Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Rule 0-1 -- Definitions

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1. As used in the rules and regulations in this part, prescribed by the Commission pursuant to Title I of the Securities Exchange Act of 1934, unless the context otherwise specifically requires:
   
   
   1. The term Commission means the Securities and Exchange Commission.
      
      
   2. The term act means Title I of the Securities Exchange Act of 1934.
      
      
   3. The term section refers to a section of the Securities Exchange Act of 1934.
      
      

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      Note: The provisions of paragraph (a)(3) of Rule 0-1 relate to the terminology of rules and regulations as published by the Securities and Exchange Commission and are inapplicable to the terminology appearing in the Code of Federal Regulations.

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   4. The term rules and regulations refers to all rules and regulations adopted by the Commission pursuant to the act, including the forms for registration and reports and the accompanying instructions thereto.
      
      
   5. The term electronic filer means a person or an entity that submits filings electronically pursuant to Rules 100 and 101 of Regulation S-T .
      
      
   6. The term electronic filing means a document under the federal securities laws that is transmitted or delivered to the Commission in electronic format.
      
      
2. Unless otherwise specifically stated, the terms used in this part shall have the meaning defined in the act.
   
   
3. A rule or regulation which defines a term without express reference to the act or to the rules and regulations, or to a portion thereof, defines such term for all purposes as used both in the act and in the rules and regulations, unless the context otherwise specifically requires.
   
   
4. Unless otherwise specified or the context otherwise requires, the term prospectus means a prospectus meeting the requirements of section 10(a) of the Securities Act of 1933 as amended.

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