17 CFR § 230.601 - Definitions of terms used in §§ 230.601 to 230.610a.

---
identifier: "/us/cfr/t17/s230.601"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 230.601 - Definitions of terms used in §§ 230.601 to 230.610a."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "230.601"
section_name: "Definitions of terms used in §§ 230.601 to 230.610a."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "230"
part_name: "GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 77b, 77b note, 77c, 77d, 77f, 77g, 77h, 77j, 77r, 77s, 77z-3, 77sss, 78c, 78d, 78j, 78 78m, 78n, 78o, 78o-7 note, 78t, 78w, 78(d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, and Pub. L. 112-106, sec. 201(a), sec. 401, 126 Stat. 313 (2012), unless otherwise noted."
cfr_part: "230"
---


# 230.601 Definitions of terms used in §§ 230.601 to 230.610a.

As used in §§ 230.601 to 230.610a, the following terms shall have the meaning indicated:

*Act.* The term *Act* refers to the Securities Act of 1933 unless specifically stated otherwise.

*Affiliate.* An *affiliate* of an issuer is a person controlling, controlled by or under common control with such issuer. An individual who controls an issuer is also an affiliate of such issuer.

*Notification.* The term *notification* means the notification required by § 230.604.

*Offering circular.* The term *offering circular* means the offering circular required by § 230.605.

*State.* A *State* is any State, Territory or insular possession of the United States, or the District of Columbia.

*Underwriter.* The term *underwriter* shall have the meaning given in section 2(11) of the Act.