Rule 3b-7
  Definition of "Executive
Officer"
The term "executive officer", when used with reference to
a registrant, means its president, any vice president of the registrant
in charge of a principal business unit, division or function (such as
sales, administration or finance), any other officer who performs a policy
making function or any other person who performs similar policy making
functions for the registrant. Executive officers of subsidiaries may be
deemed executive officers of the registrant if they perform such policy
making functions for the registrant.
Regulatory History |
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SEC Release 34-18524: 47 FR 11464, Mar. 16, 1982 SEC Release 34-28869: 56 FR 7265, Feb. 21, 1991 |
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