SEC Disciplinary Orders Sample Clauses

SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
Sample 1Sample 2Sample 3See All (12)
AutoNDA by SimpleDocs
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any pxxxx stock?1 ¨ Yes. If yes, please explain: __________________________________________________________________ ¨ No.
Sample 1Sample 2See All (11)
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
Sample 1Sample 2Sample 3See All (10)
SEC Disciplinary Orders. Is the undersigned subject to an SEC order entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 or Section 203(e) or (f) of the Investment Advisers Act of 1940 that: • suspends or revokes the undersigned’s registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of the undersigned; or • bars the undersigned from being associated with any entity or from participating in the offering of any xxxxx stock? Yes X No
Sample 1See All (6)
SEC Disciplinary Orders. Are you subject to any order of the Securities and Exchange Commission (“SEC”) that currently: ¨ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ¨ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ¨ bars you from being associated with any entity or from participating in the offering of any pxxxx stock?1 ¨ Yes. If yes, please explain: ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ¨ No.
Sample 1See All (4)
SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940, as amended (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
Sample 1Sample 2
SEC Disciplinary Orders. Are you subject to any order of the Securities and Exchange Commission (“SEC”) that currently: ☐ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ☐ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ☐ bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ______________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ ☐ No. _______________________________ 1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
Sample 1
AutoNDA by SimpleDocs
SEC Disciplinary Orders. You are not currently subject to an order of the SEC relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or Section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Investment Advisers Act”) that (a) suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser, (b) places limitations on the activities, functions or operations or (c) bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
Sample 1

Related to SEC Disciplinary Orders

  • Pre-Disciplinary Meeting The College will schedule a pre-disciplinary meeting to permit the faculty member to respond to a notice of intent to discipline. At the beginning of any pre-disciplinary meeting, the College will describe its proposed discipline and the general reasons for issuing the proposed discipline.

  • Disciplinary Meetings In the event a meeting is held for disciplinary purposes, the affected employee shall have the right to have a Union xxxxxxx and/or Union representative present.

  • Disciplinary Sanctions The Company shall not be required to engage in the three-step dispute resolution process prior to imposing disciplinary sanctions for violation of the Agreement.

  • Disciplinary Actions Disciplinary Actions and Appeals shall be governed by SP&P and TSHRS laws, regulations, TSHRS Disciplinary Action Policy 7G.1 and other applicable policies.

  • Disciplinary Appeals All forms of disciplinary action which are not appealable to the Civil Service Commission or the courts, except written or oral reprimands and Forms 475, shall be subject to review through Steps 3, 4, 5 and 6 of the grievance procedure.

  • Disciplinary Grievances If the grievance is not resolved at Step 2, the Union may file a request for mediation with the Public Employment Relations Commission (PERC) in accordance with WAC 000-00-000, with a copy to the Office of Financial Management/SHR/Labor Relations Section (OFM/SHR/LRS) and the Human Resources Office within fifteen (15) days of receipt of the Step 2 decision. In addition to all other filing requirements, the request must include a copy of the grievance and all previous responses.

  • DISCIPLINARY AND GRIEVANCE PROCEDURES 16.1 The Employee is subject to the Company's disciplinary and grievance procedures, copies of which are available from the Group HR Manager. These procedures do not form part of the Employee's contract of employment.

  • Disciplinary Information There are no legal or disciplinary events to disclose in response to this item.

  • Notice of Criminal Activity and Disciplinary Actions a. Xxxxxxx shall immediately report in writing to their contract manager when Xxxxxxx has knowledge or any reason to believe that they or any person with ownership or controlling interest in the organization/business, or their agent, employee, contractor or volunteer that is providing services under this Contract has:

  • Right to Grieve Disciplinary Action Employees shall have the right to grieve written censures or warnings, and adverse employee appraisals. Employees shall have the right to rebut in writing any disciplinary notice and that rebuttal will be placed in the employee file, but will not be part of the formal disciplinary record. Should an employee dispute any such entry in his/her file, he/she shall be entitled to recourse through the Grievance Procedure and the eventual resolution thereof shall become part of his/her personal record.

Time is Money Join Law Insider Premium to draft better contracts faster.