General Rules and Regulations
Securities Exchange Act of 1934
Rule 3a11-1 -- Definition of the Term "Equity Security"
The term equity security is hereby defined to include any stock
or similar security, certificate of interest or participation in any profit sharing
agreement, preorganization certificate or subscription, transferable share, voting
trust certificate or certificate of deposit for an equity security, limited partnership
interest, interest in a joint venture, or certificate of interest in a business
trust; any security future on any such security; or any security convertible,
with or without consideration into such a security, or carrying any warrant or
right to subscribe to or purchase such a security; or any such warrant or right;
or any put, call, straddle, or other option or privilege of buying such a security
from or selling such a security to another without being bound to do so.
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