17 CFR 230.601 - Definitions of terms used in

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There is 1 rule appearing in the Federal Register for 17 CFR 230. View below or at eCFR (GPOAccess)
§ 230.601 Definitions of terms used in §§ 230.601 to 230.610a.
As used in §§ 230.601 to 230.610a, the following terms shall have the meaning indicated:
Act. The term Act refers to the Securities Act of 1933 unless specifically stated otherwise.
Affiliate. An affiliate of an issuer is a person controlling, controlled by or under common control with such issuer. An individual who controls an issuer is also an affiliate of such issuer.
Notification. The term notification means the notification required by § 230.604.
Offering circular. The term offering circular means the offering circular required by § 230.605.
State. A State is any State, Territory or insular possession of the United States, or the District of Columbia.
Underwriter. The term underwriter shall have the meaning given in section 2(11) of the Act.

Title 17 published on 2014-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2014-08-14; vol. 79 # 157 - Thursday, August 14, 2014
    1. 79 FR 47736 - Money Market Fund Reform; Amendments to Form PF
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      SECURITIES AND EXCHANGE COMMISSION, 17 CFR Parts 230, 239, 270, 274 and 279
      Final rule.
      Effective Date: October 14, 2014. Compliance Dates: The applicable compliance dates are discussed in section III.N. of the Release titled “Compliance Dates.”

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United States Code
Statutes at Large

Title 17 published on 2014-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 230 after this date.

  • 2014-09-11; vol. 79 # 176 - Thursday, September 11, 2014
    1. 79 FR 54224 - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
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      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule.
      Comments should be received on or before November 10, 2014.
      17 CFR Part 230