SEC Rules definition

SEC Rules means Rule 204A-1 under the Advisers Act and Rule 17j-1 under the 1940 Act.

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SEC Rules means the rules and regulations promulgated by the SEC under the Securities Act, the Exchange Act or SOX.

SEC Rules. Any rules promulgated by the Commission, and any interpretations thereof by the staff of the Commission.

Examples of SEC Rules in a sentence

• All parties agree to maintain the Escrow Account and escrowed funds in a manner that is compliant with SEC Rules 10b-9 and 15c2-4, promulgated under the Securities Exchange Act of 1934, as amended.

• All such materials shall, to the extent applicable, be maintained and preserved in conformity with the Act and the rules and regulations thereunder, including without limitation, SEC Rules 31a-1 and 31a-2.

• Each indenture, contract, lease, mortgage, deed of trust, note agreement, loan or other agreement or instrument of a character that is required to be described or summarized in the SEC Documents or to be filed as an exhibit to the SEC Documents under the SEC Rules (collectively, the “Material Contracts”) is so described, summarized or filed.

• There is no Litigation that would be required to be disclosed in a Form 10-K or Form 10-Q pursuant to Item 103 of Regulation S-K of SEC Rules and Regulations that are not so disclosed, pending or, to its Knowledge, threatened against Seacoast, or against any asset, interest, or right of any of them, nor are there any Orders of any Governmental Authority or arbitrators outstanding against Seacoast.

• Dealer’s acceptance of this Participating Dealer Agreement constitutes a representation to the Company and the Dealer Manager that Dealer has established and implemented an anti-money laundering compliance program (“AML Program”) in accordance with applicable law, including applicable FINRA Rules, SEC Rules and Section 352 of the Money Laundering Abatement Act, reasonably expected to detect and cause the reporting of suspicious transactions in connection with the sale of Shares of the Company.

More Definitions of SEC Rules

SEC Rules means the rules, regulations, orders, statements and interpretations published or issued by the SEC, as amended.

SEC Rules means any rule, regulation or interpretation of the SEC or the staff thereof; and

SEC Rules means the rules and regulations imposed by the SEC.

SEC Rules. As defined in Section 6.5.

SEC Rules shall have the meaning ascribed to such term in Section 3.1(k).

SEC Rules means the Exchange Act and such statutes, rules, regulations, interpretations, releases, orders, determinations, reports, or statements as are administered, enforced, adopted or promulgated by the SEC.

SEC Rules means the rules of the United States Securities and Exchange Commission applicable to the conduct of investment activities;