OTC reporting issuer definition

OTC reporting issuer means an OTC issuer that is a reporting issuer;
OTC reporting issuer means an OTC issuer that is a reporting issuer; “promotional activities” means activities or communications, by or on behalf of an

Examples of OTC reporting issuer in a sentence

  • Investors should be aware that inherent limitations on the ability of certifying officers of an OTC reporting issuer to design and implement on a cost effective basis DC&P and ICFR as defined in NI 52-109 may result in additional risks to the quality, reliability, transparency and timeliness of interim and annual filings and other reports provided under securities legislation.

  • Except in British Columbia, for an OTC reporting issuer, the requirement of National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities concerning the filing of Form 51-101F1 Statement of Reserves Data and Other Oil and Gas Information applies only to financial years beginning on or after January 1, 2012.

  • Section 14.2 of National Instrument 71-101 The Multijurisdictional Disclosure System and section 4.2 of National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers do not apply to an OTC reporting issuer.

  • Section 4.2 of Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids does not apply to a take-over bid for an OTC reporting issuer for 2 years after the ticker-symbol date.

  • In Québec, an OTC reporting issuer must apply to the securities regulatory authority to have its status as an OTC reporting issuer revoked in order to cease to be a reporting issuer.

  • If a person will carry on promotional activities under an agreement, arrangement, commitment or understanding with an OTC reporting issuer, the OTC reporting issuer must file a notice in the form of Form 51-105F2 Notice of Promotional Activities naming the person and describing the activities and the relationship of the OTC reporting issuer with the person, and the particulars of their agreement, arrangement, commitment or understanding with the OTC reporting issuer.

  • Sections 2.3, 2.4, 2.5 and 2.6 of National Instrument 45-102 Resale of Securities do not apply to the first trade of a security of an OTC reporting issuer distributed under an exemption from the prospectus requirement.

  • Standards of Disclosure for Mineral Projectsdoes not apply to an OTC reporting issuer.

  • Form 52-109FV2 Certification of interim filings – OTC reporting issuer basic certificateI, Robert V.

  • The Instrument provides a transition period for an OTC reporting issuer that is not an SEC filer.

Related to OTC reporting issuer

  • reporting issuer shall have the meaning set forth in Section 6.2.

  • Reporting Company means a company that is obligated to file periodic reports under Sections 13 or 15(d) of the Securities Exchange 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 Jurisdictions means each of the provinces and territories of Canada;

  • securities regulatory authority or “SRA” means a body created by statute in any Canadian or foreign jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity;

  • Securities 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;

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

  • 1934 Act means the 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.

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

  • Foreign Private Issuer means a “foreign private issuer,” as defined in Rule 405 under the Securities Act.

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • Securities Regulatory Authorities means the securities commission or similar regulatory authority in each province and territory of Canada that is responsible for administering the Canadian securities legislation in force in such jurisdictions;

  • SEC Reports shall have the meaning ascribed to such term in Section 3.1(h).

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

  • Rapid(ly) report(ing means within 72 hours of discovery of any cyber incident.

  • Reporting Insider means an insider of a reporting issuer if the insider is

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

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

  • Consumer reporting agency means any person that, for monetary fees, dues, or on a cooperative nonprofit basis, regularly engages in whole or in part in the practice of assembling or evaluating consumer credit information or other information concerning consumers for the purpose of furnishing consumer credit reports to third parties.

  • Reporting Counterparty means, for purposes of Part 45 of CFTC Regulations, the Participant or Authorized Trader that is designated as such pursuant to Rule 528(b).

  • Reporting Party means any person who alleges that a student has violated this Code.

  • 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)).

  • Reporting Material means all Material which the Grantee is required to provide to the Commonwealth for reporting purposes as specified in the Grant Details and includes any Existing Material that is incorporated in or supplied with the Reporting Material.

  • 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.