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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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The Code of Federal Regulations of the United States of America

Administrative law
...1998, as amended, Title II, Division C, of Public Law 105-277; (c) Affiliate or Affiliated refers to a Person that directly or indirectly through one or...intermediaries, controls, or is controlled by, or is under common control with, the first Person. For the purposes of this definition the term "control"...
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Angel Financing for Entrepreneurs: Early-Stage Funding for Long-Term Success

Susan L. Preston - Business & Economics - 2011 - 384 pages
...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 off ering price. "Aggregate offering price" shall mean the sum of all cash, services,...
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Federal Banking Law and Regulations: A Handbook for Lawyers

Harding de C. Williams - Law - 2006 - 361 pages
...11. SEC, Notices [SRO Rule Approvals], 68 FR64154 (Nov. 12,2003). 12. 17 CFR 240.10A-(3)(e)(8). as "a person that directly, or indirectly through one...controlled by, or is under common control with, the person specified."13 (emphasis in original) SEC regulations provide that affiliates also include: • an executive...
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The In-house Counsel's Essential Toolkit, Volume 6

American Bar Association. Section of Business Law. Committee on Corporate Counsel - Law - 2007 - 7 pages
...meeting of stockholders, and agree to serve if elected. DATED: Nonemployee Director APPENDIX DEFINITIONS Affiliate. An "affiliate" of, or a person "affiliated"...is under common control with, the person specified. Associate. • any corporation or organization, other than the Company or a majority-owned Company...
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The Role of Independent Directors After Sarbanes-Oxley

Bruce F. Dravis - Law - 2007 - 173 pages
..."affiliated person" of the corporation or its subsidiaries.4 Under SEC's rules an "affiliate" of a company is "a person that directly, or indirectly through...intermediaries, controls, or is controlled by, or is under common control with, the company."5 Whether a director is deemed to "control" an issuer will...
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Interstate Commerce Commission Reports: Decisions of the Interstate Commerce ...

United States. Interstate Commerce Commission
...System, Inc. APPENDIX B Definitions of terms used in Form OP-F-200 item 7 (offering circular form): (1) Affiliate. — An "affiliate" of, or a person...securities means the principal amount if relating to evidence of indebtedness, the number of shares if relating to shares, and the number of units if relating...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - Securities - 1965
...to section 12, 13 or 15 (d) of the Act, shall have the respective meanings indicated in this rule: Affiliate. An "affiliate" of, or a person "affiliated"...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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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1967
...regulations. In addition, the following definitions apply, unless the context otherwise requires : (a) Affiliate. An "affiliate" of, or a person "affiliated"...Is under common control with, the person specified. (b) Amount. The term "amount", when used in regard to securities, means the principal amount if relating...
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Code of Federal Regulations

Administrative law - 1968
...sections 12, 13 or 15 (d) of the act, shall have the respective meanings indicated in this rule: (a) Affiliate. An "affiliate" of, or a person "affiliated"...Is under common control with, the person specified. (b) Amount. The term "amount," when used in regard to securities, means the principal amount if relating...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1970
...terms shall have the meanings indicated In this section unless the context otherwise requires: (a) Affiliate. An "affiliate" of, or a person "affiliated"...is under common control with, the person specified. (b) Bank holding company. The term "bank holding company" means a person which is engaged, either directly...
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