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" affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "
Code of Federal Regulations: Containing a Codification of Documents of ... - Page 457
1975
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Small Business Informational Package

Small business investment companies - 1988 - 315 pages
...following definitions apply, unless the context otherwise requires: Affiliate. An "affiliate" of, or person "affiliated" with, a specified person, is a...is under common control with, the person specified. Amount. The term "amount," when used in regard to securities, means the principal amount if relating...
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International Corporate Finance Package

United States. Securities and Exchange Commission. Division of Corporation Finance - Business enterprises, Foreign - 1989 - 231 pages
...therefor shall be stated. (b) Affiliate. An "affiliate" of, or a person "affiliated" with, a specific person is a person that directly, or indirectly through...is under common control with, the person specified. 96 (c) Amount. The term "amount," when used in regard to securities, means the principal amount if...
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Insurance Company Regulation: Hearing Before the Subcommittee on ..., Volume 4

United States, United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - Bankruptcy - 1991 - 379 pages
...unleaa the context requires otherwise (a) An "affiliate" of. or person "affiliated" with, a specific person, is a person that directly, or indirectly through...is under common control with, the person specified. (W "Control" (including the terms "controlling", "con trolled by" and "under common control with")...
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The Legal Considerations in Business Financing: A Guide for Corporate Management

Alan S. Gutterman - Business & Economics - 1994 - 279 pages
...limitations of Regulation D. 2. Definition of "Affiliate" The rule defines an affiliate of the issuer as "a person that directly, or indirectly through one...intermediaries, controls, or is controlled by, or is under common control with, such issuer."8 The SEC staff has determined that the following individuals...
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Performance Profiles of Major Energy Producers (1993)

DIANE Publishing Company - 1995 - 189 pages
...working interest in the acreage. Affiliate: An "affiliate" of, or a person "affiliated" with, a specific person is a person that directly, or indirectly through...is under common control with, the person specified. The term "affiliate" includes any subsidiary or parent of the person specified. Amortization: The depreciation,...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volume 4

United States - Securities - 1999 - 725 pages
...definitions shall apply: (1) AFFILIATE OF THE ISSUER. — The term "affiliate of the issuer" means a person that directly or indirectly, through one...intermediaries, controls or is controlled by or is under common control with, the issuer. (2) COVERED CLASS ACTION. — (A) IN GENERAL. — The term "covered...
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Fundamentals of American Law

New York University. School of Law - Law - 1996 - 666 pages
...CFR 239.13(b)(l) (1993). This value is also referred to as the 'float'. 'Affiliate" is defined as 'a person that directly, or indirectly through one...under common control with, the person specified'. Rule 405 under the 1933 Act, 17 CFR 230.405 (1993). 48 This theory of market efficiency contains...
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Financial Services Modernization: Hearings Before the Subcommittee on ...

United States, United States Government Printing Office, United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Financial Institutions and Consumer Credit - Banking law - 1997 - 666 pages
...shall otherwise require: A. "Affiliate." An "affiliate" of, or person "affiliated'* with, a specific person, is a person that directly, or indirectly through...is under common control with, the person specified. B. "Commissioner." The term "commissioner" shall mean the insurance commissioner, the commissioner's...
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Contemporary Corporation Forms, Volume 1

Jay Brown - Law - 1997 - 8276 pages
...Definitions. (a) For purposes of this Agreement: "Affiliate" means, with respect to any specified Person, any Person that directly, or indirectly through one or...is under common control with, the Person specified. For purposes of this Agreement, with respect to any Shareholder, "Affiliate" shall not include the...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - Securities - 1999 - 725 pages
...following definitions shall apply: (A) AFFILIATE OF THE ISSUER.— The term "affiliate of the issuer" means a person that directly or indirectly, through one...intermediaries, controls or is controlled by or is under common control with, the issuer. (B) COVERED CLASS ACTION.— The term "covered class action"...
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