17 CFR 240.3b-7
§ 240.3b-7 Definition of “executive officer”.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 240.3b-7, § 240.3b-7 Definition of “executive officer”, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68938
- Permanent ID
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Full text
The term executive officer, when used with reference to a registrant, means its president, any vice president of the registrant in charge of a principal business unit, division or function (such as sales, administration or finance), any other officer who performs a policy making function or any other person who performs similar policy making functions for the registrant. Executive officers of subsidiaries may be deemed executive officers of the registrant if they perform such policy making functions for the registrant.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.