SEC Rule definition

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

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time.

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

• If acting in the capacity of an Independent Registered Municipal Advisor (“XXXX”) regarding the “XXXX exemption” of the SEC Rule, Consultant will review all third‐party recommendations submitted to the District in writing, if requested.

• As contemplated in Appendix D, Data Types and Sources, each Participant shall report Participant Data to the Central Repository for consolidation and storage in a format or formats specified by the Plan Processor, approved by the Operating Committee and compliant with SEC Rule 613.

• As contemplated in Appendix D, Data Types and Sources, each Participant shall, through its Compliance Rule, require its Industry Members to report Industry Member Data to the Central Repository for consolidation and storage in a format or formats specified by the Plan Processor, approved by the Operating Committee and compliant with SEC Rule 613.

• Participants may, but are not required to, coordinate or share surveillance efforts through the use of regulatory services agreements and agreements adopted pursuant to SEC Rule 17d-2.

• Each Participant shall comply with and enforce compliance, as required by SEC Rule 608(c), by its Industry Members with the provisions of SEC Rule 613 and of this Agreement, as applicable, to the Participant and its Industry Members.

More Definitions of SEC Rule

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time or such other similar rule regarding disclosure of information in securities transactions.

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. 144(b)(1)” means Rule 144(b)(1) promulgated by the SEC under the Securities Act, or any successor provisions.

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities

SEC Rule will have the meaning ascribed to it in Section 12.8.