Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.

OMB 3235-0522

OMB 3235-0522

Rule 701 requires issuers conducting employee benefit plan offerings in excess of $5 million in reliance on the rule to provide the employee covered by the plan with risk and financial statement disclosures.

The latest form for Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation. expires 2022-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material
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Name
Supporting Statement A
Supplementary Document
Supplementary Document
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2022-08-23
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2021-04-28
Revision of a currently approved collection 2020-12-31
Approved without change
 Extension without change of a currently approved collection 2019-05-23
Approved without change
 Revision of a currently approved collection 2018-08-03
Approved with change
 No material or nonsubstantive change to a currently approved collection 2018-06-20
Approved without change
 Extension without change of a currently approved collection 2017-06-29
Approved without change
 Extension without change of a currently approved collection 2014-03-27
Approved without change
 Extension without change of a currently approved collection 2011-02-14
Approved without change
 Extension without change of a currently approved collection 2008-02-15
Approved without change
 Extension without change of a currently approved collection 2005-03-07
Approved without change
 Extension without change of a currently approved collection 2002-03-14
Approved without change
 New collection (Request for a new OMB Control Number) 1999-03-05
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