CFR > Title 17 - Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 > SUBPART B—Forms Pertaining to Exemptions (§239.90 to §239.800) > 239.200—Form 1-E, notification under Regulation E.

239.200—Form 1-E, notification under Regulation E.

This form shall be used for notification pursuant to Rule 604 ( § 230.604 of this chapter) of Regulation E ( §§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 ( § 230.602 of this chapter ).

Code of Federal Regulations

(Secs 3(b) and 3(c), Securities Act of 1933 ( 15 U.S.C. 77c (b) and (c); sec. 38, Investment Company Act of 1940 ( 15 U.S.C. 80a-37 ))

Code of Federal Regulations

[49 FR 35347, Sept. 7, 1984]

Code of Federal Regulations

Editorial Note: For Federal Register citations Form 1-E, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.