SEC Rule definition

SEC Rule means the Securities and Exchange Commission Rule 15c2-12 under the Securities Exchange Act of 1934, as amended (17 C.F.R. part 240, § 240 15c2-12).

Examples of SEC Rule in a sentence

  • SEC Rule 15c1-5 and 15c1-6 The SEC has taken a no-action position with respect to Rule 15c1-5 and Rule 15c1-6 as to the required disclosure of control by a broker or dealer with respect to creations and redemptions of Fund Shares and secondary market transactions therein.

  • SEC Rule 15c1-5 and 15c1-6 (Disclosure of Control and interest in Distributions) The SEC has taken a no-action position under Rule 15c1-5 that will permit a broker-dealer to execute transactions in Shares without disclosing any control relationship with an issuer of a component security.

  • Quarterly confirmation statements shall contain the information required by SEC Rule 10b–10(b)(2).

  • Securities Exchange Commission ComplianceAccording to defendants, any testimony about UBS's compliance with Securities Exchange Commission ("SEC") Rule 17a-4 is irrelevant and should be excluded.

  • This same observation applies to plaintiff presenting evidence of alleged violations of SEC Rule 17a-4 to the jury, which could cause undue prejudice.


More Definitions of SEC Rule

SEC Rule means Rule 15c2-12 promulgated by Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.
SEC Rule means Rule 15c2-12 adopted by the SEC under the Securities Exchange Act of 1934, as the same may be amended from time to time.
SEC Rule means SEC Rule 15c2-12.
SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities
SEC Rule. 144(b)(1)” means Rule 144(b)(1) promulgated by the SEC under the Securities Act, or any successor provisions.
SEC Rule will have the meaning ascribed to it in Section 12.8.