58 Pa. Code § 433a.1
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
Applicant-A person that has submitted an application to the Board for a slot machine license, manufacturer license, manufacturer designee license, supplier license or management company license.
Director-A director of a corporation, member of an audit committee or any person performing similar functions with respect to an entity, whether incorporated or unincorporated.
Entity-A person, other than an individual.
Indirect ownership interest-An ownership interest in an entity that has a direct ownership interest in an applicant or licensee, or a direct ownership interest in an entity that has an ownership interest in an applicant or licensee through one or more intervening entities.
Individual-A natural person.
Lending institution-A person who has been issued a license to lend money by a state or Federal agency or a person who satisfies the definition of "qualified institutional buyer" under 17 CFR 230.144a (relating to private resales of securities to institutions).
Licensee-A person that has been issued a slot machine license, manufacturer license, manufacturer designee license, supplier license or management company license.
Officer-A president, chief executive officer, chief operating officer, secretary, treasurer, principal legal officer, principal compliance officer, principal financial officer, principal accounting officer, chief engineer or technical officer of a manufacturer, senior surveillance and audit executives of a principal affiliate of a slot machine licensee and any person routinely performing corresponding functions with respect to an entity whether incorporated or unincorporated.
Principal affiliate-An intermediary or holding company of an applicant or licensee.
Principal entity-An entity that meets the definition of "principal" in section 1103 of the act (relating to definitions) or is otherwise required to be licensed as a principal and is not an intermediary or holding company of an applicant or licensee.
Private investment fund-An entity that meets the definition of "investment company" under section 3(a)(1) of the Investment Company Act of 1940 ( 15 U.S.C.A. § 80a -3(a)(1)), but is otherwise exempt from the definition of "investment company" under section 3(c)(7) of the Investment Company Act of 1940.
Registered investment adviser-An investment adviser registered with the SEC under the Investment Advisers Act of 1940 ( 15 U.S.C.A. §§ 80b -1-80 b-21).
Registered investment company-An investment company registered with the SEC under the Investment Company Act of 1940 ( 15 U.S.C.A. §§ 80a -1-80 a-64).
Voting security-A security or other interest which entitles the owner to vote for the election of:
58 Pa. Code § 433a.1
The provisions of this § 433a.1 amended under 4 Pa.C.S. §§ 1202(b)(9)-(23) and (30), 1205, 1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 1311.1, 1326, 13A11, 13A12-13A14, 13A15 and 1802 and Chapter 13.
This section cited in 58 Pa. Code § 808a.2 (relating to interactive gaming principals); and 58 Pa. Code § 1406a.2 (relating to sports wagering principals).