Rule 5110 definition

Rule 5110 means Rule 5110, Corporate Financing Rule — Underwriting Terms and Arrangements, of the FINRA Rules contained in the FINRA Manual, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by FINRA having substantially the same effect as such Rule.
Sample 1Sample 2

Examples of Rule 5110 in a sentence

  • The maximum amounts set forth in clauses (a) and (c) above are considered underwriting compensation pursuant to FINRA Rule 5110.

  • Comply with any required FINRA filings including filings required under Rule 5110 for the offering.

  • All of the information provided to the Underwriters or to counsel for the Underwriters by the Company and, to the knowledge of the Company, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with letters, filings or other supplemental information provided to FINRA pursuant to FINRA Conduct Rule 5110, 5121 or 5190 is true, complete and correct in all material aspects.

  • The establishment and maintenance of written procedures as required by this LTSE Rule 5.110.

  • No Member or Registered Representative shall exercise any discretionary power in a customer's account unless such customer has given prior written authorization to a stated individual or individuals and the account has been accepted by the Member, as evidenced in writing by the Member or the partner, officer, or manager duly designated by the Member, in accordance with LTSE Rule 5.110.

  • Consistent with the requirements of Rule 5.110, Members shall have adequate supervisory systems and procedures reasonably designed to ensure that individuals with permissive registrations do not act outside the scope of their assigned functions.

  • The term "business day" as used in paragraph (f)(2) of this LTSE Rule 5.110 shall not include any partial business day provided that the associated person spends at least four hours on such business day at his or her designated branch office during the hours that such office is normally open for business.

  • The registration and designation as a branch office or an office of supervisory jurisdiction (“OSJ”) of each location, including the main office, that meets the definitions contained in paragraph (e) of this LTSE Rule 5.110.

  • In general, the nature of activities conducted at a main office will satisfy the requirements of such terms..02 Designation of Additional OSJs.In addition to the locations that meet the definition of OSJ in LTSE Rule 5.110(f), each Member shall also register and designate other offices as OSJs as is necessary to supervise its associated persons in accordance with the standards set forth in LTSE Rule 5.110.

  • This limitation shall not apply to time and price discretion exercised in an institutional account, as defined in LTSE Rule 5.110 pursuant to valid Good-Till-Canceled instructions issued on a "not-held" basis.

Related to Rule 5110

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Rule 501 means Rule 501(a)(1), (2), (3) or (7) under the Securities Act.

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

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

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

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

  • Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • SEC Regulation D means Regulation D as promulgated under the Securities Act of 1933, as amended, as the same may be in effect from time to time.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

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

  • Rule 163 “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

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

  • Prohibited Investor means a person or entity whose name appears on (i) the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control; (ii) other lists of prohibited persons and entities as may be mandated by applicable law or regulation; or (iii) such other lists of prohibited persons and entities as may be provided to the Fund in connection therewith;

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • rule making ’ means agency process for formulating, amending, or repealing a rule;

  • Accredited Investor has the meaning set forth in Regulation D promulgated under the Securities Act.

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

  • Rule 506(d) Related Party means a person or entity that is a beneficial owner of such Buyer’s securities for purposes of Rule 506(d).

  • ERISA Investor means an Investor that is: (a) an “employee benefit plan” (as such term is defined in Section 3(3) of ERISA) subject to Title I of ERISA, (b) any “plan” defined in and subject to Section 4975 of the Code, or (c) a partnership or commingled account of a fund, or any other entity, whose assets include or are deemed to include the assets of one or more such employee benefit plans or plans in accordance with the Plan Assets Regulations or otherwise.