17 CFR 240.16a-13

§ 240.16a-13 Change in form of beneficial ownership.

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

Cite this

Citation: 17 CFR 240.16a-13, § 240.16a-13 Change in form of beneficial ownership, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69323
Permanent ID: ys:prov:69323@1
SHA-256: c96a3c8810ffaf7917497bdf73af7847f5f9260618abb4fee93a96c2f579e2c6

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Full text

A transaction, other than the exercise or conversion of a derivative security or deposit into or withdrawal from a voting trust, that effects only a change in the form of beneficial ownership without changing a person's pecuniary interest in the subject equity securities shall be exempt from section 16 of the Act.

Legislative history

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