SEC affiliate definition

What is an affiliate under the Securities Act?

The term “affiliate” is defined in Rule 405 under the Securities Act of 1933, as amended (the “ Securities Act ”), as a “person that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with,” an issuer.

What is an affiliate of a company?

An affiliate is a person, such as an executive officer, a director or large shareholder, in a relationship of control with the issuer. Control means the power to direct the management and policies of the company in question, whether through the ownership of voting securities, by contract, or otherwise.

What is an affiliate control security?

Control securities are those held by an affiliate of the issuing company. An affiliate is a person, such as an executive officer, a director or large shareholder, in a relationship of control with the issuer.

[PDF] Revised SEC Independence Rules: Affiliate of the Audit Client and

Revised SEC Independence Rules: Affiliate of the Audit Client and assets website-files com/5acdd11acfaa81072271f195/5fb297124b7c87712f1af2bc_Affiliate 20and 20ICC 20FINAL111720 pdf 17 nov 2020 with the audit client i e “sister companies” as affiliates subject to independence requirements The current Affiliate definition

[PDF] SEC Disclosure and Corporate Governance

SEC Disclosure and Corporate Governance www weil com/~/media/files/ pdf s/Weil_Alert_SEC_Corp_Gov_December_12_2012 pdf 12 déc 2012 Definition of Affiliate For purposes of Section 13(r) the term “affiliate” is defined by reference to Exchange Act Rule

[PDF] Securities and Exchange Commission § 230405 - GovInfo

Securities and Exchange Commission § 230 405 - GovInfo www govinfo gov/content/pkg/CFR-2011-title17-vol2/ pdf /CFR-2011-title17-vol2-sec230-405 pdf An affiliate of or person af- filiated with a specified person in regard to securities means the prin- company each as defined in this sec-

[PDF] Federal Register/Vol 86 No 122/Tuesday June 29 2021/Notices

Federal Register/Vol 86 No 122/Tuesday June 29 2021/Notices www govinfo gov/content/pkg/FR-2021-06-29/ pdf /2021-13785 pdf 29 jui 2021 FINRA Rule 5250 and the definition of ''affiliate'' by the SEC pursuant to the For purposes of the definitions of affiliate

[PDF] “Participating Affiliates” of an SEC Registered Adviser - CompliGlobe

“Participating Affiliates” of an SEC Registered Adviser - CompliGlobe compliglobe com/wp-content/uploads/2018/12/Participating-Affiliates-17-March-2017 pdf 17 mar 2017 An investment adviser is any person who using the “means of interstate If no exemption and not an affiliate of an SEC registered

[PDF] Transactions With Affiliates - K&L Gates

Transactions With Affiliates - K&L Gates files klgates com/files/upload/2016im_dc_conference_presentations_sessionv pdf SEC Report on the Public Policy Implications Ownership is not defined in the 1940 Act Ownership security” is defined in Section 2(a)(42) )

[PDF] Classifying Affiliates under the Investment Company Act

Classifying Affiliates under the Investment Company Act papers ssrn com/sol3/Delivery cfm/SSRN_ID1424707_code796092 abstractid=1424707&mirid=1 The resulting uncertainty means that funds and their affiliates risk the definition carefully Sec Reg L J ___ (Spring 2009) (forthcoming)

[PDF] L Series of 2020 SUBJECT: REVISED IMPLEMENTING RULES

L Series of 2020 SUBJECT: REVISED IMPLEMENTING RULES www sec gov ph/wp-content/uploads/2020/02/2020MCNo01-1 pdf "Affiliate" means a corporation that directly or indirectly "Commission" or "SEC" means the Securities and Exchange Commission of the Philippines

[PDF] SEC Rule 144:

SEC Rule 144: www bairdfinancialadvisor com/thelilesgroup/mediahandler/media/318225/Corporate 20- 206 20- 20SEC 20Rule 20144 20Restricted 20and 20Control 20Stock 20Transactions pdf Securities and Exchange Commission (SEC) Rule 144 governs the resale of securities acquired in a private placement or held by an affiliate of the issuer

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