Statement of Basis and Purpose

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Administrative
43 FR 34443	Final Rule	August 4, 1978	Correction of omitted pages from 43 FR 33450
43 FR 36053	Final Rule	August 15, 1978	Corrections to 43 FR 33450 and 34443
47 FR 29182	Notice	July 2, 1982	Notice of request for comments on paperwork burden reduction
54 FR 7960	Proposed Rule	February 24, 1989	Advance notice of proposed rulemaking and request for comments—more inclusive definition of “control” No Final Rule issued
54 FR 21425	Final Rule	May 18, 1989	Interim rule for early terminations procedure
63 FR 66546	Notice	December 2, 1998	Change the effective date of 63 FR 54713 to 2/1/99
64 FR 5808	Notice	February 2, 1999	Change the effective date of 63 FR 54713 to 3/1/99
64 FR 34804	Notice	June 29, 1999	Change the effective date of 63 FR 54713 to 7/1/99
64 FR 51763	Notice	September 24, 1999	Affidavit and Certification Formal Interpretation 16—only one original affidavit and certification required with filings
65 FR 17880	Notice	April 4, 2000	Banking and non-banking businesses under (c)(7) and (c)(8) as amended by the Gramm-Leach-Bliley Act. Formal Interpretation 17
66 FR 16241	Notice	March 23, 2001	Amendment of Formal Interpretation 15 to incorporate new thresholds
67 FR 13716	Final Rule	March 26, 2002	Correction to §802.51 example in 67 FR 11898
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E-filing
71 FR 35995	Final Rule	June 23, 2006	E-filing
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Filing Fee
54 FR 48726	Notice	November 24, 1989	Requires the payment of a filing fee of $20,000 effective 11/28/89
57 FR 47466	Notice	October 16, 1992	Filing fee of $25,000 beginning 10/7/92
59 FR 50762	Notice	October 5, 1994	Fee $45,000 beginning 8/29/94
66 FR 8680	Final Rule	February 1, 2001	Interim rules for 2000 statutory changes
67 FR 11898	Final Rule	March 18, 2002	Final rules for proposed 2000 statutory changes
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Form
41 FR 55488	Proposed Rule	December 20, 1976	Original Proposed Rules
42 FR 39040	Proposed Rule	August 1, 1977	Revised Proposed Rules
43 FR 33450	Final Rule	July 31, 1978	Original Final Rules
50 FR 38742	Proposed Rule	September 24, 1985	Form revisions
50 FR 46633	Final Rule	November 12, 1985	Form revisions
59 FR 30545	Proposed Rule	June 14, 1994	Proposed Form changes No Final Rule issued
64 FR 51763	Notice	September 24, 1999	Affidavit and Certification Formal Interpretation 16—only one original affidavit and certification required with filings
75 FR 57110	Proposed Rule	September 17, 2010	Proposed Form Changes
76 FR 42471	Final Rule	July 19, 2011	Form Changes
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Item 2
50 FR 38742	Proposed Rule	September 24, 1985	Proposed reorganization of Item 2
50 FR 46633	Final Rule	November 12, 1985	Proposed reorganization of Item 2
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Item 3
59 FR 30545	Proposed Rule	June 14, 1994	Proposal to limit Item 3 to acquired person only No Final Rule issued
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Item 4
50 FR 38742	Proposed Rule	September 24, 1985	Items 4(a) and 4(b) can be incorporated by reference
50 FR 46633	Final Rule	November 12, 1985	Items 4(a) and 4(b) can be incorporated by reference
59 FR 30545	Proposed Rule	June 14, 1994	Require hard copies of SEC documents; proposal to require 4(c) documents from general partners No Final Rule issued
70 FR 47733	Proposed Rule	August 15, 2005	Item 4 website reference; stale filings
70 FR 73369	Final Rule	December 12, 2005	Item 4 website reference; stale filings
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Item 5
45 FR 14205	Final Rule	March 5, 1980	Change of base year to 1977
51 FR 10368	Final Rule	March 26, 1986	Change of base year to 1982
55 FR 31371	Final Rule	August 2, 1990	Change of base year to 1987
59 FR 30545	Proposed Rule	June 14, 1994	Clarify instructions to Item 5(b)(ii) No Final Rule issued
60 FR 40704	Final Rule	August 9, 1995	Change of base year to 1992
66 FR 23561	Final Rule	May 9, 2001	Interim rule for NAICS and change of base year to 1997
66 FR 35541	Final Rule	July 6, 2001	Final rule for NAICS and change of base year to 1997
70 FR 77312	Final Rule	December 30, 2005	Change of base year to 2002
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Item 6
50 FR 38742	Proposed Rule	September 24, 1985	Omit entities with less than $10 million in assets
50 FR 46633	Final Rule	November 12, 1985	Omit entities with less than $10 million in assets
59 FR 30545	Proposed Rule	June 14, 1994	Proposed increase of thresholds in Items 6(a) and 6(b) from 5% to 10% No Final Rule issued
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Item 7
50 FR 38742	Proposed Rule	September 24, 1985	Remove certain SIC codes from Item 7(c)(iv)
50 FR 46633	Final Rule	November 12, 1985	Remove certain SIC codes from Item 7(c)(iv)
59 FR 30545	Proposed Rule	June 14, 1994	Report manufacturing codes at the 5-digit SIC code level; also add county information to Item 7(c)(iv) No Final Rule issued
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Item 8
59 FR 30545	Proposed Rule	June 14, 1994	Vendor-Vendee: Proposed increase of threshold from $5 million to $10 million No Final Rule issued
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Item 9 (now Item 8)
50 FR 38742	Proposed Rule	September 24, 1985	Prior acquisitions reduced from past 10 years to past 5 years
50 FR 46633	Final Rule	November 12, 1985	Prior acquisitions reduced from past 10 years to past 5 years
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Non-Corporate Entities
52 FR 7095	Proposed Rule	March 6, 1987	Control of partnerships
52 FR 20058	Final Rule	May 29, 1987	Control of partnerships
63 FR 54713	Notice	October 13, 1998	Limited Liability Company Formal Interpretation 15
63 FR 66546	Notice	December 2, 1998	Change the effective date of 63 FR 54713 to 2/1/99
64 FR 5808	Notice	February 2, 1999	Change the effective date of 63 FR 54713 to 3/1/99
64 FR 34804	Notice	June 29, 1999	Change the effective date of 63 FR 54713 to 7/1/99
66 FR 16241	Notice	March 23, 2001	Amendment of Formal Interpretation 15 to incorporate new thresholds
69 FR 18686	Proposed Rule	April 8, 2004	Non-corporate entities
70 FR 11502	Final Rule	March 8, 2005	Non-corporate entities
70 FR 11526	Final Rule	March 8, 2005	Formal Interpretation 18 repeals Form Interpretation 15 (effective 4/6/05)
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Rules - 801
41 FR 55488	Proposed Rule	December 20, 1976	Original Proposed Rules
42 FR 39040	Proposed Rule	August 1, 1977	Revised Proposed Rules
43 FR 33450	Final Rule	July 31, 1978	Original Final Rules
43 FR 34443	Final Rule	August 4, 1978	Correction of omitted pages from 43 FR 33450
43 FR 36053	Final Rule	August 15, 1978	Corrections to 43 FR 33450 and 34443
46 FR 38710	Proposed Rule	July 29, 1981	Add estate of a deceased natural person to various rules
48 FR 34427	Final Rule	July 29, 1983	Add estate of a deceased natural person to various rules
52 FR 7066	Final Rule	March 6, 1987	ESOPs; Asset aggregation
60 FR 38930	Proposed Rule	July 28, 1995	Ordinary course; real property
61 FR 13666	Final Rule	March 28, 1996	Ordinary course; real property
66 FR 8680	Final Rule	February 1, 2001	Interim rules for 2000 statutory changes
66 FR 8723	Proposed Rule	February 1, 2001	Proposed rules for 2000 statutory changes
67 FR 11898	Final Rule	March 18, 2002	Final rules for proposed 2000 statutory changes
77 FR 50057	Proposed Rule	August 20, 2012	Pharmaceutical licensing
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Rules - 802
41 FR 55488	Proposed Rule	December 20, 1976	Original Proposed Rules
42 FR 39040	Proposed Rule	August 1, 1977	Revised Proposed Rules
43 FR 33450	Final Rule	July 31, 1978	Original Final Rules
43 FR 34443	Final Rule	August 4, 1978	Correction of omitted pages from 43 FR 33450
43 FR 36053	Final Rule	August 15, 1978	Corrections to 43 FR 33450 and 34443
44 FR 47099	Proposed Rule	August 10, 1979	Increase in §802.20 minimum dollar value
44 FR 66781	Final Rule	November 21, 1979	Increase in §802.20 minimum dollar value
46 FR 38710	Proposed Rule	July 29, 1981	Add estate of a deceased natural person to various rules
48 FR 34427	Final Rule	July 29, 1983	Add estate of a deceased natural person to various rules
52 FR 7066	Final Rule	March 6, 1987	ESOPs; Asset aggregation
53 FR 36831	Proposed Rule	September 22, 1988	§802.9 removed; §802.25 added; other sections amended
60 FR 38930	Proposed Rule	July 28, 1995	Ordinary course; real property
61 FR 13666	Final Rule	March 28, 1996	Ordinary course; real property
63 FR 34592	Final Rule	June 25, 1998	Revision of §802.70 Acquisitions subject to order
66 FR 8680	Final Rule	February 1, 2001	Interim rules for 2000 statutory changes
66 FR 8723	Proposed Rule	February 1, 2001	Proposed rules for 2000 statutory changes
67 FR 11898	Final Rule	March 18, 2002	Final rules for proposed 2000 statutory changes
67 FR 11904	Final Rule	March 18, 2002	§802.21 Transition rule
67 FR 13716	Final Rule	March 26, 2002	Correction to §802.51 example in 67 FR 11898
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Rules - 803
41 FR 55488	Proposed Rule	December 20, 1976	Original Proposed Rules
42 FR 39040	Proposed Rule	August 1, 1977	Revised Proposed Rules
43 FR 33450	Final Rule	July 31, 1978	Original Final Rules
43 FR 34443	Final Rule	August 4, 1978	Correction of omitted pages from 43 FR 33450
43 FR 36053	Final Rule	August 15, 1978	Corrections to 43 FR 33450 and 34443
46 FR 38710	Proposed Rule	July 29, 1981	Add estate of a deceased natural person to various rules
48 FR 34427	Final Rule	July 29, 1983	Add estate of a deceased natural person to various rules
50 FR 38742	Proposed Rule	September 24, 1985	Form revisions
50 FR 46633	Final Rule	November 12, 1985	Form revisions
52 FR 7066	Final Rule	March 6, 1987	ESOPs; Asset aggregation
54 FR 21425	Final Rule	May 18, 1989	Interim rule for early terminations procedure
59 FR 30545	Proposed Rule	June 14, 1994	Proposed Form changes No Final Rule issued
64 FR 51763	Notice	September 24, 1999	Affidavit and Certification Formal Interpretation 16—only one original affidavit and certification required with filings
66 FR 8680	Final Rule	February 1, 2001	Interim rules for 2000 statutory changes
66 FR 8723	Proposed Rule	February 1, 2001	Proposed rules for 2000 statutory changes
67 FR 11898	Final Rule	March 18, 2002	Final rules for proposed 2000 statutory changes
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Second Requests
66 FR 8721	Final Rule	February 1, 2001	Interim rules with request for comment to amend and incorporate procedure for internal agency review, upon petition of request for additional information or documentary material (second request) regarding transactions at issue
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Thresholds
66 FR 8680	Final Rule	February 1, 2001	Interim rules for 2000 statutory changes
67 FR 11898	Final Rule	March 18, 2002	Final rules for proposed 2000 statutory changes
68 FR 2425	Final Rule	January 17, 2003	Notification thresholds changed to mirror fee thresholds
70 FR 4988	Final Rule	January 31, 2005	Introduction of adjusted thresholds
70 FR 5020	Notice	January 31, 2005	Revised thresholds for 2005
71 FR 2943	Notice	January 18, 2006	Revised thresholds for 2006
72 FR 2692	Notice	January 22, 2007	Revised thresholds for 2007
73 FR 5191	Notice	January 29, 2008	Revised thresholds for 2008
74 FR 1687	Notice	January 13, 2009	Revised thresholds for 2009
75 FR 3468	Notice	January 21, 2010	Revised thresholds for 2010
76 FR 4349	Notice	January 25, 2011	Revised Thresholds for 2011
77 FR 4323	Notice	January 27, 2012	Revised Thresholds for 2012
78 FT 2406	Notice	January 11, 2013	Revised Thresholds for 2013
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Federal Trade Commission Protecting America's Consumers

Statement of Basis and Purpose

Contents