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General Rules and Regulations
promulgated
under the
Securities Act of 1933





Rule 601 -- Definitions of Terms Used in Rule 601 to Rule 610a


As used in Rule 601 to Rule 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 Rule 604.

Offering Circular. The term offering circular means the offering circular required by Rule 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(a)(11) of the Act.

Regulatory History


23 FR 10484, Dec. 30, 1958

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