17 CFR 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).
(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.
1 References to “this section” or to section number preceded by a section symbol are to sections in the Code of Federal Regulations.
[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 2014-04-01
no entries appear in the Federal Register after this date.