Preclearance Sample Clauses

Preclearance. You and members of your Family/Household are prohibited from engaging in any transaction in a Covered Security for any account in which you or a member of your Family/Household has any Beneficial Ownership, unless you obtain, in advance of the transaction, written preclearance for that transaction from a Code Officer. The written preclearance form is attached to this Code as Form E. Once obtained, preclearance is valid only for the day on which it is granted. A Code Officer may revoke a preclearance any time after it is granted and before you execute the transaction. A Code Officer may deny or revoke preclearance for any reason.
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Preclearance. The preclearance requirements in Section II.B.1(a), do not apply to the following categories of transactions:
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Preclearance. Covered Persons should contact the Company’s Compliance Officer before they, and in the case of executive officers and directors, any Household Member (as defined below) or entity whose securities are attributable to them1, engage in any proposed transaction involving securities of the Company. This will enable the Company to (i) determine whether there are any securities restrictions or filing requirements that might apply, (ii) assist the person in complying with such restrictions or requirements, and (iii) update the Company’s records for purposes satisfying federal securities law disclosure requirements relating to insider transactions holdings. For purposes of this policy statement, securities of the Company include both debt securities, which may include notes and other related instruments, and equity securities, which not only include the Company’s common stock and any series of preferred stock of Company, but also related “derivative securities” (i.e., securities that are exercisable or exchangeable for, or convertible into, equity securities of the Company, or which derive their value from a Company equity security, such as exchange-traded put and call options). For purposes of this policy statement, “Household Member” includes all the following persons who share the director’s or executive officer’s household: a spouse, children (including adopted children, stepchildren and children away at college), and other members of the person’s 1 Securities held by a trust, partnership, corporation or other investment entity in which a director executive officer has a pecuniary interest or investment control may be attributed to them. Banc of America Investment Services, Inc. 5-18-2007 immediate family (such as grandchildren, parents, stepparents, grandparents, siblings and in-laws).
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Related to Preclearance

  • FINRA Clearance On or before the date of this Agreement, the Representative shall have received clearance from FINRA as to the amount of compensation allowable or payable to the Underwriters as described in the Registration Statement.

  • Customs Clearance 1. Both Parties shall apply their respective customs procedures in a predictable, consistent and transparent manner.

  • NASD Clearance By the Effective Date, the Representative shall have received clearance from the NASD as to the amount of compensation allowable or payable to the Underwriters as described in the Registration Statement.

  • Regulatory Approval 25.1 The Parties understand and agree that this Agreement and any amendment or modification hereto will be filed with the Commission for approval in accordance with Section 252 of the Act and may thereafter be filed with the FCC. The Parties believe in good faith and agree that the services to be provided under this Agreement are in the public interest. Each Party covenants and agrees to fully support approval of this Agreement by the Commission or the FCC under Section 252 of the Act without modification.

  • Clearances Advertiser will be responsible, at its own cost and expense, for obtaining all clearances, authorizations, permissions, licenses, and releases (collectively, “Clearances”) from third parties necessary to enable Station to distribute the Advertiser Content under this Section 4, including, without limitation, (i) Clearances for any of the following creative elements appearing in or otherwise displayed via the Advertiser Content: photos, video footage, music (including, without limitation, any synchronization and mechanical licenses), audio tracks, trademarks, service marks, and rights of publicity and other indicia of identity, and (ii) Clearances from any individuals or entities whose trademarks, service marks, other corporate indicia, names, voices, likenesses, and other indicia of identity may appear in any of the Advertiser Content.

  • No Regulatory Approval By CenterState or Charter, if either of their respective boards of directors so determines by a vote of a majority of the members of its entire board, in the event any Regulatory Approval required for consummation of the transactions contemplated by this Agreement shall have been denied by final, non-appealable action by such Governmental Authority or an application therefor shall have been permanently withdrawn at the request of a Governmental Authority.

  • CLEARANCE PATTERNS 7.1 The State shall develop separate clearance patterns for each of the following:

  • Requisite Regulatory Approvals All Consents required to be obtained from or made with any Governmental Authority in order to consummate the transactions contemplated by this Agreement shall have been obtained or made.

  • Other Regulatory Approvals Each party hereto shall cooperate and use its reasonable best efforts to promptly prepare and file all necessary documentation to effect all necessary applications, notices, petitions, filings and other documents, and use all reasonable efforts to obtain (and will cooperate with each other in obtaining) any consent, acquiescence, authorization, order or approval of, or any exemption or nonopposition by, any Governmental Entity required to be obtained or made by Parent or the Company or any of their respective Subsidiaries in connection with the Offer and the Merger or the taking of any other action contemplated by this Agreement.

  • Regulatory Affairs Development and production of medical products and processes fall under the purview of the Food and Drug Administration (FDA) and research on these products involving animal or human studies is regulated by other laws, directives, and regulations. Project Awards under this Agreement that involve work in support of or related to FDA regulatory approval will address contingencies for Government access to regulatory rights in the event of product development abandonment or failure. Efforts conducted under this OTA shall be done ethically and in accordance with all applicable laws, directives, and regulations. The Government shall ensure performance includes regulatory expertise and guidance for candidate medical countermeasure development efforts:

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