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CFR 17
Commodity and Securities Exchanges
Securities and Exchange Commission
General Rules and Regulations, Securities Exchange Act of 1934
Rules and Regulations Under the Securities Exchange Act of 1934
Definitions
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Section
240.3b-1
Definition of “listed”.
Section
240.3b-2
Definition of “officer”.
Section
240.3b-3
§ 240.3b-3 [Reserved]
Section
240.3b-4
Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
Section
240.3b-5
Non-exempt securities issued under governmental obligations.
Section
240.3b-6
Liability for certain statements by issuers.
Section
240.3b-7
Definition of “executive officer”.
Section
240.3b-8
Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
Sections
240.3b-9 - 240.3b-10
§§ 240.3b-9-240.3b-10 [Reserved]
Section
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).
Section
240.3b-12
Definition of OTC derivatives dealer.
Section
240.3b-13
Definition of eligible OTC derivative instrument.
Section
240.3b-14
Definition of cash management securities activities.
Section
240.3b-15
Definition of ancillary portfolio management securities activities.
Section
240.3b-16
Definitions of terms used in Section 3(a)(1) of the Act.
Section
240.3b-17
§ 240.3b-17 [Reserved]
Section
240.3b-18
Definitions of terms used in Section 3(a)(5) of the Act.
Section
240.3b-19
Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.