The Exchange Act definition

The Exchange Act. A reference herein to a section of ------------------ the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any rule or regulation promulgated thereunder shall be construed to incorporate reference to any section of the Exchange Act or any rule or regulation enacted or promulgated as a successor thereto.
The Exchange Act means the United States Securities Exchange Act of 1934 as amended, and the rules and regulations promulgated thereunder;

Examples of The Exchange Act in a sentence

  • The Exchange Act Registration Statement has become effective as provided in Section 12 of the Exchange Act.

  • The Exchange Act Individual Defendants are liable both directly and indirectly for the wrongs complained of herein.

  • The Exchange Act Individual Defendants are liable for the false statements and omissions pleaded herein.

  • The Exchange Act, which covers insider trading, defines “Security” very broadly to include most types of financial instruments,9 except bank debt.10 There may be instances where Supervised Persons receive information about such investments that is not generally known by other institutional investors - even those institutional investors who may be similarly situated (e.g., lenders that are privy to nonpublic information and have access to bank-level information or primary lender meetings).

  • The Exchange Act Reports, when they were or are filed with the Commission, conformed or will conform in all material respects to the applicable requirements of the Exchange Act and the applicable rules and regulations of the Commission thereunder.

  • The Exchange Act requires that we file annual, quarterly and current reports with respect to our business and financial condition.

  • The Exchange Act Registration Statement has been declared effective by the Commission on the date hereof and the Units, the Common Stock and the Warrants have been registered pursuant to Section 12(b) of the Exchange Act.

  • The Exchange Act does not prohibit otherwise lawful activity that has the incidental result of changing the supply or demand or the intrinsic value of a security.

  • The Exchange Act shall mean the Securities Exchange Act of 1934, as amended.

  • The Exchange Act and penny stock rules generally impose additional sales practice and disclosure requirements on broker-dealers who sell our securities to persons other than certain accredited investors who are, generally, institutions with assets in excess of $4,000,000 or individuals with net worth in excess of $1,000,000 or annual income exceeding $200,000 ($300,000 jointly with spouse), or in transactions not recommended by the broker-dealer.


More Definitions of The Exchange Act

The Exchange Act means the United States Securities Exchange Act of 1934 as amended, and the rules and regulations promulgated thereunder; "GKW" means GKW Unified Holdings, LLC; "OFFICER" means a person appointed by the Board pursuant to Bye-Law 112-7 of these Bye-Laws and shall not include an auditor of the Company; "LOEWS" means The Loews Corporation;
The Exchange Act means the US Exchange Act;

Related to The Exchange Act

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder;

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

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

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

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

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

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Limited Exchange Act Reporting Obligations The obligations of the Master Servicer under Section 3.16(b), Section 6.02 and Section 6.04 with respect to notice and information to be provided to the Depositor and Article XI (except Section 11.07(a)(1) and (2)).

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

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

  • Other Exchange Act Reporting Party With respect to any Other Securitization Trust that is subject to the reporting requirements of the Exchange Act, the trustee, certificate administrator, master servicer, special servicer or depositor under the related Other Pooling and Servicing Agreement that is responsible for the preparation and/or filing of Form 8-K, Form 10-D, Form ABS-EE and Form 10-K with respect to such Other Securitization Trust, as identified in writing to the parties to this Agreement; and, with respect to any Other Securitization Trust that is not subject to the reporting requirements of the Exchange Act, the trustee, certificate administrator, master servicer, special servicer or depositor under the related Other Pooling and Servicing Agreement that is responsible for the preparation and/or dissemination of periodic distribution date statements or similar reports, as identified in writing to the parties to this Agreement.

  • Rule 16b-3 means Rule 16b-3 of the Exchange Act or any successor to Rule 16b-3, as in effect when discretion is being exercised with respect to the Plan.

  • 1940 Act Rules and Regulations means the rules and regulations of the Commission under the 1940 Act.

  • Exchange Act Report shall have the meaning assigned to such term in Section 3.3.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • SEC Rule 145 means Rule 145 promulgated by the SEC under the Securities Act.

  • Exchange Act Reports means any reports on Form 10-D, Form 8-K and Form 10-K filed or to be filed by the Seller with respect to the Issuer under the Exchange Act.

  • Exchange Act Filing shall have the meaning set forth in Section 5.1.11(f) hereof.

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

  • Exchange Act Documents means all forms, proxy statements, registration statements, reports, schedules, and other documents, including all certifications and statements required by the Exchange Act or Section 906 of the Xxxxxxxx-Xxxxx Act with respect to any report that is an Exchange Act Document, filed, or required to be filed, by a Party or any of its Subsidiaries with any Regulatory Authority pursuant to the Securities Laws.

  • Rule 134 “Rule 164,” “Rule 172,” “Rule 405,” “Rule 415,” “Rule 424,” “Rule 430A,” “Rule 430B,” “Rule 433” and “Rule 462” refer to such rules under the Act.

  • Investment Company Act of 1940 means the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

  • Advisers Act Rules and Regulations means the rules and regulations of the Commission under the Advisers Act.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.