Securities ActSecurities Act definition

Securities ActSecurities Act means the Securities Act of 1933 and any statute successor thereto, in each case as amended from time to time.
Sample 1

Examples of Securities ActSecurities Act in a sentence

  • The investment firm must communicate the reasons why the advice is considered to be in the best interest of the customers at the time the advice is given.Securities CommissionPART THREE, CHAPTER I, Section 47b (1)a) of the Securities ActSecurities Act: Art.

  • Before accepting an order an investment firm must take reasonable care to verify that the order is suitable for the customer in light of the information disclosed to it by the customer and the information available to it, including the information arising from the customer relationship.Securities CommissionPART THREE, CHAPTER I, Section 47b (1)a) of the Securities ActSecurities Act: Art.

  • CYPRUSCyprus Securities and Exchange Commission andthe Central Bank of CyprusParagraph 12 of Part I of Annex 8 of the Code of Business Conduct for Investment Firms and the Natural Persons employed by them,Directive 1/2003 CZECH REPUBLICSecurities CommissionPART THREE, CHAPTER I, Section 47b (1) a) of the Securities ActSecurities Act: Art.

  • The investment firm may transmit or execute the order only if the customer nonetheless confirms his intention to proceed with the transaction in writing or by telephone and recorded, and provided that such confirmation contains an explicit reference to the warning received.Securities CommissionPART THREE, CHAPTER I, Section 47b (1)a) of the Securities ActSecurities Act: Art.

  • An investment firm must take reasonable care to verify that the customer has sufficient financial resources to settle the proposed transaction.Securities CommissionPART THREE, CHAPTER I, Section 47b (1)a) of the Securities ActSecurities Act: Art.

  • If the investment firm executes in another trading venue, it must be able to demonstrate to the customer that this was done in accordance with his best interest.Securities CommissionPART THREE, CHAPTER I, Section 47b (1)a) of the Securities ActSecurities Act: Art.

  • This will be expressly provided for in the forthcoming amendments to the Code of Business Conduct of Investment Firms and the Natural Persons employed by them, Directive 1/2003 which are expected to be issued by the end of the first quarter of 2004CZECH REPUBLICSecurities CommissionPART THREE, CHAPTER I, Section 47b (1) a) of the Securities ActSecurities Act: Art.

  • CYPRUSCyprus Securities andExchange Commission and the Central Bank of CyprusParagraph 13 of Part I of Annex 8 of the Code of Business Conductfor Investment Firms and the Natural Persons employed by them, Directive 1/2003 CZECH REPUBLICSecurities CommissionPART THREE, CHAPTER I, Section 47b (1) a) of the Securities ActSecurities Act: Art.

  • This matter will be comprehensively covered in the forthcoming amendments to the Code of Business Conduct for Investment Firms and the Natural Persons employed by them, Directive 1/2003, which are expected to be issued by the end of the first quarter of 2004.CZECH REPUBLICSecurities CommissionPART THREE, CHAPTER I, Section 47b (1) a) of the Securities ActSecurities Act: Art.

  • Except for market participants, the public at large is essentially unaffected by the investigative components of the Securities Act.Securities Act, R.S.O. 1990, c.

Related to Securities ActSecurities Act

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations made thereunder, as now in effect or as the same may from time to time be amended, re-enacted or replaced.

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • Securities Act means the Securities Act of 1933, as amended.

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.

  • 1933 Act means the Securities Act of 1933, as amended.

  • U.S. Securities Laws means all applicable securities legislation in the United States, including without limitation, the U.S. Securities Act, the U.S. Exchange Act and the rules and regulations promulgated thereunder, and any applicable state securities laws;

  • Charities Act means the Charities Act 2011;

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Securities Laws means the 1933 Act, the 1934 Act and the 1940 Act.

  • Israeli Securities Law means the Israeli Securities Law, 5728-1968, as amended, and the regulations promulgated thereunder.

  • Federal Securities Laws means the Securities Act of 1933, the Securities Exchange Act, the Sarbanes-Oxley Act of 2002, the Investment Company Act, the Investment Advisers Act, Title V of the Gramm-Leach-Bliley Act, any rules adopted by the Securities and Exchange Commission (the “Commission”) under any of these statutes, the Bank Secrecy Act as it applies to investment companies and investment advisers, and any rules adopted thereunder by the Commission or the Department of the Treasury.

  • Canadian Securities Laws means all applicable securities laws of each of the Qualifying Jurisdictions and the respective rules and regulations under such laws together with applicable published national, multilateral and local policy statements, instruments, notices, blanket orders and rulings of the securities regulatory authorities in the Qualifying Jurisdictions;

  • Public Utilities Act means the Illinois Public Utilities Act, 220 ILCS 5.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Rule 144A Securities means all Initial Securities offered and sold to QIBs in reliance on Rule 144A.

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Societies Act means the Societies Act of the Province of British Columbia from time to time in force and all amendments to it;

  • Applicable Securities Laws means the applicable securities legislation of each relevant province and territory of Canada, as amended from time to time, the rules, regulations and forms made or promulgated under any such statute and the published national instruments, multilateral instruments, policies, bulletins and notices of the securities commission and similar regulatory authority of each province and territory of Canada.

  • Applicable Securities Legislation means applicable securities laws (including rules, regulations, policies and instruments) in each of the applicable provinces and territories of Canada;

  • Canadian securities legislation means the applicable securities legislation in force in each province and territory of Canada, all regulations, rules, orders and policies made thereunder and all multilateral and national instruments adopted by the securities regulatory authorities.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • securities legislation means statutes concerning the regulation of securities markets and trading in securities and the regulations, rules, forms and schedules under those statutes, all as amended from time to time, and the blanket rulings and orders, as amended from time to time, issued by the securities commissions or similar regulatory authorities appointed under or pursuant to those statutes; “Canadian securities legislation” means the securities legislation in any province or territory of Canada and includes the Securities Act (British Columbia); and “U.S. securities legislation” means the securities legislation in the federal jurisdiction of the United States and in any state of the United States and includes the Securities Act of 1933 and the Securities Exchange Act of 1934; and

  • Applicable Canadian Securities Laws means, collectively, and as the context may require, the applicable securities legislation of each of the provinces and territories of Canada, and the rules, regulations, instruments, orders and policies published and/or promulgated thereunder, as such may be amended from time to time prior to the Effective Date;