[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR210.5-01]

[Page 263]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 210--FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS,
 
Sec. 210.5-01  Application of Secs. 210.5-01 to 210.5-04.

    Sections 210.5-01 to 210.5-04 shall be applicable to financial 
statements filed for all persons except--
    (a) Registered investment companies (see Secs. 210.6-01 to 210.6-
10).
    (b) Employee stock purchase, savings and similar plans (see 
Secs. 210.6A-01 to 210.6A-05).
    (c) Insurance companies (see Secs. 210.7-01 to 210.7-05).
    (d) Bank holding companies and banks (see Secs. 210.9-01 to 210.9-
07).
    (e) Brokers and dealers when filing Form X-17A-5 [249.617] (see 
Secs. 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 
1934).

[50 FR 49533, Dec. 3, 1985]