17 CFR 230.601 - Definitions of terms used in §§ 230.601 to 230.610a.

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§ 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.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

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United States Code
Statutes at Large

Title 17 published on 2015-04-01

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

  • 2015-11-10; vol. 80 # 217 - Tuesday, November 10, 2015
    1. 80 FR 69786 - Exemptions To Facilitate Intrastate and Regional Securities Offerings
      GPO FDSys XML | Text
      Proposed rules.
      Comments should be received by January 11, 2016.
      17 CFR Part 230
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