Exchange ActExchange Act definition

Exchange ActExchange Act means the Securities Exchange Act of 1934 and any statute successor thereto, in each case as amended from time to time.
Sample 1

Examples of Exchange ActExchange Act in a sentence

  • First Claim: Violation of Section 10 of the Exchange ActExchange Act Section 10: Manipulative and Deceptive DevicesIt shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange—a.

  • Sixth Claim: Violations of Section 13(b)(5) of the Exchange ActExchange Act Section 13: Periodical and Other ReportsPart (b): Form of report; books, records, and internal accounting; directives5.

  • Third Claim: Violation of Section 20(a) of the Exchange ActExchange Act Section 20: Liabilities of Controlling Persons and Persons Who Aid and Abet Violationsa.

Related to Exchange ActExchange Act

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

  • 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;

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

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

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

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

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

  • 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.

  • Exchange Act Filing shall have the meaning set forth in Section 5.1.11(f) hereof.

  • 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.

  • Exchange Act Report shall have the meaning assigned to such term in Section 3.3.

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

  • Exchange Act Reports means any reports on Form 10-D, Form 8-K and Form 10-K filed or to be filed by the Seller with respect to the Issuer under the Exchange Act.

  • Exchange Act Documents means all forms, proxy statements, registration statements, reports, schedules, and other documents, including all certifications and statements required by the Exchange Act or Section 906 of the Xxxxxxxx-Xxxxx Act with respect to any report that is an Exchange Act Document, filed, or required to be filed, by a Party or any of its Subsidiaries with any Regulatory Authority pursuant to the Securities Laws.

  • 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.

  • 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)).

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • SEC Rule 145 means Rule 145 promulgated by the SEC under the Securities Act.

  • Reporting Person means an officer, Director, or greater than ten percent stockholder of the Company within the meaning of Rule 16a-2 under the Exchange Act, who is required to file reports pursuant to Rule 16a-3 under the Exchange Act.

  • Reporting Company means a company that is obligated to file periodic reports under Sections 13 or 15(d) of the Securities Exchange Act.

  • Form 10-Q is defined in Section 7.1(a).

  • Rule 17g-5 Rule 17g-5 under the Exchange Act.

  • (14A) domestic support obligation’ means a

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.