§ 240.3b-1 Definition of “listed”
§ 240.3b-2 Definition of “officer”
§ 240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”
§ 240.3b-5 Non-exempt securities issued under governmental obligations
§ 240.3b-6 Liability for certain statements by issuers
§ 240.3b-7 Definition of “executive officer”
§ 240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”
§ 240.3b-11 Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13)
§ 240.3b-12 Definition of OTC derivatives dealer
§ 240.3b-13 Definition of eligible OTC derivative instrument
§ 240.3b-14 Definition of cash management securities activities
§ 240.3b-15 Definition of ancillary portfolio management securities activities
§ 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act
§ 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act
§ 240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities
lawyer at desk

Ask a legal question, get an answer ASAP!
Click here to chat with a lawyer about your rights.

Terms Used In CFR > Title 17 > Chapter II > Part 240 > Subpart A > Definitions

  • amount: when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security. See 17 CFR 240.12b-2
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Contract: A legal written agreement that becomes binding when signed.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Dependent: A person dependent for support upon another.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • 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.
  • Grantor: The person who establishes a trust and places property into it.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • material: when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters to which there is a substantial likelihood that a reasonable investor would attach importance in determining whether to buy or sell the securities registered. See 17 CFR 240.12b-2
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • 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.
  • 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.
  • registrant: means an issuer of securities with respect to which a registration statement or report is to be filed. See 17 CFR 240.12b-2
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • share: means a share of stock in a corporation or unit of interest in an unincorporated person. See 17 CFR 240.12b-2
  • statement: when used with reference to registration pursuant to section 12 of the act, includes both an application for registration of securities on a national securities exchange pursuant to section 12(b) of the act and a registration statement filed pursuant to section 12(g) of the act. See 17 CFR 240.12b-2
  • User fees: Fees charged to users of goods or services provided by the government. In levying or authorizing these fees, the legislature determines whether the revenue should go into the treasury or should be available to the agency providing the goods or services.
  • voting securities: means securities the holders of which are presently entitled to vote for the election of directors. See 17 CFR 240.12b-2