Exchange Act Rules and Regulations definition

Exchange Act Rules and Regulations means the rules and regulations of the Commission under the Exchange Act.
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Exchange Act Rules and Regulations means the rules and regulations of the Securities and Exchange Commission (the “Commission”) thereunder. “Prospectus” shall mean the prospectus first filed with the Commission pursuant to Rule 424(b) under the Act, and the prospectus included in the Registration Statement at the time it becomes effective. “Rule 158,” “Rule 424,” “Rule 434” and “Rule 430A” refer to such rules under the Act (the rules and regulations under the Act, the “Act Regulations”), and “Rule 430A Information” means information with respect to the Shares and the offering thereof permitted to be omitted from the Registration Statement when it becomes effective pursuant to Rule 430A. For purposes of the representations and warranties contained herein, to the extent reference is made to the Prospectus and at the relevant time the Prospectus is not yet in existence, such reference shall be deemed to be to the most recent Preliminary Prospectus. For purposes of this Agreement, all references to the Registration Statement, Prospectus or Preliminary Prospectus or to any amendment or supplement to any of the foregoing shall be deemed to include the copy filed with the Commission pursuant to its Electronic Data Gathering Analysis and Retrieval system (“XXXXX”). All references in this Agreement to the Registration Statement, any Preliminary Prospectus or the Prospectus shall be deemed to include any document which is incorporated by reference in the Registration Statement, such Preliminary Prospectus or the Prospectus, as the case may be. All references in this Agreement to financial statements and schedules and other information which is “contained,” “included,” “reflected” or “stated” in the Registration Statement, any Preliminary Prospectus or the Prospectus (or other references of like import) shall be deemed to mean and include any financial statement, schedule and other information which is incorporated by reference in the Registration Statement, any Preliminary Prospectus or the Prospectus, as the case may be.
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Examples of Exchange Act Rules and Regulations in a sentence

  • The undersigned dealer represents and warrants that the undersigned dealer is duly registered as a broker-dealer under the provisions of the Exchange Act and the Exchange Act Rules and Regulations or is exempt from such registration.

  • Regardless of the termination of this Agreement, Dealer will deliver a Prospectus in transactions in the Shares for a period of 90 days from the effective date of the Registration Statement or such longer period as may be required by the Exchange Act or the Exchange Act Rules and Regulations thereunder.

  • No other financial statements or schedules of the Partnership are required by the Securities Act, the Rules and Regulations, the Exchange Act or the Exchange Act Rules and Regulations to be included in the Registration Statement or the Prospectus.

  • No other financial statements or schedules of the Company are required by the Act, the Exchange Act, the Exchange Act Rules and Regulations or the Rules and Regulations to be included in the Registration Statement, the Pricing Prospectus or the Prospectus.

  • Regardless of the termination of this Agreement, Dealer will deliver a Prospectus (and, in the event of a Follow-On Offering, the applicable Follow-On Prospectus) in transactions with respect to the Shares for a period of 90 days from the effective date of the Registration Statement or such longer period as may be required by the Exchange Act or the Exchange Act Rules and Regulations thereunder.

  • Kevin provided a more comprehensive report at the Clerks and Judges Conference held on February 4th.

  • Notwithstanding the foregoing, in accordance with the applicable Exchange Act Rules and Regulations, if Soliciting Dealer has net capital of $250,000 or more, it may instruct its customers to make their checks payable to Soliciting Dealer.

  • We represent and warrant that we are duly registered as a broker-dealer under the provisions of the Exchange Act and the Exchange Act Rules and Regulations or we are exempt from such registration.

  • We hereby represent that we will comply with the applicable requirements of the Securities Act, the Securities Act Rules and Regulations, the Exchange Act and the Exchange Act Rules and Regulations.

  • The financial statements, together with the related notes and schedules, included or incorporated by reference in the SEC filings comply in all material respects with the Act, the Exchange Act and the Exchange Act Rules and Regulations.

Related to Exchange Act Rules and Regulations

  • 1940 Act Rules and Regulations means the rules and regulations of the Commission under the 1940 Act.

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

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Repurchase Rules and Regulations shall have the meaning specified in Section 6.14 of the Indenture.

  • Rules and Regulations means the rules and regulations of the Commission.

  • SAFE Rules and Regulations means collectively, the Circular 37 and any other applicable SAFE rules and regulations, as amended.

  • 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.

  • 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;

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

  • WHFIT Regulations Treasury Regulations section 1.671-5, as amended.

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

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

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

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • UCITS Regulations means the European Communities Undertakings for Collective Investment in Transferable Securities) Regulations, 2011 (S.I. No. 352 of 2011) (as amended consolidated or substituted from time to time) and any regulations or notices issued by the Central Bank pursuant thereto for the time being in force.

  • Sarbanes-Oxley Act means the Sarbanes-Oxley Act of 2002.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

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

  • Limited Exchange Act Reporting Obligations The obligations of the Master Servicer under Section 3.16(b), Section 6.02 and Section 6.04 with respect to notice and information to be provided to the Depositor and Article XI (except Section 11.07(a)(1) and (2)).

  • Plan Asset Regulations means 29 CFR § 2510.3-101 et seq., as modified by Section 3(42) of ERISA, as amended from time to time.

  • CREST Regulations means the Uncertificated Securities Regulations 2001 (SI 2001 No. 01/378), as amended.

  • Other Exchange Act Reporting Party With respect to any Other Securitization Trust that is subject to the reporting requirements of the Exchange Act, the trustee, certificate administrator, master servicer, special servicer or depositor under the related Other Pooling and Servicing Agreement that is responsible for the preparation and/or filing of Form 8-K, Form 10-D, Form ABS-EE and Form 10-K with respect to such Other Securitization Trust, as identified in writing to the parties to this Agreement; and, with respect to any Other Securitization Trust that is not subject to the reporting requirements of the Exchange Act, the trustee, certificate administrator, master servicer, special servicer or depositor under the related Other Pooling and Servicing Agreement that is responsible for the preparation and/or dissemination of periodic distribution date statements or similar reports, as identified in writing to the parties to this Agreement.