17 CFR 260.0-2 - Definitions of terms used in the rules and regulations.

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There is 1 rule appearing in the Federal Register for 17 CFR 260. View below or at eCFR (GPOAccess)
§ 260.0-2 Definitions of terms used in the rules and regulations.
Unless the context otherwise requires, the following terms, when used in this part, shall have the respective meanings indicated in this section:
(a) Act. The term “act” means the Trust Indenture Act of 1939. (53 Stat. 1149; 15 U.S.C. 77aaa)
(b) Affiliate. The term “affiliate” means a person controlling, controlled by, or under common control with, another person. The terms “affiliated” and “affiliation” have meanings correlative to the foregoing.
(c) Agent for service. The term “agent for service” means the person authorized to receive notices and communications from the Commission.
(d) Amount. The term “amount” when used in regard to securities, shall have the meaning given in § 260.10b-1(c).
(e) Class. The term “class”, when used in regard to securities, shall have the meaning given in § 260.10b-1(e).
(f) Control. The term “control” means the power to direct the management and policies of a person, directly or through one or more intermediaries, whether through the ownership of voting securities, by contract, or otherwise. The terms “controlling” and “controlled” have meanings correlative to the foregoing. (See § 260.a-26.)
(g) Electronic filer. The term electronic filer means a person or an entity that submits filings electronically pursuant to Rules 100 and 101 of Regulation S-T (§§ 232.100 and 232.101 of this chapter, respectively).
(h) Electronic filing. The term electronic filing means a document under the federal securities laws that is transmitted or delivered to the Commission in electronic format.
(i) Outstanding. The term “outstanding”, when used in regard to securities, shall have the meaning given in § 260.10b-1(d).
(j) Parent. The term “parent” means a person controlling one or more other persons.
(k) Rules and regulations. The term “rules and regulations” means all rules and regulations adopted by the Commission pursuant to the act, including the forms and instructions thereto.
(l) Section. The term “section” means a section of the act. 1

Footnote(s):
1 References to “this section” or to section number preceded by a section symbol are to sections in the Code of Federal Regulations.

(m) Subsidiary. The term “subsidiary” means a person controlled by another person.
[5 FR 293, Jan. 25, 1940, as amended at 58 FR 14686, Mar. 18, 1993; 62 FR 36459, July 8, 1997]

Title 17 published on 2013-04-01

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.

  • 2014-02-10; vol. 79 # 27 - Monday, February 10, 2014
    1. 79 FR 7570 - Extension of Exemptions for Security-Based Swaps
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Interim final rule; extension.
      The amendments are effective February 10, 2014. See Section I of the SUPPLEMENTARY INFORMATION concerning amendment of expiration dates in the interim final rules.
      17 CFR Parts 230, 240 and 260

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United States Code

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 260 after this date.

  • 2014-02-10; vol. 79 # 27 - Monday, February 10, 2014
    1. 79 FR 7570 - Extension of Exemptions for Security-Based Swaps
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Interim final rule; extension.
      The amendments are effective February 10, 2014. See Section I of the SUPPLEMENTARY INFORMATION concerning amendment of expiration dates in the interim final rules.
      17 CFR Parts 230, 240 and 260