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.