General Rules and Regulations for
Rule 311 -- Documents Submitted in Paper Under Cover of Form SE [Effective until
Nov. 4, 2002.]
Form SE shall be filed as a paper cover sheet to the following documents submitted
to the Commission in paper:
Exhibits filed in paper pursuant to a hardship
exemption shall be filed under cover of Form SE. See Rules 201
and 202 of Regulation S-T.
Exhibits to a Commission schedule filed pursuant
to Section 13 or 14(d)
of the Exchange Act may be filed in paper under cover of Form SE where such
exhibits previously were filed in paper (prior to a registrant's becoming
subject to mandated electronic filing or pursuant to a hardship exemption)
and are required to be refiled pursuant to the schedule's general instructions.
Annual Reports to Security Holders furnished by
Public Utility Holding Companies as Exhibit A to Form U5S or under rule 29
shall be filed in paper under cover of Form SE.
Reports to State Commissions, if furnished by Public
Utility Holding Companies as Exhibit E to Form USS, shall be filed in paper
under cover of Form SE.
Maps furnished by Public Utility Holding Companies
under Exhibits E to Forms U5B and U-1 shall be filed in paper under cover
of Form SE.
The Form SE shall be submitted in the following
If the subject of a temporary hardship exemption
is an exhibit only, the exhibit shall be filed under cover of Form SE
no later than one business day after the date the exhibit was to be filed
An exhibit filed pursuant to a continuing
hardship exemption, or any other document filed in paper under cover of
Form SE (other than an exhibit filed pursuant to a temporary hardship
exemption), as allowed by paragraphs (a) through (g) of this section,
may be filed up to six business days prior to, or on the date of filing
of, the electronic format document to which it relates but shall not be
filed after such filing date. If a paper document is submitted in this
manner, requirements that the document be filed with, provided with or
accompany the electronic filing shall be satisfied.
Any requirements as to delivery or furnishing the
information to persons other than the Commission shall not be affected by
Computational materials filed as an exhibit to Form
8-K by issuers of an "asset-backed security," as that term is defined
in General Instruction I.B.5 of Form S-3.
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