§ 230.601 Definitions of terms used in §§230.601 to 230.610a.  


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  • As used in §§230.601 to 230.610a, the following terms shall have the meaning indicated:

    Act. The term Act refers to the Securities Act of 1933 unless specifically stated otherwise.

    Affiliate. An affiliate of an issuer is a person controlling, controlled by or under common control with such issuer. An individual who controls an issuer is also an affiliate of such issuer.

    Notification. The term notification means the notification required by §230.604.

    Offering circular. The term offering circular means the offering circular required by §230.605.

    State. A State is any State, Territory or insular possession of the United States, or the District of Columbia.

    Underwriter. The term underwriter shall have the meaning given in section 2(11) of the Act.