260.0-1 — Application of definitions contained in the act.
Unless the context otherwise requires, the terms defined in the act shall, when used in the rules and regulations, have the respective meanings given in the act.
260.0-2 — Definitions of terms used in the rules and regulations.
Unless the context otherwise requires, the following terms, when used in this part, shall have the respective meanings indicated in this section:
(a) Act. The term “act” means the Trust Indenture Act of 1939. (53 Stat. 1149; 15 U.S.C. 77aaa)
(b) Affiliate. The term “affiliate” means a person controlling, controlled by, or under common control with, another person. The terms “affiliated” and “affiliation” have meanings correlative to the foregoing.
(c) Agent for service. The term “agent for service” means the person authorized to receive notices and communications from the Commission.
(d) Amount. The term “amount” when used in regard to securities, shall have the meaning given in § 260.10b-1(c).
(e) Class. The term “class”, when used in regard to securities, shall have the meaning given in § 260.10b-1(e).
(f) Control. The term “control” means the power to direct the management and policies of a person, directly or through one or more intermediaries, whether through the ownership of voting securities, by contract, or otherwise. The terms “controlling” and “controlled” have meanings correlative to the foregoing. (See § 260.a-26.)
(g) 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 (§§ 232.100 and 232.101 of this chapter, respectively).
(h) Electronic filing. The term electronic filing means a document under the federal securities laws that is transmitted or delivered to the Commission in electronic format.
(i) Outstanding. The term “outstanding”, when used in regard to securities, shall have the meaning given in § 260.10b-1(d).
(j) Parent. The term “parent” means a person controlling one or more other persons.
(k) Rules and regulations. The term “rules and regulations” means all rules and regulations adopted by the Commission pursuant to the act, including the forms and instructions thereto.
(l) Section. The term “section” means a section of the act.
(m) Subsidiary. The term “subsidiary” means a person controlled by another person.
[5 FR 293, Jan. 25, 1940, as amended at 58 FR 14686, Mar. 18, 1993; 62 FR 36459, July 8, 1997]
260.0-3 — Definition of “rules and regulations” as used in certain sections of the Act.
(a) The term rules and regulations as used in section 305 of the Act shall include the forms for registration of securities under the Securities Act of 1933 and the related instructions thereto, and the forms for information, documents and statements under section 305 of the Act.
(b) The term rules and regulations as used in section 307 of the Act shall include the forms for applications under section 307 of the Act and the related instructions thereto.
[21 FR 1046, Feb. 15, 1956]
260.0-4 — Sequential numbering of documents filed with the Commission.
The manually signed original (or in the case of duplicate originals, one duplicate original) of all registrations, applications, statements, reports, or other documents filed under the Trust Indenture Act of 1939 shall be numbered sequentially (in addition to any internal numbering which otherwise may be present) by handwritten, typed, printed, or other legible form of notation from the facing page of the document through the last page of that document and any exhibits or attachments thereto. Further, the total number of pages contained in a numbered original shall be set forth on the first page of the document.
[44 FR 4666, Jan. 23, 1979, as amended at 76 FR 71877, Nov. 21, 2011]