER THE
SECURITIES ACT OF 1933 OF
SECURITIES OF CERTAIN REAL
ESTATE COMPANIES
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Item 3. Summary Information and Risk
Factors.
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11. Amend Form N-14 (referenced in
§ 239.23) by revising the last sentence
of the second paragraph of Instruction 3
in Item 16 to read as follows:
Note: The text of Form N-14 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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FORM N-14
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 16. Exhibits
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Instructions:
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H. Eligibility to Use Incorporation by
Reference
* * * Notwithstanding the foregoing,
in the financial statements,
incorporating by reference or crossreferencing to information outside of the
financial statements is not permitted
unless otherwise specifically permitted
or required by the Commission’s rules
or by U.S. Generally Accepted
Accounting Principles or International
Financial Reporting Standards as issued
by the International Accounting
Standards Board, whichever is
applicable. * * *
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3. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 12. Amend Form S-4 (referenced in §
239.25) by revising the heading of Item
3 to read as follows:
Note: The text of Form S-4 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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■ 13. Amend Form F-1 (referenced in §
239.31) by revising the heading of Item
3 to read as follows:
Note: The text of Form F-1 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-1
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 3. Summary Information and Risk
Factors.
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14. Amend Form F-3 (referenced in §
239.33) by revising the heading of Item
3 to read as follows:
Note: The text of Form F-3 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
FORM F-4
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 3. Risk Factors and Other
Information.
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16. Amend Form SF-1 (referenced in
§ 239.44) by revising Item 2 and Item 3
to read as follows:
Note: The text of Form SF-1 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SF-1
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 2. Inside Front and Outside Back
Cover Pages of Prospectus.
Set forth on the inside front cover
page of the prospectus or, where
permitted, on the outside back cover
page, the information required by Item
502 of Regulation S-K (17 CFR 229.502).
Item 3. Transaction Summary and Risk
Factors.
Furnish the information required by
Items 105 and 503 of Regulation S-K (17
CFR 229.105 and 17 CFR 229.503) and
Item 1103 of Regulation AB (17 CFR
229.1103).
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■ 17. Amend Form SF-3 (referenced in
§ 239.45) by revising Item 2 and Item 3
to read as follows:
Note: The text of Form SF-3 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
FORM F-3
Washington, D.C. 20549
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
FORM SF-3
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15. Amend Form F-4 (referenced in
239.34) by revising the heading of Item
3 to read as follows:
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UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
Item 3. Summary Information and Risk
Factors.
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Note: The text of Form F-4 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
PO 00000
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REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
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Item 2. Inside Front and Outside Back
Cover Pages of Prospectus.
Set forth on the inside front cover
page of the prospectus or, where
permitted, on the outside back cover
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page, the information required by Item
502 of Regulation S-K (17 CFR 229.502).
Instruction 3 in ‘‘Instructions as to
Exhibits’’ to read as follows:
Item 25. Financial Statements and
Exhibits
Item 3. Transaction Summary and Risk
Factors.
Note: The text of Form N–5 does not, and
this amendment will not, appear in the Code
of Federal Regulations.
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FORM N-5
Instructions
REGISTRATION STATEMENT OF
SMALL BUSINESS INVESTMENT
COMPANY UNDER THE SECURITIES
ACT OF 1933 AND THE INVESTMENT
COMPANY ACT OF 1940 *
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Furnish the information required by
Items 105 and 503 of Regulation S-K (17
CFR 229.105 and 17 CFR 229.503) and
Item 1103 of Regulation AB (17 CFR
229.1103).
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PART 249—FORMS, SECURITIES
EXCHANGE ACT OF 1934
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18. The authority citation for part 249
continues to read in part as follows:
INSTRUCTIONS AS TO EXHIBITS
Authority: 15 U.S.C. 78a et seq. and 7201
et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350;
Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904;
Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309
(2012); Sec. 107, Pub. L. 112-106, 126 Stat.
313 (2012), and Sec. 72001, Pub. L. 114-94,
129 Stat. 1312 (2015), unless otherwise
noted.
Instructions:
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19. Amend Form 10-D (referenced in
§ 249.312) by revising General
Instruction D(2)(d) to read as follows:
Note: The text of Form 10-D does not,
and this amendment will not, appear in
the Code of Federal Regulations.
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UNITED STATES SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-D
ASSET-BACKED ISSUER
DISTRIBUTION REPORT PURSUANT
TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
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3. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 22. Amend Form N-1A (referenced in
§§ 239.15A and 274.11A) by revising
the last sentence of the second
paragraph of Instruction 4 in Item 28 to
read as follows:
Note: The text of Form N-1A does not,
and this amendment will not, appear in
the Code of Federal Regulations.
FORM N-1A
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Item 28. Exhibits
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PART 274—FORMS PRESCRIBED
UNDER THE INVESTMENT COMPANY
ACT OF 1940
20. The authority citation for part 274
continues to read in part as follows:
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Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s,
78c(b), 78l, 78m, 78n, 78o(d), 80a–8, 80a–24,
80a–26, 80a–29, and Pub. L. 111–203, sec.
939A, 124 Stat. 1376 (2010), unless otherwise
noted.
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■ 21. Amend Form N–5 (referenced in
§§ 239.24 and 274.5) by revising the last
sentence of the second paragraph of
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GENERAL INSTRUCTIONS
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(2) * * *
(d) Exchange Act Rule 12b-23 (17 CFR
240.12b-23) (additional rule on
incorporation by reference for reports
filed pursuant to Sections 13 and 15(d)
of the Act).
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Instructions
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4. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 23. Amend Form N-2 (referenced in
§§ 239.14 and 274.11a-1) by revising the
last sentence of the second paragraph of
Instruction 6 in Item 25.2 to read as
follows:
Note: The text of Form N-2 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
FORM N-2
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2. Exhibits:
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6. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 24. Amend Form N-3 (referenced in
§§ 239.17a and 274.11b) by revising the
last sentence of the second paragraph of
Instruction 5 in Item 29(b) to read as
follows:
Note: The text of Form N-3 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
FORM N-3
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Item 29. Financial Statements and
Exhibits
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(b) Exhibits:
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Instructions
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5. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 25. Amend Form N-4 (referenced in
§§ 239.17b and 274.11c) by revising the
last sentence of the second paragraph of
Instruction 5 in Item 24(b) to read as
follows:
Note: The text of Form N-4 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
FORM N-4
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Item 24. Financial Statements and
Exhibits
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(b) Exhibits:
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Instructions
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5. * * *
* * * After completing its review of
the supplemental information, the
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Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418
(§ 230.418 of this chapter).
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■ 26. Amend Form N-6 (referenced in
§§ 239.17c and 274.11d) by revising the
last sentence of the second paragraph of
Instruction 3 in Item 26 to read as
follows:
Note: The text of Form N-6 does not,
and this amendment will not, appear in
the Code of Federal Regulations.
Dated: August 6, 2019.
Vanessa A. Countryman,
Secretary.
FORM N-6
DCAA Privacy Act Program
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Instructions:
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3. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418 (§
230.418 of this chapter).
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■ 27. Amend Form N-8B-2 (referenced
in § 274.12) by revising the last sentence
of the second paragraph of Instruction 3
in ‘‘IX Exhibits’’ to read as follows:
Note: The text of Form N-8B-2 does
not, and this amendment will not,
appear in the Code of Federal
Regulations.
FORM N-8B-2
REGISTRATION STATEMENT OF
UNIT INVESTMENT TRUSTS WHICH
ARE CURRENTLY ISSUING
SECURITIES
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IX
EXHIBITS
*
*
Instructions:
jspears on DSK3GMQ082PROD with RULES
*
*
*
*
*
3. * * *
* * * After completing its review of
the supplemental information, the
Commission or its staff will return or
destroy it at the request of the registrant,
if the registrant complies with the
procedures outlined in Rule 418
(§ 230.418 of this chapter).
*
*
*
*
*
VerDate Sep<11>2014
16:22 Aug 12, 2019
BILLING CODE P
DEPARTMENT OF DEFENSE
Office of the Secretary
32 CFR Part 317
[Docket ID: DOD–2019–OS–0039]
RIN 0790–AK63
Defense Contract Audit
Agency, DoD. ACTION: Final rule.
SUMMARY: This final rule removes
DoD’s regulation concerning the Defense
Contract Audit Agency (DCAA) Privacy
Program. On April 11, 2019, the
Department of Defense published a
revised DoD-level Privacy Program rule,
which contains the necessary
information for an agency-wide privacy
program regulation under the Privacy
Act and now serves as the single Privacy
Program rule for the Department. That
revised Privacy Program rule also
includes all DoD component exemption
rules. Therefore, this part is now
unnecessary and may be removed from
the CFR.
DATES: This rule is effective on August
13, 2019.
FOR FURTHER INFORMATION CONTACT:
Keith Mastromichalis, 571–448–3153.
SUPPLEMENTARY INFORMATION: DoD now
has a single DoD-level Privacy Program
rule at 32 CFR part 310 (84 FR 14728)
that contains all the codified
information required for the
Department. The DCAA Privacy Act
Program regulation at 32 CFR part 317,
last updated on March 10, 2015 (80 FR
12559), is no longer required and can be
removed.
It has been determined that
publication of this CFR part removal for
public comment is impracticable,
unnecessary, and contrary to public
interest since it is based on the removal
of policies and procedures that are
either now reflected in another CFR
part, 32 CFR 310, or are publicly
available on the Department’s website.
To the extent that DCAA internal
guidance concerning the
implementation of the Privacy Act
within DCAA is necessary, it will
continue to be published in ‘‘The
Privacy Act, an Employee Guide to
Privacy,’’ available at https://
www.dcaa.mil/Content/Documents/
Privacy_Act_Guide.pdf (March 1, 2016).
AGENCY:
Item 26. Exhibits
*
[FR Doc. 2019–17138 Filed 8–12–19; 8:45 am]
Jkt 247001
PO 00000
Frm 00012
Fmt 4700
Sfmt 4700
This rule is one of 20 separate
component Privacy rules. With the
finalization of the DoD-level Privacy
rule at 32 CFR part 310, the Department
eliminated the need for this component
Privacy rule, thereby reducing costs to
the public as explained in the preamble
of the DoD-level Privacy rule published
on April 11, 2019, at 84 FR 14728–
14811.
This rule is not significant under
Executive Order (E.O.) 12866,
‘‘Regulatory Planning and Review.’’
Therefore, E.O. 13771, ‘‘Reducing
Regulation and Controlling Regulatory
Costs’’ does not apply.
List of Subjects in 32 CFR Part 317
Privacy.
PART 317—[REMOVED]
Accordingly, by the authority of 5
U.S.C. 301, 32 CFR part 317 is removed.
■
Dated: August 6, 2019.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison
Officer, Department of Defense.
[FR Doc. 2019–17162 Filed 8–12–19; 8:45 am]
BILLING CODE 5001–06–P
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 138
[Docket No. USCG–2019–0392]
RIN 1625–AC53
Consumer Price Index Adjustments of
Oil Pollution Act of 1990 Limits of
Liability—Vessels, Deepwater Ports
and Onshore Facilities
Coast Guard, DHS.
Final rule.
AGENCY:
ACTION:
SUMMARY: The Coast Guard is issuing
this final rule to adjust the limits of
liability for vessels, deepwater ports,
and onshore facilities under the Oil
Pollution Act of 1990 (OPA 90), as
amended, to reflect the increase in the
Consumer Price Index since 2015. These
regulatory inflation increases to the
limits of liability are required by OPA
90 and are necessary to preserve the
deterrent effect and ‘‘polluter pays’’
principle embodied in the Act. This
update promotes the Coast Guard’s
missions of maritime safety and
stewardship.
DATES: This final rule is effective on
November 12, 2019.
ADDRESSES: Documents mentioned in
this rule are available in our online
E:\FR\FM\13AUR1.SGM
13AUR1
]]>Agencies
[Federal Register Volume 84, Number 156 (Tuesday, August 13, 2019)]
[Rules and Regulations]
[Pages 39966-39970]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-17138]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 229, 232, 239, 249, and 274
[Release No. 33-10618A; 34-85381A; IA-5206A; IC-33426A; File No. S7-08-
17]
RIN 3235-AM00
FAST Act Modernization and Simplification of Regulation S-K;
Correction
AGENCY: Securities and Exchange Commission.
ACTION: Final rule; technical correction.
-----------------------------------------------------------------------
SUMMARY: This document makes technical corrections to certain
amendments to the Commission's disclosure rules and forms adopted in
Release No. 33-10618 (March 20, 2019), which was published in the
Federal Register on April 2, 2019. Specifically, this document
reinstates certain item headings in registration statement forms under
the Securities Act of 1933 that were inadvertently changed; relocates
certain amendments to the correct item numbers in these forms and
reinstates text that was inadvertently removed; corrects a portion of
the exhibit table in Item 601(a) of Regulation S-K to make it
consistent with the regulatory text of the amendments; and corrects
certain typographical errors and a cross-reference in the regulatory
text of the amendments.
DATES: Effective August 13, 2019.
FOR FURTHER INFORMATION CONTACT: Charles Kwon, Office of Rulemaking,
Division of Corporation Finance, at (202) 551-3430, or Michael C.
Pawluk, Investment Company Rulemaking Office, Division of Investment
Management, at (202) 551-6792, U.S. Securities and Exchange Commission,
100 F Street NE, Washington, DC 20549.
SUPPLEMENTARY INFORMATION: We are making technical corrections to:
----------------------------------------------------------------------------------------------------------------
Commission reference CFR citation (17 CFR)
----------------------------------------------------------------------------------------------------------------
Regulation S-K....................................... Sec. Sec. 229.10 through 229.1305.
Item 202......................................... Sec. 229.202.
Item 601......................................... Sec. 229.601.
Regulation S-T....................................... Sec. Sec. 232.10 through 232.903.
Rule 105......................................... Sec. 232.105.
Securities Act of 1933: \1\
Form S-1......................................... Sec. 239.11.
Form S-3......................................... Sec. 239.13.
Form S-6......................................... Sec. 239.16.
Form S-11........................................ Sec. 239.18.
Form N-14........................................ Sec. 239.23.
Form S-4......................................... Sec. 239.25.
Form F-1......................................... Sec. 239.31.
Form F-3......................................... Sec. 239.33.
Form F-4......................................... Sec. 239.34.
Form SF-1........................................ Sec. 239.44.
Form SF-3........................................ Sec. 239.45.
Securities Exchange Act of 1934: \2\
Form 10-D........................................ Sec. 249.312.
Investment Company Act of 1940: \3\
Form N-8B-2...................................... Sec. 274.12.
Securities Act of 1933 and Investment Company Act of
1940:
Form N-1A........................................ Sec. Sec. 239.15A and 274.11A.
Form N-2......................................... Sec. Sec. 239.14 and 274.11a-1.
Form N-3......................................... Sec. Sec. 239.17a and 274.11b.
Form N-4......................................... Sec. Sec. 239.17b and 274.11c.
Form N-5......................................... Sec. Sec. 239.24 and 274.5.
Form N-6......................................... Sec. Sec. 239.17c and 274.11d.
----------------------------------------------------------------------------------------------------------------
\1\ 15 U.S.C. 77a et seq.
\2\ 15 U.S.C. 78a et seq.
\3\ 15 U.S.C. 80a-1 et seq.
[[Page 39967]]
List of Subjects in 17 CFR Parts 229, 232, 239, 249, and 274
Reporting and recordkeeping requirements, Securities.
For the reasons set out above, we are amending title 17, chapter II
of the Code of Federal Regulations as follows:
PART 229--STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES
ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND
CONSERVATION ACT OF 1975--REGULATION S-K
0
1. The authority citation for part 229 continues to read as follows:
Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2,
77z-3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj,
77nnn, 77sss, 78c, 78i, 78j, 78j-3, 78l, 78m, 78n, 78n-1, 78o, 78u-
5, 78w, 78ll, 78mm, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c),
80a-37, 80a-38(a), 80a-39, 80b-11 and 7201 et seq.; 18 U.S.C. 1350;
sec. 953(b), Pub. L. 111-203, 124 Stat. 1904 (2010); and sec.
102(c), Pub. L. 112-106, 126 Stat. 310 (2012).
Sec. 229.202 [Amended]
0
2. Amend Sec. 229.202 in Instruction 3 under ``Instructions to Item
202'' by removing the phrase ``U.S.C. 77aaa et seq.'' and adding in its
place ``15 U.S.C. 77aaa et seq.''
0
3. Amend Sec. 229.601 by revising entries (4) and (104) to the exhibit
table in paragraph (a) to read as follows:
Sec. 229.601 (Item 601) Exhibits.
* * * * *
Exhibit Table
* * * * *
Exhibit Table
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * * * *
(4) Instruments defining the rights of securities X X X X X X X X X X X X X X X
holders, including indentures, (i) through (v)..........
(vi) Description of registrant's securities.............. ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... X
* * * * * * *
(104) Cover Page Interactive Data File................... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... X ....... X X
* * * * * * *
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * *
PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS
0
4. The authority citation for part 232 continues to read in part as
follows:
Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c),
80a-8, 80a-29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350,
unless otherwise noted.
* * * * *
Sec. 232.105 [Amended]
0
5. Amend Sec. 232.105, in paragraph (d), in Instruction 2 under
``Instructions to paragraph (d)'', by removing the phrase ``in the case
of a foreign private issuer (as defined in Sec. 229.405 of this
chapter)'' and adding in its place ``in the case of a foreign private
issuer (as defined in Sec. 230.405 of this chapter)''.
PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
0
6. The authority citation for part 239 continues to read in part as
follows:
Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3,
77sss, 78c, 78l, 78m,78n, 78o(d), 78o-7 note, 78u-5, 78w(a), 78ll,
78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26,
80a-29, 80a-30, and 80a-37; and sec. 107, Pub. L. 112-106, 126 Stat.
312, unless otherwise noted.
* * * * *
0
7. Amend Form S-1 (referenced in Sec. 239.11) by revising the heading
of Item 3 to read as follows:
Note: The text of Form S-1 does not, and this amendment will
not, appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-1
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Summary Information and Risk Factors.
* * * * *
0
8. Amend Form S-3 (referenced in Sec. 239.13) by revising the heading
of Item 3 to read as follows:
Note: The text of Form S-3 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-3
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Summary Information and Risk Factors.
* * * * *
0
9. Amend Form S-6 (referenced in Sec. 239.16) by revising the last
sentence of the second paragraph of Additional Instruction 3 in
``Instructions as to Exhibits'' to read as follows:
Note: The text of Form S-6 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM S-6
[FACING SHEET]
FOR REGISTRATION UNDER THE SECURITIES ACT OF 1933 OF SECURITIES OF UNIT
INVESTMENT TRUSTS REGISTERED ON FORM N-8B-2
* * * * *
INSTRUCTIONS AS TO EXHIBITS
* * * * *
[[Page 39968]]
Additional Instructions:
* * * * *
3. * * *
After completing its review of the supplemental information, the
Commission or its staff will return or destroy it at the request of the
registrant, if the registrant complies with the procedures outlined in
Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
10. Amend Form S-11 (referenced in Sec. 239.18) by revising the second
sentence of the first paragraph of instruction H. under ``General
Instructions'' and the heading of Item 3 to read as follows:
Note: The text of Form S-11 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-11
FOR REGISTRATION UNDER THE SECURITIES ACT OF 1933 OF SECURITIES OF
CERTAIN REAL ESTATE COMPANIES
* * * * *
H. Eligibility to Use Incorporation by Reference
* * * Notwithstanding the foregoing, in the financial statements,
incorporating by reference or cross-referencing to information outside
of the financial statements is not permitted unless otherwise
specifically permitted or required by the Commission's rules or by U.S.
Generally Accepted Accounting Principles or International Financial
Reporting Standards as issued by the International Accounting Standards
Board, whichever is applicable. * * *
* * * * *
Item 3. Summary Information and Risk Factors.
* * * * *
0
11. Amend Form N-14 (referenced in Sec. 239.23) by revising the last
sentence of the second paragraph of Instruction 3 in Item 16 to read as
follows:
Note: The text of Form N-14 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 16. Exhibits
* * * * *
Instructions:
* * * * *
3. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
12. Amend Form S-4 (referenced in Sec. 239.25) by revising the heading
of Item 3 to read as follows:
Note: The text of Form S-4 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-4
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Risk Factors and Other Information.
* * * * *
0
13. Amend Form F-1 (referenced in Sec. 239.31) by revising the heading
of Item 3 to read as follows:
Note: The text of Form F-1 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-1
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Summary Information and Risk Factors.
* * * * *
0
14. Amend Form F-3 (referenced in Sec. 239.33) by revising the heading
of Item 3 to read as follows:
Note: The text of Form F-3 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-3
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Summary Information and Risk Factors.
* * * * *
0
15. Amend Form F-4 (referenced in 239.34) by revising the heading of
Item 3 to read as follows:
Note: The text of Form F-4 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-4
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 3. Risk Factors and Other Information.
* * * * *
0
16. Amend Form SF-1 (referenced in Sec. 239.44) by revising Item 2 and
Item 3 to read as follows:
Note: The text of Form SF-1 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SF-1
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 2. Inside Front and Outside Back Cover Pages of Prospectus.
Set forth on the inside front cover page of the prospectus or,
where permitted, on the outside back cover page, the information
required by Item 502 of Regulation S-K (17 CFR 229.502).
Item 3. Transaction Summary and Risk Factors.
Furnish the information required by Items 105 and 503 of Regulation
S-K (17 CFR 229.105 and 17 CFR 229.503) and Item 1103 of Regulation AB
(17 CFR 229.1103).
* * * * *
0
17. Amend Form SF-3 (referenced in Sec. 239.45) by revising Item 2 and
Item 3 to read as follows:
Note: The text of Form SF-3 does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SF-3
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
* * * * *
Item 2. Inside Front and Outside Back Cover Pages of Prospectus.
Set forth on the inside front cover page of the prospectus or,
where permitted, on the outside back cover
[[Page 39969]]
page, the information required by Item 502 of Regulation S-K (17 CFR
229.502).
Item 3. Transaction Summary and Risk Factors.
Furnish the information required by Items 105 and 503 of Regulation
S-K (17 CFR 229.105 and 17 CFR 229.503) and Item 1103 of Regulation AB
(17 CFR 229.1103).
* * * * *
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
0
18. The authority citation for part 249 continues to read in part as
follows:
Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C.
5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124
Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012);
Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001,
Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.
* * * * *
0
19. Amend Form 10-D (referenced in Sec. 249.312) by revising General
Instruction D(2)(d) to read as follows:
Note: The text of Form 10-D does not, and this amendment will not,
appear in the Code of Federal Regulations.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-D
ASSET-BACKED ISSUER DISTRIBUTION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
GENERAL INSTRUCTIONS
* * * * *
D. * * *
(2) * * *
(d) Exchange Act Rule 12b-23 (17 CFR 240.12b-23) (additional rule
on incorporation by reference for reports filed pursuant to Sections 13
and 15(d) of the Act).
* * * * *
PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
0
20. The authority citation for part 274 continues to read in part as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m,
78n, 78o(d), 80a-8, 80a-24, 80a-26, 80a-29, and Pub. L. 111-203,
sec. 939A, 124 Stat. 1376 (2010), unless otherwise noted.
* * * * *
0
21. Amend Form N-5 (referenced in Sec. Sec. 239.24 and 274.5) by
revising the last sentence of the second paragraph of Instruction 3 in
``Instructions as to Exhibits'' to read as follows:
Note: The text of Form N-5 does not, and this amendment will
not, appear in the Code of Federal Regulations.
FORM N-5
REGISTRATION STATEMENT OF SMALL BUSINESS INVESTMENT COMPANY UNDER THE
SECURITIES ACT OF 1933 AND THE INVESTMENT COMPANY ACT OF 1940 *
* * * * *
INSTRUCTIONS AS TO EXHIBITS
* * * * *
Instructions:
* * * * *
3. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
22. Amend Form N-1A (referenced in Sec. Sec. 239.15A and 274.11A) by
revising the last sentence of the second paragraph of Instruction 4 in
Item 28 to read as follows:
Note: The text of Form N-1A does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-1A
* * * * *
Item 28. Exhibits
* * * * *
Instructions
* * * * *
4. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
23. Amend Form N-2 (referenced in Sec. Sec. 239.14 and 274.11a-1) by
revising the last sentence of the second paragraph of Instruction 6 in
Item 25.2 to read as follows:
Note: The text of Form N-2 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-2
* * * * *
Item 25. Financial Statements and Exhibits
* * * * *
2. Exhibits:
* * * * *
Instructions
* * * * *
6. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
24. Amend Form N-3 (referenced in Sec. Sec. 239.17a and 274.11b) by
revising the last sentence of the second paragraph of Instruction 5 in
Item 29(b) to read as follows:
Note: The text of Form N-3 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-3
* * * * *
Item 29. Financial Statements and Exhibits
* * * * *
(b) Exhibits:
* * * * *
Instructions
* * * * *
5. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
25. Amend Form N-4 (referenced in Sec. Sec. 239.17b and 274.11c) by
revising the last sentence of the second paragraph of Instruction 5 in
Item 24(b) to read as follows:
Note: The text of Form N-4 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-4
* * * * *
Item 24. Financial Statements and Exhibits
* * * * *
(b) Exhibits:
* * * * *
Instructions
* * * * *
5. * * *
* * * After completing its review of the supplemental information,
the
[[Page 39970]]
Commission or its staff will return or destroy it at the request of the
registrant, if the registrant complies with the procedures outlined in
Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
26. Amend Form N-6 (referenced in Sec. Sec. 239.17c and 274.11d) by
revising the last sentence of the second paragraph of Instruction 3 in
Item 26 to read as follows:
Note: The text of Form N-6 does not, and this amendment will not,
appear in the Code of Federal Regulations.
FORM N-6
* * * * *
Item 26. Exhibits
* * * * *
Instructions:
* * * * *
3. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
0
27. Amend Form N-8B-2 (referenced in Sec. 274.12) by revising the last
sentence of the second paragraph of Instruction 3 in ``IX Exhibits'' to
read as follows:
Note: The text of Form N-8B-2 does not, and this amendment will
not, appear in the Code of Federal Regulations.
FORM N-8B-2
REGISTRATION STATEMENT OF UNIT INVESTMENT TRUSTS WHICH ARE CURRENTLY
ISSUING SECURITIES
* * * * *
IX
EXHIBITS
* * * * *
Instructions:
* * * * *
3. * * *
* * * After completing its review of the supplemental information,
the Commission or its staff will return or destroy it at the request of
the registrant, if the registrant complies with the procedures outlined
in Rule 418 (Sec. 230.418 of this chapter).
* * * * *
Dated: August 6, 2019.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2019-17138 Filed 8-12-19; 8:45 am]
BILLING CODE P
