Terms Used In 17 CFR Part 260 - General Rules and Regulations, Trust Indenture Act of 1939

• act: means the Trust Indenture Act of 1939. See 17 CFR 260.0-2
• affiliate: means a person controlling, controlled by, or under common control with, another person. See 17 CFR 260.0-2
• agent for service: means the person authorized to receive notices and communications from the Commission. See 17 CFR 260.0-2
• Allegation: something that someone says happened.
• amount: when used in regard to securities, shall have the meaning given in § 260. See 17 CFR 260.0-2
• Appellate: About appeals; an appellate court has the power to review the judgement of another lower court or tribunal.
• Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
• Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
• Bail: Security given for the release of a criminal defendant or witness from legal custody (usually in the form of money) to secure his/her appearance on the day and time appointed.
• Baseline: Projection of the receipts, outlays, and other budget amounts that would ensue in the future without any change in existing policy. Baseline projections are used to gauge the extent to which proposed legislation, if enacted into law, would alter current spending and revenue levels.
• Caucus: From the Algonquian Indian language, a caucus meant "to meet together." An informal organization of members of the legislature that exists to discuss issues of mutual concern and possibly to perform legislative research and policy planning for its members. There are regional, political or ideological, ethnic, and economic-based caucuses.
• class: when used in regard to securities, shall have the meaning given in § 260. See 17 CFR 260.0-2
• 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. See 17 CFR 260.0-2
• Dependent: A person dependent for support upon another.
• designating official: means the Governor or other State official, who is empowered by the State legislature or Governor to designate the State official or public or private agency to be accountable for the proper use of funds by and conduct of the agency designated to administer the P&A system. See 45 CFR 1326.19
• Dismissal: The dropping of a case by the judge without further consideration or hearing. ^Source:
• Docket: A log containing brief entries of court proceedings.
• Escrow: Money given to a third party to be held for payment until certain conditions are met.
• Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
• Freedom of Information Act: A federal law that mandates that all the records created and kept by federal agencies in the executive branch of government must be open for public inspection and copying. The only exceptions are those records that fall into one of nine exempted categories listed in the statute. ^{Source: OCC}
• Lien: A claim against real or personal property in satisfaction of a debt.
• Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
• Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
• outstanding: when used in regard to securities, shall have the meaning given in § 260. See 17 CFR 260.0-2
• Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
• Personal property: All property that is not real property.
• Pleadings: Written statements of the parties in a civil case of their positions. In the federal courts, the principal pleadings are the complaint and the answer.
• Power of attorney: A written instrument which authorizes one person to act as another's agent or attorney. The power of attorney may be for a definite, specific act, or it may be general in nature. The terms of the written power of attorney may specify when it will expire. If not, the power of attorney usually expires when the person granting it dies. ^{Source: OCC}
• Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
• Remainder: An interest in property that takes effect in the future at a specified time or after the occurrence of some event, such as the death of a life tenant.
• rules and regulations: means all rules and regulations adopted by the Commission pursuant to the act, including the forms and instructions thereto. See 17 CFR 260.0-2
• Service of process: The service of writs or summonses to the appropriate party.
• State Protection and Advocacy System: is synonymous with the term "P&A" used elsewhere in this regulation, and the terms "System" and "Protection and Advocacy System" used in this part and in subpart C of this part. See 45 CFR 1326.19
• Trustee: A person or institution holding and administering property in trust.
• Venue: The geographical location in which a case is tried.