17 CFR § 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used.

---
identifier: "/us/cfr/t17/s229.1009"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 229.1009 - (Item 1009) Persons/assets, retained, employed, compensated or used."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "229.1009"
section_name: "(Item 1009) Persons/assets, retained, employed, compensated or used."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "229"
part_name: "STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2, 77z-3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78j-3, 78l, 78m, 78n, 78n-1, 78o, 78u-5, 78w, 78ll, 78 mm, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c), 80a-37, 80a-38(a), 80a-39, 80b-11 and 7201  18 U.S.C. 1350; sec. 953(b), Pub. L. 111-203, 124 Stat. 1904 (2010); and sec. 102(c), Pub. L. 112-106, 126 Stat. 310 (2012)."
regulatory_source: "47 FR 11401, Mar. 16, 1982, unless otherwise noted."
cfr_part: "229"
---


# 229.1009 (Item 1009) Persons/assets, retained, employed, compensated or used.

(a) *Solicitations or recommendations.* Identify all persons and classes of persons that are directly or indirectly employed, retained, or to be compensated to make solicitations or recommendations in connection with the transaction. Provide a summary of all material terms of employment, retainer or other arrangement for compensation.

(b) *Employees and corporate assets.* Identify any officer, class of employees or corporate assets of the subject company that has been or will be employed or used by the filing person in connection with the transaction. Describe the purpose for their employment or use.

*Instruction to Item 1009(b)*: Provide all information required by this Item except for the information required by paragraph (a) of this section and Item 1007 of Regulation M-A (§ 229.1007).