1934 Act definition

1934 Act means the Securities Exchange Act of 1934, as amended.

1934 Act means the Securities Exchange Act of 1934, as amended from time to time.

1934 Act means the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder.

Examples of 1934 Act in a sentence

• The Underwriter agrees that it is not registered as a broker-dealer under Section 15 of the 1934 Act, will not offer or sell any Securities in, or to persons who are nationals or residents of, the United States other than through one of its United States registered broker-dealer affiliates or otherwise in compliance with Rule 15a-6 under the 1934 Act.

• Company hereby authorizes Distributor to enter into separate written agreements, on such terms and conditions as Distributor may determine are consistent with this Agreement, with broker-dealers that are registered under the 1934 Act and are members of the NASD (“Brokers” or “Broker”).

• Distributor represents and warrants to the Company that Distributor is, and during the term of this Agreement shall remain, registered as a broker-dealer under the 1934 Act, admitted as a member with the NASD, and duly registered under applicable state securities laws, and that Distributor is and shall remain during the term of this Agreement in compliance with Section 9(a) of the 1940 Act.

• The accountants who certified the audited consolidated financial statements of the Company included in the SEC Reports are independent public accountants as required by the 1933 Act, the 1934 Act and the rules and regulations of the Commission promulgated thereunder, and the Public Company Accounting Oversight Board.

• The Company has timely filed all SEC Reports required to be filed by the Company with the Commission pursuant to the reporting requirements of the 1934 Act for the two years preceding the date of this Agreement.

More Definitions of 1934 Act

1934 Act means the Securities Exchange Act of 1934, as amended, or any similar federal statute, and the rules and regulations of the SEC thereunder, all as the same will then be in effect.

1934 Act means the Securities Exchange Act of 1934.

1934 Act means the Securities Exchange Act of 1934, as amended, or any successor statute, and the rules and regulations promulgated thereunder.

1934 Act means the Securities Exchange Act of 1934, as amended. Reference to a specific section of the 1934 Act or regulation thereunder shall include such section or regulation, any valid regulation promulgated under such section, and any comparable provision of any future legislation or regulation amending, supplementing or superseding such section or regulation.

1934 Act. The Securities Exchange Act of 1934, as amended.

1934 Act means the Securities Exchange Act of 1934, and “1940 Act” means the Investment Company Act of 1940, in each case as amended and in effect at the relevant time.

1934 Act means the Securities Exchange Act of l934, as amended from time to time.