17 C.F.R. § 240.3b-2
Definition of “officer”
The term officer means a president, vice president, secretary, treasury or principal financial officer, comptroller or principal accounting officer, and any person routinely performing corresponding functions with respect to any organization whether incorporated or unincorporated.
Notes of Decisions
Cited in 4
cases (1 in the last 5 years), 1988–2024 · leading case: C.R.A. Realty Corp. v. Joseph R. Crotty & United Artists Commc'ns, Inc., 878 F.2d 562 (2d Cir. 1989).
C.R.A. Realty Corp. v. Joseph R. Crotty & United Artists Commc'ns, Inc., 878 F.2d 562 (2d Cir. 1989). “78c(b) (1982) (SEC has power to define 1934 Act terms in manner consistent with Act); Rule 3b-2, 17 C.F.R. 240.3b-2 (1988). 2 Appellant asserts that, since Crotty is a vice-president of United Artists, this rule places him within the purview of Sec.”
In re Key Energy Servs., Inc. Sec. Litig., 166 F. Supp. 3d 822 (S.D. Tex. 2016). “” 17 C.F.R. 240.3b-2. . See David E. Dworsky, Foreign Corrupt Practices Act, 40 Am Crim.”
Jammies Int'l, Inc. v. Nowinski, 700 F. Supp. 189 (S.D.N.Y. 1988). “An SEC regulation, 17 C.F.R. 240.3b-2 (1987), defines the word officer under section 16(b) to include the vice-president of the issuing corporation.”
Leon Gilbert v. Unisys Corp. (Del. Ch. 2024). “See 17 C.F.R. 240.3b-2 (“The term officer means a president, vice president, secretary, treasury or principal financial officer, comptroller or principal accounting officer, and any person routinely performing corresponding functions with respect to any organization whether…”
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