17 CFR 12.12 – Signature
(a) By whom. All documents filed with the Commission shall be signed personally:
Terms Used In 17 CFR 12.12
- Attorney-at-law: A person who is legally qualified and licensed to practice law, and to represent and act for clients in legal proceedings.
- Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
(1) By the person or persons on whose behalf they are tendered for filing;
(2) By a general partner, officer or director of a partnership, corporation, association, or other legal entity; or
(3) By an attorney-at-law having authority with respect thereto.
(b) Effect. The signature on any document of any persons acting either for themselves or as attorney or agent for another constitutes certification by them that:
(1) They have read the document subscribed and know the contents thereof;
(2) If executed in any representative capacity, it was done with full power and authority to do so;
(3) To the best of their knowledge, information, and belief, every statement contained in the document is true and not misleading; and
(4) The document is not being interposed for delay.