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

17 C.F.R. § 210.5-01
in effectEffective: 2024-07-01
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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).

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