Securities Activities definition

Securities Activities means any activities, functions or services (without regard to where such activities, functions or services actually occur) subject to any Law governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.

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Securities Activities means any financial instrument, including but not limited to stocks and bonds or other financial investments, offered or sold to the public, or listed or traded on any national exchange or other organized securities or investment trading market.

Securities Activities means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities Laws or the securities Laws of any state of the United States or (ii) outside of the United States within any other jurisdiction in the world, would be subject to any Law in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.

Examples of Securities Activities in a sentence

• Pursuant to a certain Securities Activities and Services Agreement, Foreside will hold the FINRA registration of certain employees of an affiliate of the Client who will market the Trust.

• Further, the Company acknowledges and agrees that ▇▇▇▇▇▇ shall be entitled to engage, and may engage, in Securities Activities on behalf of other persons or entities (including ▇▇▇▇▇▇ and members of his family) and that any ▇▇▇▇▇▇ family members (including any spouse), may also engage in extensive Securities Activities.

• Further, the Company acknowledges and agrees that ▇▇▇▇▇▇ shall be entitled to engage, and will continue to engage, in Securities Activities on behalf of other persons or entities (including ▇▇▇▇▇▇ and members of his family) and that ▇▇▇▇▇▇'▇ wife may also engage in extensive Securities Activities.

• Further, the Company acknowledges and agrees that ▇▇▇▇▇▇ shall be entitled to engage, and will continue to engage, in Securities Activities on behalf of other persons or entities (including ▇▇▇▇▇▇ and members of his family) and that ▇▇▇▇▇▇’▇ wife may also engage in extensive Securities Activities.

• Recently, the General Office of the Central Committee of the Communist Party of China and the General Office of the State Council jointly issued the Opinions on Severe and Lawful Crackdown on Illegal Securities Activities, which was available to the public on July 6, 2021.

• Securities Activities...................................................................

• During the continuous public offering of Shares of the Funds, the Distributor shall use commercially reasonable efforts to assist with sale and distribution of the Shares through the Registered Reps identified in the Securities Activities and Services Agreement existing as of March 28, 2014 between BCS Financial Services Corporation (“BCSFSC”) and the Distributor (the “SAS Agreement’), and by fulfilling Distributor’s duties hereunder and under the SAS Agreement.

• Borrower's Securities Activities............................................

• Securities Activities............................................

• Further, the Company acknowledges and agrees that Cr▇▇▇▇ ▇hall be entitled to engage, and will continue to engage, in Securities Activities on behalf of other persons or entities (including Cr▇▇▇▇ ▇nd members of his family) and that Cr▇▇▇▇'▇ ▇ife will also engage in extensive Securities Activities.

More Definitions of Securities Activities

Securities Activities means any of the Insured’s acts or omissions in relation to any security or to any activities or transactions covered in whole or in part by The Securities Act of 1933, The Securities Exchange Act of 1934, The Trust Indenture Act of 1939, The Investment Company Act of 1940, The Investment Advisors Act of 1940, The Public Utility Holding Company Act of 1935, or other Federal Securities Law, or in relation to any purchase, sale or offering of any security to or from the public which is covered or claimed to be covered by any State Blue Sky or Securities Law, or any Rules or Regulations issued pursuant to any of the aforementioned, or any amendments or replacements thereof.

Securities Activities means any of the Insured’s acts or omissions in relation to any security or to any activities or transactions covered in whole or in part by The Securities Act of 1933, The Securities Exchange Act of 1934, The Trust Indenture Act of 1939, The Investment Company Act of 1940, The Investment Advisors Act of 1940, The Public Utility Holding Company Act of 1935, or other Federal Securities Law, or in relation to any purchase, sale or offering of any security to or from the public which is covered or claims to be covered by any State Blue Sky or Securities Law, or any Rules or Regulations issued pursuant to any of the aforementioned, or any amendments or replacements thereof.

Securities Activities means any of the Insured’s acts or omissions in relation to any security or to any activities or transactions covered in whole or in part by The Securities Act of 1933, The Securities Exchange Act of 1934, The Trust Indenture Act of 1939, The Investment Company Act of 1940,