Definitions

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter II
6. ›
7. Part 240
8. ›
9. Subpart A
10. ›
11. Subject Group Definitions

Sections

• 240.3b-1
  § 240.3b-1 Definition of “listed”.
• 240.3b-2
  § 240.3b-2 Definition of “officer”.
• 240.3b-3
  § 240.3b-3 [Reserved]
• 240.3b-4
  § 240.3b-4 Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
• 240.3b-5
  § 240.3b-5 Non-exempt securities issued under governmental obligations.
• 240.3b-6
  § 240.3b-6 Liability for certain statements by issuers.
• 240.3b-7
  § 240.3b-7 Definition of “executive officer”.
• 240.3b-8
  § 240.3b-8 Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”.
• 240.3b-9 - 240.3b-10
  §§ 240.3b-9-240.3b-10 [Reserved]
• 240.3b-11
  § 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
  § 240.3b-12 Definition of OTC derivatives dealer.
• 240.3b-13
  § 240.3b-13 Definition of eligible OTC derivative instrument.
• 240.3b-14
  § 240.3b-14 Definition of cash management securities activities.
• 240.3b-15
  § 240.3b-15 Definition of ancillary portfolio management securities activities.
• 240.3b-16
  § 240.3b-16 Definitions of terms used in Section 3(a)(1) of the Act.
• 240.3b-17
  § 240.3b-17 [Reserved]
• 240.3b-18
  § 240.3b-18 Definitions of terms used in Section 3(a)(5) of the Act.
• 240.3b-19
  § 240.3b-19 Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities.