17 CFR Topic
Definitions
April 15, 2021
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240.3b-1
Definition of “listed”
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240.3b-2
Definition of “officer”
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240.3b-3
[Reserved]
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240.3b-4
Definition of “foreign government,” “foreign issuer” and “foreign private issuer”
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240.3b-5
Non-exempt securities issued under governmental obligations
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240.3b-6
Liability for certain statements by issuers
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240.3b-7
Definition of “executive officer”
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240.3b-8
Definitions of “Qualified OTC Market Maker, Qualified Third Market Maker” and “Qualified Block Positioner”
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§240.3b-9--240.3b-10
[Reserved]
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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)
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240.3b-12
Definition of OTC derivatives dealer
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240.3b-13
Definition of eligible OTC derivative instrument
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240.3b-14
Definition of cash management securities activities
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240.3b-15
Definition of ancillary portfolio management securities activities
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240.3b-16
Definitions of terms used in Section 3(a)(1) of the Act
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240.3b-17
[Reserved]
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240.3b-18
Definitions of terms used in Section 3(a)(5) of the Act
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240.3b-19
Definition of “issuer” in section 3(a)(8) of the Act in relation to asset-backed securities
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