General Rules and Regulations
promulgated
under the
Securities Act of 1933
Rule 489 -- Filing of Form by Foreign Banks and Insurance Companies and Certain of Their Holding Companies and Finance Subsidiaries
The following foreign issuers shall file Form F-N
under the Act appointing an agent for service of process when filing a registration
statement under the Act:
A foreign issuer that is a foreign bank
or foreign insurance company excepted from the definition of investment
company by rule 3a-6 under the
Investment Company Act of 1940 (the "1940 Act");
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 under the 1940 Act; or
A foreign issuer that is excepted from the
definition of investment company by rule
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.
The requirements of paragraph (a) of this section shall
not apply to:
A foreign issuer that has filed Form
F-X under the Securities Act of 1933 with respect to the securities being offered;
and
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 under the 1940
Act.
Six copies of Form F-N, one of which shall be
manually signed, shall be filed with the Commission at its principal office.
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