SEC Letter Sample Clauses
A SEC Letter clause outlines the requirements and procedures related to obtaining, delivering, or relying on correspondence or formal communications with the U.S. Securities and Exchange Commission (SEC). In practice, this clause may specify that a party must provide copies of SEC comment letters, responses, or other regulatory communications relevant to a transaction, such as a merger or securities offering. The core function of this clause is to ensure transparency and regulatory compliance by making sure all parties are informed of any SEC feedback or concerns that could impact the transaction or the parties’ obligations.
SEC Letter. Customer acknowledges that transactions effected or cleared under this Prime Brokerage Annex and the Agreement are subject to the conditions specified by the Securities and Exchange Commission (“SEC”) in its No-Action Letter relating to prime brokerage, dated January 25, 1994, as such may be amended or supplemented or from time to time or in any subsequent letter superseding such letter (the “SEC Letter”), and that it is familiar with, and agrees to comply with, the terms of the SEC Letter.
SEC Letter. Transferee shall use commercially reasonable efforts to obtain written confirmation from the staff of the SEC that Transferee is not required to disclose historical financial statements for the Pipeline and Terminal Assets or the Operations for any period prior to the acquisition thereof by Transferee under Rule 3-05 of Regulation S-X promulgated under the Exchange Act.
SEC Letter. Buyer shall have received a letter from the staff of the Securities and Exchange Commission staff’s concurrence with filing certain abbreviated financial statements (such financial statements to include audited statement of revenues and direct operating expenses for the years ended September 30, 2002, 2001 and 2000 and an audited statement of acquired assets and liabilities at September 30, 2002) in lieu of the full financial statements otherwise required by Rule 3-05 of Regulation S-X.
SEC Letter. Employee shall deliver the letter attached hereto as Exhibit "C-2" for filing with the Form 8-k to be filed with the Securities and Exchange Commission in substantially the form attached hereto as Exhibit "C-3", which will be filed by the Company relative to the matters covered by this Agreement.