Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)

OMB 3235-0464

OMB 3235-0464

Rule 101 restricts certain activities of distribution participants and their affiliated purchasers during the distribution period. The proposed amendments would require distribution participants and their affiliated purchasers to maintain records of all instances of reliance on the de minimis transactions exception from Rule 101 of Regulation M.

The latest form for Rule 101, 17 CFR 242.101 (Activities by Distribution Participants) expires 2023-07-31 and can be found here.

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