Definitions (Rules 3b-1 to 3b-18)
Rule 3b-1 — Definition of “listed”.
Rule 3b-2 — Definition of “officer”.
Rule 3b-4 — Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.
Rule 3b-5 — Non-exempt securities issued under governmental obligations.
Rule 3b-6 — Liability for certain statements by issuers.
Rule 3b-7 — Definition of “executive officer”.
Rule 3b-8 — Definitions of “Qualified OTC Market Maker,” “Qualified Third Market Maker” and “Qualified Block Positioner”.
Rule 3b-11 — Definitions relating to limited partnership roll-up transactions for purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13).
Rule 3b-12 — Definition of OTC derivatives dealer.
Rule 3b-13 — Definition of eligible OTC derivative instrument.
Rule 3b-14 — Definition of cash management securities activities.
Rule 3b-15 — Definition of ancillary portfolio management securities activities.
Rule 3b-16 — Definitions of terms used in Section 3(a)(1) of the Act.
Rule 3b-18 — Definitions of terms used in Section 3(a)(5) of the Act
Rule 3b-19 — Definition of “issuer” in section 16 of the Act in relation to asset-backed securities.