SEA Rule definition
Examples of SEA Rule in a sentence
SEA Rule 612—Minimum Pricing Securities and Exchange Commission, Station Place, ▇▇▇ ▇ ▇▇▇▇▇▇, ▇▇., ▇▇▇▇▇▇▇▇▇▇, ▇▇ ▇▇▇▇▇–▇▇▇▇.
Provide us with copies of all posts and related communications to maintain accurate records as required by SEA Rule 17a-4(b).
Under either method, filing with the SEC under subparagraph (c)(6) of Appendix D to SEA Rule 15c3-1 is not required; however, the modifications should be filed with the designated examining authority.
Filing under SEA Rule 15c3-1d(c)(6) is required for the new subordination.
And The Firm will not claim an exemption from SEA Rule 15c3-3, in reliance on footnote 74 to SEC Release 34-70073, and as discussed in Q&A 8 of the related FAQ issued by SEC staff.
If lenders are given assets of a broker-dealer either directly or indirectly to collateralize subordinated loans, the loans do not qualify as satisfactory subordination agreements pursuant to Appendix D of SEA Rule 15c3-1 and cannot be considered part of a firm’s capital.
Note that any extension of a satisfactory subordination agreement grandfathered pursuant to SEA Rule 15c3-1(g)(1), must be conformed to Appendix D no later than September 1, 1980.
In the event that the minimum offering amount is not obtained within twelve months from commencement, then the Company shall return all Subscriber funds without interest promptly following the end of twelve months in accordance with SEA Rule 10b-9.
The phrase in bearer form as it applies to securities collateralizing a secured demand note (SEA Rule 15c3-1d(c)(4)) possesses no specialized definition; a security is in bearer form for purposes of Appendix D when it runs to bearer according to its terms and not by reason of any endorsement.
Confirmations for Money Market Mutual Fund purchases processed through the sweep platform are not sent pursuant to SEA Rule 10b-10(b)(1).