1107003 Informal Interpretation

Date:
Rule:
Item 4(d)
Staff:
Michael Verne
Response/Comments:

  - Correct

Question

From: (Redacted)
Sent: Tuesday, July 19, 2011 11:22PM
To: Verne, B.Michael
Cc: Walsh, Kathryn
Subject: RE: New Item 4(d) scope

Mike:does the same definition of 'directors or officers' apply to 4(d) -i.e., anyperson (1) serving in a position designated by the bylaws or articles ofincorporation; or (2) appointed by the board of directors (or similar body inthe case of an unincorporated entity)? Many thanks (redacted)

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