Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Definitions (Rules 3b-1 to 3b-18)


    Rule 3b-1 -- Definition of "Listed"

    Rule 3b-2 -- Definition of "Officer"

    Rule 3b-3 -- [Removed]

    Rule 3b-4 -- Definition of "Foreign Government," "Foreign Issuer" and "Foreign Private Issuer"

    Rule 3b-5 -- Non-Exempt Securities Issued Under Governmental Obligations

    Rule 3b-6 -- Liability for Certain Statements by Issuers

    Rule 3b-7 -- Definition of "Executive Officer"

    Rule 3b-8 -- Definitions of "Qualified OTC Market Maker," "Qualified Third Market Maker" and "Qualified Block Positioner"

    Rule 3b-9 -- [Removed and Reserved]

    Rule 3b-10 -- [Reserved]

    Rule 3b-11 -- Definitions Relating to Limited Partnership Roll-Up Transactions for Purposes of Sections 6(b)(9), 14(h) and 15A(b)(12)-(13)

    Rule 3b-12 -- Definition of OTC Derivatives Dealer

    Rule 3b-13 -- Definition of Eligible OTC Derivative Instrument

    Rule 3b-14 -- Definition of Cash Management Securities Activities

    Rule 3b-15 -- Definition of Ancillary Portfolio Management Securities Activities

    Rule 3b-16 -- Definitions of Terms Used in Section 3(a)(1) of the Act

    Rule 3b-17 -- Definitions of Terms Used in Section 3(a)(4) of the Act

    Rule 3b-18 -- Definitions of Terms Used in Section 3(a)(5) of the Act

    Rule 3b-19 -- Definition of "Issuer" in Section 16 of the Sct for Asset-backed Securities



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