1934 Securities Act definition

1934 Securities Act means the Securities Exchange Act of 1934, as amended, and applicable rules and regulations thereunder, and any successor to such statute, rules or regulations. Any reference herein to a specific section, rule or regulation of the 1934 Securities Act shall be deemed to include any corresponding provisions of future law.
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Examples of 1934 Securities Act in a sentence

  • Hedge funds typically exempt out of the 1934 Securities Act by limiting their investors to fewer than 500.

  • Defining an asset backed security: The comments received focused heavily on whether the 17 CFR definition captured securities within the 1933 or 1934 Securities Act.

  • The SEC Letter states that SEC Staff would recommend that no enforcement action be taken against Merger and Acquisition Brokers who comply with the conditions enumerated in the SEC Letter and do not register as “broker-dealers” with the SEC pursuant to Section 15(b) of the 1934 Securities Act.

  • They study the OTC Bulletin Board (OTCBB), where rules similar to the 1934 Securities Act were enforced beginning in 1999.

  • Let the signal-to-noise ratio (SNR) be η = P/σ2 where P is the signal power andΣ4We use the expectation average power constraint E .Σn 2j=1 XjΣ≤ nP , which is not as strict as the summationaverage power constraintnj=1X2 ≤ nP since it allows the codeword power be larger than P with low probability.jAs shown in the Appendix 2.C, the sphere-packing property combined with the expectation average power constraintwill satisfy the summation average power constraint if the rate is less than capacity.BSC.

  • In addition, for officers and directors, Section 16-b of the 1934 Securities Act requires that any profits generated by short selling an employer's stock that occur within a six month period following the short sale, whether or not they are actually realized during that time, must be returned to the firm.

  • Given that we are working in the realm of observed frauds, we base the construction of our sample on the assumption that all cases of value-impacting fraud lead to a security class action lawsuit filed under the federal 1933 Exchange Act and or the 1934 Securities Act .

  • And finally, in 1995 the Private Securities Litigation Reform Act of 1995 further reduced auditor liability by limiting key aspects of their liability under the 1934 Securities Act and under RICO (Ali and Kallapur, 2001).

  • During the period ended March 31, 2008 the Company accrued or paid Platinum Group Metals Ltd.$33,670 under the office service agreement (2007 - $33,969).

  • The assertion of any violation by Borrower of the 1933 Securities Act, 1934 Securities Act or the Blue Sky Laws by any Governmental-Authorities or the institution of any securities litigation not dismissed within sixty (60) days of the commencement of same.

Related to 1934 Securities Act

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations made thereunder, as now in effect or as the same may from time to time be amended, re-enacted or replaced.

  • Securities Act means the Securities Act of 1933, as amended.

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • 1933 Act means the Securities Act of 1933, as amended.

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.

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

  • U.S. Securities Laws means all applicable securities legislation in the United States, including without limitation, the U.S. Securities Act, the U.S. Exchange Act and the rules and regulations promulgated thereunder, and any applicable state securities laws;

  • Israeli Securities Law means the Israeli Securities Law, 5728-1968, as amended, and the regulations promulgated thereunder.

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

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

  • Rule 144A Securities means all Initial Securities offered and sold to QIBs in reliance on Rule 144A.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

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

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Securities Laws means the 1933 Act, the 1934 Act and the 1940 Act.

  • Applicable Securities Law means (i) with respect to any offering of securities in the United States of America, or any other act or omission within that jurisdiction, the securities law of the United States, including the Exchange Act and the Securities Act, and any applicable law of any State of the United States, and (ii) with respect to any offering of securities in any jurisdiction other than the United States of America, or any related act or omission in that jurisdiction, the applicable laws of that jurisdiction.

  • Federal Securities Laws means the Securities Act of 1933, the Securities Exchange Act, the Sarbanes-Oxley Act of 2002, the Investment Company Act, the Investment Advisers Act, Title V of the Gramm-Leach-Bliley Act, any rules adopted by the Securities and Exchange Commission (the “Commission”) under any of these statutes, the Bank Secrecy Act as it applies to investment companies and investment advisers, and any rules adopted thereunder by the Commission or the Department of the Treasury.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;

  • Charities Act means the Charities Act 2011;

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • Applicable Securities Laws means the applicable securities legislation of each relevant province and territory of Canada, as amended from time to time, the rules, regulations and forms made or promulgated under any such statute and the published national instruments, multilateral instruments, policies, bulletins and notices of the securities commission and similar regulatory authority of each province and territory of Canada.