SEC Regulations definition

SEC Regulations means the rules, regulations and orders promulgated by the SEC and in effect at any given time.
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SEC Regulations means the rules, regulations and orders promulgated by the SEC and in effect at any given time, including, without limitation, any rules promulgated under the SEA.
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SEC Regulations means the rules and regulations of the SEC in so far as they apply to the Company;
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Examples of SEC Regulations in a sentence

  • In order to comply with SEC regulations, Purchaser may need the right prior to or subsequent to Closing, to conduct an audit of Seller's books and records for the Property in conformity with applicable SEC Regulations for prior years and/or for Seller's period of ownership during the year in which the Closing occurs.

  • If for any reason (including, without limitation, the Commission’s interpretation of Rule 415) the Commission does not permit all of the Registrable Securities to be included in such Registration Statement, then the Company shall prepare and file with the Commission one or more separate Registration Statements with respect to any such Registrable Securities not included with the initial Registration Statements, as soon as allowed under SEC Regulations and is commercially practicable.

  • Ryder Scott estimated the reserves based on the definitions and disclosure guidelines of the United States Securities and Exchange Commission (SEC) contained in Title 17, Code of Federal Regulations, Modernization of Oil and Gas Reporting, Final Rule released January 14, 2009 in the Federal Register (SEC Regulations).

  • The Parent's Form 10-K Annual Reports have been filed with certified financial statements, in compliance with SEC Regulations.

  • Compliance with SEC Regulations It is the Company's intent that the 1998 Plan comply in all respects with Rule 16b-3 of the Act and any regulations promulgated thereunder.

  • Processing Fees Assessed Fees Funds Processing ACH Bitcoin & Ethereum Credit Cards Checks Wires ACH Exceptions $2 $1.00 $0 (no fee) 4.5% 3.75% $10 $15 $10 domestic / $35 $25 international $5 Compliance Fees (cont.) Assessed Fees $45 $45 $100 $160 Bad Actor Checks7 US Individuals US Entity Int’l Individual Int’l Entity 7 Note: Bad Actor Checks (“BACs”) are one-time pre-offering fees per issuer “covered person” per SEC Regulations.

  • All members of the Committee must be able to read and understand fundamental financial statements (including balance sheets, income statements and cash flow statements) at the time of their appointment to the Committee, and at least one member shall have accounting or related financial management expertise that results in the member’s financial sophistication to the extent that such member shall qualify to be an “audit committee financial expert” as defined by applicable SEC Regulations.

  • GEC will be required to comply with all SEC Regulations which are required to maintain its status as an OTCQB company.

  • Mineral Resources have been classified in accordance with the U.S. Securities and Exchange Commission (US SEC) Regulations S-K subpart 1300 rules for Property Disclosures for Mining Registrants (S-K 1300).

  • The members of the Committee shall be composed of three independent directors, appointed by the Board, all of whom must be financially literate and at least one member shall have accounting or related financial management expertise and be an audit committee financial expert as defined in SEC Regulations.


More Definitions of SEC Regulations

SEC Regulations the rules and regulations of the SEC in so far as they apply to the Company;
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SEC Regulations means the rules and regulations of the SEC, including with-out limitation, the rules and regulations of the SEC promulgated under the U.S. Securi-ties Act of 1933, as amended, and the U.S. Securities Exchange Act of 1934, as amended. “Share(s)” shall have the meaning set forth in the recitals above. “Share Lending Agreement” shall have the meaning set forth in Clause 3.2.2. “Subscription Price” shall have the meaning set forth in Clause 2.2.2. “Subsidiary(ies)” means any entity over which this Issuer has Control. “Trading Day” means any day during which Nasdaq Stock Market is open for ordi-nary business, provided that “Trading Day” shall not include any day (i) on which the Shares have not been traded, (ii) on which the Shares are scheduled to trade on such market for less than 4.5 hours (it being specified for the avoidance of doubt that any day during which there would be no effective trading would be considered as a Trading Day if this is not due to a suspension requested by the Issuer or the stock market au-thorities) or (iii) that the Shares are suspended from trading at the request of the DocuSign Envelope ID: 7D73C804-9904-45E2-BB2F-36E65EB1DF15
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SEC Regulations means the rules and regulations promulgated by the SEC under the US Securities Exchange Act of 1934; and
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Related to SEC Regulations

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • FCC Regulations means the regulations duly and lawfully promulgated by the FCC, as in effect from time to time.

  • ISA Regulations means The Individual Savings Account Regulations 1998, as amended or replaced from time to time.

  • PPPFA Regulations means the Preferential Procurement Regulations, 2017 published in terms of the PPPFA.

  • public regulation means any national, provincial or local government legislation or subordinate legislation, or any licence, tariff, directive or similar authorisation issued by a regulatory authority or pursuant to any statutory authority;

  • the 1997 Regulations means the Zebra, Pelican and Puffin Pedestrian Crossing Regulations 1997.

  • UCITS Regulations means the European Communities Undertakings for Collective Investment in Transferable Securities) Regulations, 2011 (S.I. No. 352 of 2011) (as amended consolidated or substituted from time to time) and any regulations or notices issued by the Central Bank pursuant thereto for the time being in force.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.

  • TUPE Regulations means the Transfer of Undertakings (Protection of Employment) Regulations 2006, as amended.

  • HIPAA Regulations means the regulations promulgated under HIPAA by the United States Department of Health and Human Services, including, but not limited to, 45 C.F.R. Part 160 and 45 C.F.R. Part 164.

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • Radio Regulations means the Radio Regulations annexed to, or regarded as being annexed to, the most recent International Telecommunication Convention which may be in force at any time.

  • CDM Regulations means the Construction (Design and Management) Regulations 2015;

  • OFAC Regulations means the regulations promulgated by OFAC, as amended from time to time.

  • the 2001 Regulations means the Water Supply (Water Quality) Regulations 2001[63];

  • SBE Regulations means the written regulations and procedures adopted pursuant to this chapter for procurement of Supplies, Services and Public Works.

  • TRADES Regulations means the regulations of the United States Department of the Treasury, published at 31 C.F.R. Part 357, as amended from time to time. Unless otherwise defined herein, all terms defined in the TRADES Regulations are used herein as therein defined.

  • EEA Regulations means the Immigration (European Economic Area) Regulations 2006.

  • FHA Regulations means the regulations promulgated by the Department of Housing and Urban Development under the National Housing Act, as amended from time to time and codified in 24 Code of Federal Regulations, and other Department of Housing and Urban Development issuances relating to FHA Loans, including the related handbooks, circulars, notices and mortgagee letters.

  • These regulations means 9VAC5-10 (General Definitions) through 9VAC5-80 (Permits for Stationary Sources).

  • OHS Regulation means the Workers Compensation Act (British Columbia), including without limitation, the Occupational Health & Safety Regulation (BC Regulation 296/97, as amended by BC Regulation 185/99) enacted pursuant to such Act, all as such Act or Regulations are amended or re-enacted from time to time.

  • the 2007 Regulations means the Civil Enforcement of Parking Contraventions (England) General Regulations 2007;

  • EU Regulation means a regulation within the meaning of Article 288 of the Treaty on the Functioning of the European Union;

  • the 2012 Regulations means the Council Tax Reduction Schemes (Prescribed Requirements) (England) Regulations 2012;