• Securities Act § 2(a)(3)
• Exchange Act § 3(a)(14)

• Issuer categories

• Exchange Act § 3(a)(22)

Exclusive processor

• Exchange Act § 3(a)(47)

• Sarbanes-Oxley Act §2(a)(15)

• Securities Act § 2(a)(1)
• Exchange Act § 3(a)(10)

• Sarbanes-Oxley Act §2(a)(14)

Security Issued Under Governmental Obligations

• also: Narrow-based security index
• also: Security futures product
• Securities Act § 2(a)(16)
• Exchange Act § 3(a)(55)
• Exchange Act § 3(a)(56)

• Exchange Act § 3(a)(26)

• Securities Act § 2(a)(14)
• Exchange Act § 3(a)(19)

• Rule 405

• Rule 12b-2

• S-X Rule 1-02(v)

• Rule 405

• Regulation SHO - Rule 200(a)
• Short sales

• Rule 405

• Rule 12b-2

• S-X Rule 1-02(w)

• Rule 405

• Rule 12b-2

• Exchange Act § 3(a)(53)

• Rule 14a-1(l)

• Regulation M - Rule 100(b)

• Exchange Act § 3(a)(16)

• Sarbanes-Oxley Act §2(a)(16)

• Exchange Act § 3(a)(39)

• Rule 405
• S-X Rule 1-02(x)
• See also:

• Majority owned subsidiary
• Significant subsidiary
• Totally held subsidiary
• Wholly owned subsidiary

• Regulation S - Rule 902
  Regulation S

• Rule 405

• Rule 12b-2

• S-X Rule 1-02(bb)

• Regulation M - Rule Rule 100(b)