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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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EDGAR Filer Handbook: A Guide for Electronic Filing with the SEC

Charles H. Rider - Law - 2000
...The following definitions shall apply for the purposes of this rule. (1) An "affiliate" of an issuer is a person that directly, or indirectly through one...intermediaries, controls, or is controlled by, or is under common control with, such issuer. (2) The term "person" when used with reference to a person...
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Securitizations: Legal and Regulatory Issues

Patrick D. Dolan, C. VanLeer Davis - Law - 2000 - 1656 pages
...following 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 class...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - Securities - 2001 - 852 pages
...following 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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Organizing, Financing, Growing, and Selling Businesses: Forms and Advice for ...

Fredric D. Tannenbaum - Business enterprises - 2002 - 1331 pages
...Agreement the following terms shall have the following respective meanings: "Affiliate" shall mean a Person that directly, or indirectly through one...is under common control with, the Person specified. "Articles" shall mean the Company's Amended and Restated Articles of Incorporation filed with the Secretary...
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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - Law - 2002
...impose a "look-back" period.30 Rule 10A-3 considers a person "affiliated" when that person "directly, or indirectly through one or more intermediaries, controls,...controlled by, or is under common control with, the person specified."31 The term "control" is defined as "the possession, direct or indirect, of the power to...
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Unternehmerisches Ermessen: zu den Aufgaben und Pflichten von Vorstand und ...

Andrea Lohse - Business & Economics - 2005 - 542 pages
...definiert: „We are defining affiliate of, or a person affiliated with, a specified person, to mean a person that directly or indirectly through one or...under common control with, the person specified." Dabei wird control verstanden als „the possession, direct or indirect, of the power to direct or...
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The Boston Institute of Finance Stockbroker Course: Series 7 and 63 Test ...

Boston Institute of Finance - Study Aids - 2005 - 560 pages
...securities are being sold to the public. For the purposes of SEC Rule 144, an affiliate of an issuer is a person that directly or indirectly, through one...intermediaries, controls or is controlled by, or is under common control with such issuer. The term person, when used in reference to a person for whose...
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U.S. Regulation of Hedge Funds

Douglas L. Hammer, Carolyn S. Reiser, Geoffrey W. Haynes, Neil J. Koren - Law - 2005 - 405 pages
...(whether or not they are also Restricted Securities). Rule 144(a) defines an "affiliate" of an issuer as a person that directly, or indirectly through one...intermediaries, controls, or is controlled by, or is under common control with, an issuer.63 "Control" means "the possession, direct or indirect, of the...
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Movie Capital Made Easy

Mervin Evans - 2006
...investors. (b) Affiliate. An "affiliate" of, or person "affiliated" with, a specified person shall mean a person that directly, or indirectly through one...is under common control with, the person specified. (c) Aggregate offering price. "Aggregate offering price" shall mean the sum of all cash, services,...
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Corporate Governance Best Practices: Strategies for Public, Private, and Not ...

Frederick D. Lipman, L.Keith Lipman - Business & Economics - 2006 - 288 pages
...a member of the board and any board committee.4 An affiliated person is defined by the SEC to mean "a person that directly, or indirectly through one...controlled by, or is under common control with, the person specified."5 The SEC defines the term "control" consistent with other definitions of this term under...
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