SEC Registrant definition

SEC Registrant means an issuer with a class of equity securities registered under the Exchange Act.
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Examples of SEC Registrant in a sentence

  • The Company shall continuously maintain from the Effective Date of Closing of five hundred thousand ($500,000) dollars of capitalization, insurance coverage for its directors and officers and those of its subsidiaries in the form as is customary for an SEC Registrant and in a scope satisfactory to Consultant.

  • The parties agree that any such notification of the inclusion of any SEC Registrant Introducer(s) on Appendix C hereto shall be an instruction under the Agreement directing the Bank not to perform the AML/Sanctions Assistance Functions for Fund Investors introduced by any such SEC Registrant Introducer(s).

  • The Company shall continuously benefit from the Effective Date of Closing of five hundred thousand ($500,000) dollars of capitalization from insurance coverage for its directors and officers and those of its subsidiaries in the form as is customary for an SEC Registrant.

  • In the event that the Fund approves one or more additional SEC Registrant Introducers, the Fund shall notify the Bank in writing and shall provide an updated Appendix C to this Supplement.