Rule 0-1
  Definitions
a.
As used in the rules
and regulations in this part, prescribed by the Commission pursuant to
Title I of the Securities Exchange Act of 1934, unless the context otherwise
specifically requires:
1.
The term Commission means the Securities
and Exchange Commission.
2.
The term act means Title I of the
Securities Exchange Act of 1934.
3.
The term section refers to a section of the Securities
Exchange Act of 1934.
Note: The provisions of paragraph (a)(3)
of Rule 0-1 relate to the terminology of rules and regulations as published
by the Securities and Exchange Commission and are inapplicable to the
terminology appearing in the Code of Federal Regulations.
4.
The term rules and regulations refers
to all rules and regulations adopted by the Commission pursuant to the
act, including the forms for registration and reports and the accompanying
instructions thereto.
5.
The term electronic filer means
a person or an entity that submits filings electronically pursuant to
Rule 101
of Regulation S-T .
6.
The term electronic filing means
a document under the federal securities laws that is transmitted or delivered
to the Commission in electronic format.
b. Unless
otherwise specifically stated, the terms used in this part shall have
the meaning defined in the act.
c. A
rule or regulation which defines a term without express reference to the
act or to the rules and regulations, or to a portion thereof, defines
such term for all purposes as used both in the act and in the rules and
regulations, unless the context otherwise specifically requires.
d. Unless
otherwise specified or the context otherwise requires, the term prospectus means a prospectus meeting
the requirements of
section
10(a) of the Securities Act of 1933 as amended.
Regulatory History |
|
13 FR 8178, Dec. 22, 1948
13 FR 9321, Dec. 31, 1948
19 FR 6730, Oct. 20, 1954
SEC Release 34-31905:
58 FR 14682,
March 18, 1993
SEC Release 34-38798:
62 FR 36459, 36459, July 8, 1997 |
|