# 17 C.F.R. § 240.12b-37 (2026): Satisfaction of filing requirements

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_12b_37

## Section

- **Citation:** 17 C.F.R. § 240.12b-37 (2026)
- **Heading:** Satisfaction of filing requirements
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 240: GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 / Subpart A: Rules and Regulations Under the Securities Exchange Act of 1934 / § 240.12b-37: § 240.12b-37   Satisfaction of filing requirements.

## Text

With regard to issuers eligible to rely on Release No. 34-45589 (March 18, 2002) or Release No. IC-25463 (March 18, 2002) (each of which may be viewed on the Commission's website at
www.sec.gov
), filings made in accordance with the provisions of those Releases shall satisfy the issuer's requirement to make such a filing under Section 13(a), 14 or 15(d) of the Act (15 U.S.C. 77m(a), 78n or 78o(d)), as applicable, and the Commission's rules and regulations thereunder.
[67 FR 13537, Mar. 22, 2002]

## Nearby sections

- [17 C.F.R. § 240.0-1 (2026) § 240.0-1   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_1.md)
- [17 C.F.R. § 240.0-2 (2026) § 240.0-2   Business hours of the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_2.md)
- [17 C.F.R. § 240.0-4 (2026) § 240.0-4   Nondisclosure of information obtained in examinations and investigations.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4.md)
- [17 C.F.R. § 240.0-5 (2026) § 240.0-5   Reference to rule by obsolete designation.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_5.md)
- [17 C.F.R. § 240.0-6 (2026) § 240.0-6   Disclosure detrimental to the national defense or foreign policy.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_6.md)
- [17 C.F.R. § 240.0-8 (2026) § 240.0-8   Application of rules to registered broker-dealers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_8.md)
- [17 C.F.R. § 240.0-10 (2026) § 240.0-10   Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_10.md)
- [17 C.F.R. § 240.0-12 (2026) § 240.0-12   Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_12.md)
- [17 C.F.R. § 240.0-13 (2026) § 240.0-13   Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_13.md)
- [17 C.F.R. § 240.3a1-1 (2026) § 240.3a1-1   Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a1_1.md)
- [17 C.F.R. § 240.3a4-1 (2026) § 240.3a4-1   Associated persons of an issuer deemed not to be brokers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a4_1.md)
- [17 C.F.R. § 240.3a5-2 (2026) § 240.3a5-2   Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_2.md)
- [17 C.F.R. § 240.3a5-3 (2026) § 240.3a5-3   Exemption from the definition of “dealer” for banks engaging in securities lending transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_3.md)
- [17 C.F.R. § 240.3a11-1 (2026) § 240.3a11-1   Definition of the term “equity security.”](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a11_1.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_12b_37. Check the current official text before relying on it. Not legal advice.