C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933

17 C.F.R. § 230.409

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Information required need be given only insofar as it is known or reasonably available to the registrant. If any required information is unknown and not reasonably available to the registrant, either because the obtaining thereof could involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person not affiliated with the registrant, the information may be omitted, subject to the following conditions:

(a) The registrant shall give such information on the subject as it possesses or can acquire without unreasonable effort or expense, together with the sources thereof.

(b) The registrant shall include a statement either showing that unreasonable effort or expense would be involved or indicating the absence of any affiliation with the person within whose knowledge the information rests and stating the result of a request made to such person for the information.

[Reg. C, 12 FR 4072, June 24, 1947, as amended at 14 FR 91, Jan. 7, 1949]
Notes of Decisions
Cited in 4 cases, 2013–2017 · leading case: Federal Housing Finance Agency v. Nomura Holding America, Inc.
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Federal Housing Finance Agency v. Nomura Holding America, Inc. (2017) ca2 “See 17 C.F.R. §§ 230.409 , 230.415. The shelf registration enabled the lead PLS underwriter to make written offers to potential buyers using a free writing prospectus.”
Federal Housing Finance Agency v. Nomura Holding America, Inc. (2015) nysd · cites it 2× “See 17 C.F.R. §§ 230.409 , .415; [UBS I, 2012 WL 2400263 , at *2], Asset-backed securities are subject to an elaborate regulatory regime.”
Gaynor v. Miller (2017) tned “” (citing 17 C.F.R. §§ 230.409 , 230.415, 230.430A)).”
Federal Housing Finance Agency v. HSBC North America Holdings Inc. (2013) nysd “17 C.F.R. §§ 230.409 , 230.415, 230.430A.”
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