Rule 701 definition

Rule 701 means Rule 701 promulgated under the Securities Act.

Rule 701 means Rule 701 et seq. promulgated by the Commission under the Securities Act.

Rule 701 means Rule 701 et seq. promulgated by the Commission under the Securities Act. “SEC” means the Securities and Exchange Commission.

Examples of Rule 701 in a sentence

• This Rule 701 shall in no way be construed to create a cause of action and shall not authorize an action that would otherwise be prohibited by these Rules or Applicable Law.

• Forum and Arbitration Rules NFA will conduct any and all arbitrations of a type described in Rule 701 pursuant to NFA’s Member Arbitration Rules, as if each Participant or Authorized Trader to such arbitration was an “NFA Member”.

• Forum and Arbitration Rules NFA will conduct any and all arbitrations of a type described in Rule 701 pursuant to NFA’s Member Arbitration Rules, as if each Participant or Authorized Trader to such arbitration was an “NFA Member”.RULE 703.

• With respect to the Securities Act of 1933 (15 U.S.C. 77a et seq.) and Rule 701 thereunder (§ 230.701 of this chap- ter), to authorize the granting of appli- cations under Rule 703(b) (§ 230.703(b) of this chapter) upon a showing of good cause that it is not necessary under the circumstances that an exemption under Rule 701 be denied.

• If a Participant does not agree to keep the information to be provided pursuant to this section confidential, then the Company will not be required to provide the information unless otherwise required pursuant to Rule 12h-1(f)(1) under the Exchange Act or Rule 701 of the Securities Act.

More Definitions of Rule 701

Rule 701 means Rule 701 promulgated by the Securities Exchange Commission under the Securities Act.

Rule 701 means Rule 701 under the Securities Act of 1933, as amended.

Rule 701 means Rule 701 promulgated by the Commission under the Securities Act, as such rule may be amended from time to time, or any successor rule thereto.

Rule 701 means Rule 701 promulgated under the Securities Act of 1933, as amended.

Rule 701 means Rule 701 promulgated by the United States Securities and Exchange Commission under the United States Securities Act of 1933.

Rule 701 means Rule 701, promulgated by the Securities and Exchange Commission under the Securities Act, as from time to time in effect and applicable to the Plan and Participants.

Rule 701 means Rule 701 of the Securities Act;