[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: 17CFR239.9]

[Page 634]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933--Table of Contents
 
              Subpart A--Forms for Registration Statements
 
Sec. 239.9  Form SB-1, optional form for the registration of securities to be sold to the public by certain small business issuers.

    Small business issuers, as defined in Rule 405 (17 CFR 230.405 of 
this chapter), may use this form to register up to $10,000,000 of 
securities to be sold for cash, if they have not registered more than 
$10,000,000 in securities offerings in any continuous 12-month period, 
including the transaction being registered. In calculating the 
$10,000,000 ceiling, issuers should include all offerings which were 
registered under the Securities Act, other than any amounts registered 
on Form S-8 (Sec. 239.16b).

[58 FR 26515, May 4, 1993]

    Editorial Note: For Federal Register citations affecting Form SB-1, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.