Exchange Act or Act definition

Exchange Act or Act means the Securities Exchange Act of 1934, as amended from time to time, including rules thereunder and successor provision and rules thereto.
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Exchange Act or Act means the Securities Exchange Act of 1934, as amended.
Sample 1

Examples of Exchange Act or Act in a sentence

  • Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 ("Exchange Act" or "Act"), the National Association of Securities Dealers, Inc.

  • The term "BOX" means the Boston Options Exchange or Boston Stock Exchange Options Exchange, an options trading facility of the Exchange under Section 3(a)(2) of the Securities Exchange Act of 1934 ("Exchange Act" or "Act"), as defined in Chapter I, Section 1(6) of the Rules of the Boston Options Exchange Facility ("BOX Rules").

  • The Securities Exchange Act of 1934 ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate.

  • Definitions For purposes of the PORTAL® Rules, unless the context requires otherwise: (a) "Exchange Act" or "Act" means the Securities Exchange Act of 1934, as amended from time to time.

  • This case involves one of those laws, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act or Act), 15 U.S.C. 78j(b), and its implied private right of action.

  • The faculty member shall then have the opportunity to provide to the Committee a written response to the stated issue[s].

Related to Exchange Act or Act

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

  • Exchange Act Person means any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act), except that “Exchange Act Person” will not include (i) the Company or any Subsidiary of the Company, (ii) any employee benefit plan of the Company or any Subsidiary of the Company or any trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Subsidiary of the Company, (iii) an underwriter temporarily holding securities pursuant to a registered public offering of such securities, (iv) an Entity Owned, directly or indirectly, by the stockholders of the Company in substantially the same proportions as their Ownership of stock of the Company; or (v) any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act) that, as of the Effective Date, is the Owner, directly or indirectly, of securities of the Company representing more than 50% of the combined voting power of the Company’s then outstanding securities.

  • 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.

  • Investment Company Act means the Investment Company Act of 1940, as amended.

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