17 CFR § 239.200 - Form 1-E, notification under Regulation E.

---
identifier: "/us/cfr/t17/s239.200"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 239.200 - Form 1-E, notification under Regulation E."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "239.200"
section_name: "Form 1-E, notification under Regulation E."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "239"
part_name: "FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933"
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. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78 78m, 78n, 78(d), 78-7 note, 78u-5, 78w(a), 78 78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, 80a-37, and sec. 71003 and sec. 84001, Pub. L. 114-94, 129 Stat. 1321, unless otherwise noted."
regulatory_source: "33 FR 18991, Dec. 20, 1968, unless otherwise noted."
cfr_part: "239"
---


# 239.200 Form 1-E, notification under Regulation E.

This form shall be used for notification pursuant to Rule 604 (§ 230.604 of this chapter) of Regulation E (§§ 230.601-230.610a of this chapter) by a small business investment company or business development company described in Rule 602 (§ 230.602 of this chapter).

(Secs 3(b) and 3(c), Securities Act of 1933 (15 U.S.C. 77c (b) and (c); sec. 38, Investment Company Act of 1940 (15 U.S.C. 80a-37))

[49 FR 35347, Sept. 7, 1984]

For  citations affecting Form 1-E, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at