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

Rule 11 -- Definition of Terms Used in the Regulation

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Animated graphics. The term "animated graphics" means text or images that do not remain static but that may move when viewed in a browser.

ASCII document. The term "ASCII document" means an electronic text document with contents limited to American Standard Code for Information Interchange (ASCII) characters and that is tagged with Standard Generalized Mark Up Language (SGML) tags in the format required for ASCII/SGML documents by the EDGAR Filer Manual.

Business development company. The term "business development company" has the meaning set forth in Section 2(a)(48) of the Investment Company Act.

Direct transmission. The term "direct transmission" means the transmission of one or more electronic submissions via a telephonic communication session.

Disruptive code. The term "disruptive code" means any active content or other executable code, or any program or set of electronic computer instructions inserted into a computer, operating system, or program that replicates itself or that actually or potentially modifies or in any way alters, damages, destroys or disrupts the file content or the operation of any computer, computer file, computer database, computer system, computer network or software, and as otherwise set forth in the EDGAR Filer Manual.

EDGAR. The term "EDGAR" (Electronic Data Gathering, Analysis, and Retrieval) means the computer system for the receipt, acceptance, review and dissemination of documents submitted in electronic format.

EDGAR Filer Manual. The term "EDGAR Filer Manual" means the current version of the manual prepared by the Commission setting out the technical format requirements for an electronic submission. Note: See Rule 301 of Regulation S-T.

Electronic document. The term "electronic document" means the portion of an electronic submission separately tagged as an individual document in the format required by the EDGAR Filer Manual.

Electronic filer. The term "electronic filer" means a person or an entity that submits filings electronically pursuant to Rules 100 and 101 of Regulation S-T.

Electronic filing. The term "electronic filing" means one or more electronic documents filed under the federal securities laws that are transmitted or delivered to the Commission in electronic format.

Electronic format. The term "electronic format" means the computerized format of a document prepared in accordance with the EDGAR Filer Manual.

Electronic submission. The term "electronic submission" means any document, such as a filing, correspondence, or modular submission, or any discrete set of documents, transmitted or delivered to the Commission in electronic format.

Exchange Act. The term "Exchange Act" means the Securities Exchange Act of 1934.

Executable code. The term "executable code" means instructions to a computer to carry out operations that use features beyond the viewer's, reader's, or Internet browser's native ability to interpret and display HTML, PDF, and static graphic files. Such code may be in binary (machine language) or in script form. Executable code includes disruptive code.

Header information. The term "header information" means information designated by the EDGAR Filer Manual to precede the text of each electronic submission and document submitted therewith via EDGAR that identifies characteristics of the submission and documents in order to facilitate electronic processing by the EDGAR system.

HTML document. The term "HTML document" means an electronic text document tagged with HyperText Markup Language tags in the format required by the EDGAR Filer Manual.

Hypertext links or hyperlinks. The term "Hypertext links or hyperlinks" means the representation of an Internet address in a form that an Internet browser application can recognize as an Internet address.

Investment Company Act. The term "Investment Company Act" means the Investment Company Act of 1940.

Modular submission. The term "modular submission" means an electronic submission that contains one or more documents, or portions of a document, submitted for storage in the non-public EDGAR data storage area for purposes of subsequent inclusion in one or more electronic filings pursuant to Rule 501(a) of Regulation S-T.

Official filing. The term "official filing" means any filing that is received and accepted by the Commission, regardless of filing medium and exclusive of header information, tags and any other technical information required in an electronic filing; except that electronic identification of investment company type and inclusion of identifiers for series and class (or contract, in the case of separate accounts of insurance companies) as required by rule 313 of Regulation S-T are deemed part of the official filing.

Original. The term "original," when used or implied in the securities laws, rules, regulations or forms, includes the writing itself or any counterpart intended to have the same effect by a person executing or issuing it. If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an original.

Paper format. The term "paper format" means a paper document.

Public Utility Act. The term "Public Utility Act" means the Public Utility Holding Company Act of 1935.

Registrant. The term "registrant" means an issuer of securities for which a Securities Act registration statement is required to be filed and/or an issuer of securities with respect to which an Exchange Act registration statement or report is required to be filed and/or an investment company required to file an Investment Company Act registration statement or report.

Securities Act. The term "Securities Act" means the Securities Act of 1933.

Segmented Filing. The term "segmented filing" means an electronic format document assembled from segments previously submitted to the non-public EDGAR data storage for one-time inclusion in an electronic filing pursuant to Rule 501(b) of Regulation S-T.

Tag. The term "tag" means an identifier that highlights specific information to EDGAR that is in the format required by the EDGAR Filer Manual.

Third party filer. The term "third party filer" means any person or entity that files documents with the Commission with respect to another entity.

Trust Indenture Act. The term "Trust Indenture Act" means the Trust Indenture Act of 1939.

Unofficial PDF copy. The term "unofficial PDF copy" means an optional copy of an electronic document that may be included in an EDGAR submission tagged as a Portable Document Format document in the format required by the EDGAR Filer Manual and submitted in accordance with Rule 104 of Regulation S-T.

XBRL-Related Documents. The term XBRL-Related Documents means documents related to presenting information in eXtensible Business Reporting Language that are part of a voluntary submission in electronic format in accordance with Rule 232.401.

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