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.