Reportable Securities definition

Reportable Securities means any instrument included within the definition of "security" under the 1940 Act, but does not include the following:

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Reportable Securities means all securities in which an Access Person has a beneficial interest except: (i) U.S. Government securities, (ii) money market instruments (e.g., bankers' acceptances, bank certificates of deposit, commercial paper, repurchase agreements and other high quality short-term debt instruments), (iii) shares of money market funds, (iv) shares and holding in other mutual funds unless the Company acts as the investment advisor to, or the principal underwriter of, the subject fund, and (iv) units of a unit investment trust if the UIT is invested exclusively in unaffiliated mutual funds.

Reportable Securities means the same as the term used in Rule 204A-1, and includes any common stock, preferred stock, closed end- investment company, Reportable Fund, debt securities, futures contracts and options on futures contracts relating to any stock, bond or index, and any other investment contract or other instrument that is considered a “security” under Section 202(a)(18) of the Advisers Act. However, the term does not include the following:

Examples of Reportable Securities in a sentence

PRECLEARANCE OF PERSONAL SECURITIES TRANSACTIONS Access Persons must preclear all personal transactions in Reportable Securities, unless an exemption applies.
Directors, Trustees and Officers must preclear all personal transactions in Reportable Securities if such person knew or should have known that the same Reportable Securities have been traded or considered for trade by the Fund or by the Adviser for purchase by the Fund within the past 15 days.
The same responsibility applies to Directors, Trustees and Officers, and their Associated Accounts, if such person knew or should have known that the same Reportable Securities have been traded or considered for trade by the Fund or by the Adviser for purchase by the Fund within the past 15 days.
Note: Access Persons are responsible for preclearing transactions in Reportable Securities in all Associated Accounts.
EXCEPTION -- A person need not make a report under this section with respect to transactions effected for, and Reportable Securities held in, an Associated Account over which the person has no direct or indirect influence or control.

More Definitions of Reportable Securities

Reportable Securities means all securities in which an Access Person has a beneficial interest except: (i) U.S. Government securities, (ii) money market instruments (e.g., bankers' acceptances, bank certificates of deposit, commercial paper, repurchase agreements and other high quality short-term debt instruments), (iii) shares of money market funds, (iv) shares and holdings in open-end mutual funds (except affiliated mutual funds) and (iv) units of a unit investment trust (except affiliated unit investment trusts).

Reportable Securities means all securities in which an Access Person has a Beneficial Ownership interest except:

Reportable Securities means all securities defined as such under the Investment Advisers Act of 1940 (the "Advisers Act"), and includes:

Reportable Securities means any Security other than “Exempted Securities,” which are direct obligations of the United States Government, bankers’ acceptances, bank certificates of deposit, commercial paper and high quality short-term debt instruments, including repurchase agreements, and shares issued by open-end investment companies registered under the 1940 Act, other than Reportable Funds. For purposes of this Code, Reportable Securities also includes all Digital Securities.

Reportable Securities means all securities other than Exempt Securities.

Reportable Securities means the same as the term used in Rule 204A-1, and includes any common stock, preferred stock, closed-end investment company, Reportable Fund, debt securities, any put, call, straddle, option or privilege on any security or on any group or index of securities, security future2, any interest or instrument commonly known as a “security”, and any other investment contract or other instrument that is considered a “security” under Section 202(a) (18) of the Advisers Act. “Reportable Securities” also include ETFs. However, the term does not include the following:

Reportable Securities means any Security other than “Exempted Securities,” which are direct obligations of the United States Government, bankers’ acceptances, bank certificates of deposit, commercial paper and high quality short-term debt instruments, including repurchase agreements, and shares issued by open-end investment companies registered under the Investment Company Act, other than Reportable Funds.