Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.230.489 Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries

(1) A foreign issuer that is a foreign bank or foreign insurance company excepted from the definition of investment company by rule 3a–6 (17 CFR 270.3a–6) under the Investment Company Act of 1940 (the “1940 Act”);

(2) A foreign issuer that is a finance subsidiary of a foreign bank or foreign insurance company, as those terms are defined in rule 3a–6 under the 1940 Act, if the finance subsidiary is excepted from the definition of investment company by rule 3a–5 [17 CFR 270.3a–5] under the 1940 Act;  or

(3) A foreign issuer that is excepted from the definition of investment company by rule 3a–1 (17 CFR 270.3a–1) under the 1940 Act because some or all of its majority-owned subsidiaries are foreign banks or insurance companies excepted from the definition of investment company by rule 3a–6 under the 1940 Act.

(1) A foreign issuer that has filed Form F–X (17 CFR 239.42) under the Securities Act of 1933 with respect to the securities being offered;  and

(2) A foreign issuer filing a registration statement relating to debt securities or non-voting preferred stock that has on file with the Commission a currently accurate Form N–6C9 (17 CFR 274.304, rescinded) under the 1940 Act.