17 CFR 210.5-01

§ 210.5-01 Application of §§ 210.5-01 to 210.5-04.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

Cite this

Citation: 17 CFR 210.5-01, § 210.5-01 Application of §§ 210.5-01 to 210.5-04, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68292
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Full text

Sections 210.5-01 to 210.5-04 shall be applicable to financial statements filed for all persons except— (a) Registered investment companies (see§§ 210.6-01 through 210.6-11). (b) Employee stock purchase, savings and similar plans (see §§ 210.6A-01 to 210.6A-05). (c) Insurance companies (see §§ 210.7-01 to 210.7-05). (d) Bank holding companies and banks (see §§ 210.9-01 to 210.9-07). (e) Brokers and dealers when filing Form X-17A-5 [249.617] (see §§ 240.17a-5 and 240.17a-10 under the Securities Exchange Act of 1934).

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.