# 17 CFR § 270.45a-1: Confidential treatment of names and addresses of dealers of registered investment company securities

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-270.45a-1

## Section

- **Citation:** 17 CFR § 270.45a-1
- **Heading:** Confidential treatment of names and addresses of dealers of registered investment company securities
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940

## Text

(a) Exhibits calling for the names and addresses of dealers to or through whom principal underwriters of registered investment companies are currently offering securities and which are required to be furnished with registration statements filed pursuant to section 8(b) of the Act (54 Stat. 804; 15 U.S.C. 80a-8), or periodic reports filed pursuant to section 30(a) or section 30(b)(1) of the Act (54 Stat. 836; 15 U.S.C. 80a-30), shall be the subject of confidential treatment and shall not be made available to the public, except that the Commission may by order make such exhibits available to the public if, after appropriate notice and opportunity for hearing, it finds that public disclosure of such material is necessary or appropriate in the public interest or for the protection of investors.
(b) The exhibits referred to in paragraph (a) of this section shall be filed in quadruplicate with the Commission at the time the registration statement or periodic report is filed. Such exhibits shall be enclosed in a separate envelope marked “Confidential Treatment” and addressed to the Chairman, Securities and Executive Commission, Washington, DC. Confidential treatment requests shall be submitted in paper only, whether or not the registrant is required to file in electronic format.
[Rule N-45A-1, 7 FR 197, Jan. 10, 1942, as amended at 20 FR 7036, Sept. 20, 1955; 58 FR 14860, Mar. 18, 1993]

## Nearby sections

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-270.45a-1. Check the current official text before relying on it. Not legal advice.