Terms Used In CFR > Title 33 > Chapter I > Subchapter NN > Part 150 > Subpart I > Records

• Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
• amount: when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security. See 17 CFR 240.12b-2
• certified: when used in regard to financial statements, means examined and reported upon with an opinion expressed by an independent public or certified public accountant. See 17 CFR 240.12b-2
• Continuance: Putting off of a hearing ot trial until a later time.
• Contract: A legal written agreement that becomes binding when signed.
• Conviction: A judgement of guilt against a criminal defendant.
• Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
• material: when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters to which there is a substantial likelihood that a reasonable investor would attach importance in determining whether to buy or sell the securities registered. See 17 CFR 240.12b-2
• statement: when used with reference to registration pursuant to section 12 of the act, includes both an application for registration of securities on a national securities exchange pursuant to section 12(b) of the act and a registration statement filed pursuant to section 12(g) of the act. See 17 CFR 240.12b-2
• voting securities: means securities the holders of which are presently entitled to vote for the election of directors. See 17 CFR 240.12b-2