SEC Rules means Rule 204A-1 under the Advisers Act and Rule 17j-1 under the 1940 Act. 3

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

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

Failure to provide that information within 10 calendar days is deemed a violation of the Code and SEC Rules.
Failure to provide that information within the time specified (if it is not being provided directly to Compliance by the financial institution or other party) shall be deemed a violation of the Code and SEC Rules.
SEC Rules require that this report include the title, number of shares and principal amount of each security held in an Employee's personal account, and the name of any broker, dealer or bank with whom the Employee maintains an account.
Among other things, Compliance will vet any potential third party to determine if it is a permissible placement agent under SEC Rules 206(4)-3 and 206(4)-5.
If the SEC Rules and or regulations relating to the issuance of Common Stock under a Form S-8 should change during the terms of this Plan, the Board of Directors shall have the power to alter this Plan to conform to such changes.

More Definitions of SEC Rules

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 rules and regulations of the SEC promulgated under the Securities Act and Exchange Act.