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We frequently answer questions from businesses and attorneys about how the FTC applies rules under the Hart-Scott-Rodino Act and other laws we enforce. In some instances we issue formal guidance on how the agency interprets these laws in order to help businesses comply.

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HSR Formal Interpretations

Formal Interpretation No. 3

Type of Formal Interpretation
Affidavits filed by Acquiring Persons Making Certain Open Market Transactions
FORMAL INTERPRETATIONS UNDER 16 C.F.R. § 803.30 CONCERNING AFFIDAVITS FILED BY ACQUIRING PERSONS IN CONNECTION WITH PURCHASES OF VOTING SECURITIES IN CERTAIN OPEN MARKET TRANSACTIONS. Commission staff...
HSR Formal Interpretations

Formal Interpretation No. 13 (Supersedes Formal Interpretation No. 5)

Type of Formal Interpretation
Early Termination (standards applied in granting or denying request for early termination)
Formal Interpretation Pursuant to § 803.30 of the Premerger Notification Rules, 16 CFR § 803.30, Concerning Early Termination of the Waiting Period under the Hart-Scott-Rodino Antitrust Improvements...
HSR Formal Interpretations

Formal Interpretation No. 9

Type of Formal Interpretation
Accounts Receivable (treatment under §801.21)
FORMAL INTERPRETATION PURSUANT TO § 803.30 OF THE PREMERGER NOTIFICATION RULES, 16 C.F.R. § 803.30: The Treatment of Accounts Receivable under § 801.21 of the Premerger Notification Rules, 16 C.F.R. §...
HSR Formal Interpretations

Formal Interpretation No. 7

Type of Formal Interpretation
Acquisitions By Certain Bank Holding Companies
UNDER 16 C.F.R. § 803.30 CONCERNING ACQUISITIONS BY CERTAIN BANK HOLDING COMPANIES Commission staff have recently received several requests for interpretation of the exemption provided by § 7A(c)(8)...
HSR Formal Interpretations

Formal Interpretation No. 14

Type of Formal Interpretation
Airlines (transactions between air carriers and others subject to HSR)
16 CFR Part 802 Premerger Notification: Reporting and Waiting Period Requirements AGENCY : Federal Trade Commission ACTION: Notice of Formal Interpretation SUMMARY: On November 14, 1988, the Federal...
HSR Formal Interpretations

Formal Interpretation No. 8

Type of Formal Interpretation
Attorney-Client Privilege (assertion in Response to Information Required by the Form and in Response to a request for Additional Information or Documentary Material)
BUREAU OF COMPETITION September 13, 1979 John W. Barnum, Esquire White & Case 1747 Pennsylvania Avenue, N.W. Washington, D.C. 20006 Dear Mr. Barnum: This is in response to your March 1, 1979, letter...
HSR Formal Interpretations

Formal Interpretation No. 2

Type of Formal Interpretation
Acquisitions Made Pursuant to an Order of Divestiture under §802.70
BUREAU OF COMPETITION September 26, 1978 Mr. Laurence T. Sorkin Cahill, Gordon & Reindel Eighty Pine Street New York, New York 10005 Re: Formal interpretation of § 802.70 of the Hart-Scott-Rodino...
HSR Formal Interpretations

Formal Interpretation No. 17

Type of Formal Interpretation
Banking and non-banking businesses under (c)(7) and (c)(8) as amended by the Gramm-Leach-Bliley Act
Premerger Notification: Reporting and Waiting Period Requirements AGENCY: Federal Trade Commission ACTION: Notice of Issuance of Formal Interpretation 17 SUMMARY: The Premerger Notification Office (...
HSR Formal Interpretations

Formal Interpretation No. 10

Type of Formal Interpretation
Confidentiality of HSR Information
In accordance with the provisions of § 803.30 of the Commission's premerger notification rules, 16 C.F.R. § 803.30, the Commission, with the concurrence of the Assistant Attorney General in charge of...
HSR Formal Interpretations

Formal Intrepretation No. 5

Type of Formal Interpretation
Early Termination (standards applied in granting or denying request for early termination)
FORMAL INTERPRETATION UNDER 16 C.F.R. § 803.30 CONCERNING EARLY TERMINATION UNDER § 7A(b)(2) AND § 803.11 Commission staff have received several requests for interpretation of § 803.11 of the...
HSR Formal Interpretations

Formal Interpretation No. 6

Type of Formal Interpretation
Incorporation by Reference (responding to items in the Form by referring to information or materials accompanying another Form)
FEDERAL TRADE COMMISSION WASHINGTON. D. C. 20580 Bureau of Competition April 10, 1979 Formal Staff Interpretation Under 16 C.F.R. § 803.30 Concerning Incorporation by Reference in the Antitrust...
HSR Formal Interpretations

Formal Interpretation No. 11

Type of Formal Interpretation
Incorporation by Reference (responding to items in the Form by referring to information or materials accompanying another Form)
BUREAU OF COMPETITION April 7, 1981 Formal Interpretation Pursuant to § 803.30 of the Premerger Notification Rules, 16 C.F.R. § 803.30, Concerning Incorporation by Reference in the Antitrust...
HSR Formal Interpretations

Formal Interpretation No. 15 and Explanatory Material

Type of Formal Interpretation
Limited Liability Company (LLC) (reportability of transactions involving limited liability companies) (REPEALED - See Formal Interpretation 18)
Premerger Notification: Reporting and Waiting Period Requirements AGENCY: Federal Trade Commission ACTION: Notice of Adoption of Formal Interpretation SUMMARY: The Premerger Notification Office ("PNO"...
HSR Formal Interpretations

Formal Interpretation No. 15 and Explanatory Material (Amended July 1, 1999)

Type of Formal Interpretation
Limited Liability Company (LLC) (reportability of transactions involving limited liability companies) (REPEALED - See Formal Interpretation 18)
Premerger Notification: Reporting and Waiting Period Requirements AGENCY: Federal Trade Commission ACTION: Notice of Amendment of Formal Interpretation 15 SUMMARY: The Premerger Notification Office (...
HSR Formal Interpretations

Formal Interpretation No. 16

Type of Formal Interpretation
Number of Original Affidavits and Certification
Premerger Notification: Reporting and Waiting Period Requirements AGENCY: Federal Trade Commission ACTION: Notice of the Issuance of Formal Interpretation 16 Changing the Policy of the Premerger...
HSR Formal Interpretations

Formal Interpretation No. 1

Type of Formal Interpretation
Pre-existing Notification Program (applicability of Pre-September 5, 1978 Notification Rules)
[COVINGTON & BURLINGTON LETTERHEAD] 888 Sixteenth Street, N.W. Washington, D.C. 20006 August 15, 1978 Malcolm R. Pfunder, Esq. Associate Director, Premerger Notification and Screening Federal Trade...
HSR Formal Interpretations

Formal Interpretation No. 4

Type of Formal Interpretation
Solely for Purposes of Investment Exemption
BUREAU OF COMPETITION January 17, 1979 Laurence T. Sorkin, Esquire Cahill, Gordon & Reindel Eighty Pine Street New York, New York 10005 Dear Mr. Sorkin: This formal interpretation is issued by the...
HSR Formal Interpretations

Formal Interpretation No. 12

Type of Formal Interpretation
Subordinated Exchangeable Debentures (whether voting securities under §801.1(f)(1))
BUREAU OF COMPETITION June 2, 1981 Lewis A. Kaplan, Esquire Paul, Weiss, Rifkind, Wharton & Garrison 345 Park Avenue New York, New York 10154 Re: Sun Company, Inc. 10-3/4% Subordinated Exchangeable...
HSR Formal Interpretations

Formal Interpretation No. 18

Type of Formal Interpretation
Repeal of Formal Interpretation 15
Formal Interpretation 15 - 64 FR @ 5808 (February 5, 1999) FEDERAL TRADE COMMISSION [Billing code 6750-01P] Premerger Notification; Reporting and Waiting Period Requirements AGENCY : Federal Trade...
HSR Formal Interpretations

Formal Interpretation No. 15 and Explanatory Material (Amended March 2001)

Type of Formal Interpretation
Limited Liability Company (LLC) (reportability of transactions involving limited liability companies) (REPEALED - See Formal Interpretation 18)
Premerger Notification: Reporting and Waiting Period Requirements AGENCY: Federal Trade Commission ACTION: Notice of Amendment of Formal Interpretation 15 SUMMARY: The Premerger Notification Office (...
Displaying 1 - 20 of 20
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