[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: 17CFR230.153a]

[Page 486]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
 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--Table of Contents
 
       Subpart 229.1000--Mergers and Acquisitions (Regulation M-A)
 
Sec. 230.153a  Definition of ``preceded by a prospectus'' as used in section 5(b)(2) of the Act, in relation to certain transactions requiring approval of           security holders.

    The term preceded by a prospectus, as used in section 5(b)(2) of the 
Act with respect to any requirement for the delivery of a prospectus to 
security holders of a corporation or other person, in connection with 
transactions of the character specified in paragraph (a) of 
Sec. 230.145, shall mean the delivery of a prospectus:
    (a) Prior to the vote of security holders on such transactions; or,
    (b) With respect to actions taken by consent, prior to the earliest 
date on which the corporate action may be taken; to all security holders 
of record of such corporation or other person, entitled to vote on or 
consent to the proposed transaction, at their address of record on the 
transfer records of the corporation or other person.

[37 FR 23636, Nov. 7, 1972]