The SEC definition

The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with LIFE COMPANY, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies LIFE COMPANY that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with IDS Life of New York, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies IDS Life of New York that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to PREMIUM FUND exempting it from certain provisions of the 1940 Act and rules thereunder so that PREMIUM FUND may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with LIFE COMPANY, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to PREMIUM FUND. PREMIUM FUND hereby notifies LIFE COMPANY that, in the event that PREMIUM FUND implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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Examples of The SEC in a sentence

  • SEC Rule 15c1-5 and 15c1-6 The SEC has taken a no-action position with respect to Rule 15c1-5 and Rule 15c1-6 as to the required disclosure of control by a broker or dealer with respect to creations and redemptions of Fund Shares and secondary market transactions therein.

  • The SEC has clarified that Section 11(d)(1) does not apply to broker-dealers that are not Authorized Participants (and, therefore, do not create Creation Unit Aggregations) that engage in both proprietary and customer transactions in Shares of a Fund in the secondary market, and for broker-dealer Authorized Participants that engage in creations of Creation Unit Aggregations.

  • The SEC has also granted an exemption pursuant to paragraph (e) of Rule 102 under Regulation M to allow the redemption of Fund Shares in Creation Unit Aggregations during the continuous offering of Shares.

  • SEC Rule 15c1-5 and 15c1-6 (Disclosure of Control and interest in Distributions) The SEC has taken a no-action position under Rule 15c1-5 that will permit a broker-dealer to execute transactions in Shares without disclosing any control relationship with an issuer of a component security.

  • The SEC has taken a no-action position under Section 11(d)(1) that will permit broker-dealers that do not create Shares but engage in both proprietary and customer transactions in such Shares exclusively in the secondary market to extend or maintain or arrange for the extension or maintenance of credit on the Shares, in connection with such secondary market transactions.

  • The SEC has clarified that Section 11(d)(1) does not apply to broker- dealers that are not Authorized Participants (and, therefore, do not create Creation Unit Aggregations) that engage in both proprietary and customer transactions in Shares of a Fund in the secondary market, and for broker-dealer Authorized Participants that engage in creations of Creation Unit Aggregations.

  • The SEC Reports sets forth as of the date hereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC Reports set forth as of the date hereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC Reports set forth as of the dates thereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC Documents do not include any untrue statements of material fact, nor do they omit to state any material fact required to be stated therein necessary to make the statements made, in light of the circumstances under which they were made, not misleading.


More Definitions of The SEC

The SEC means the Thai Securities and Exchange Commission and/or the Thai Securities and Exchange Committee. This includes other state agencies with the same duties, notwithstanding differing departmental titles. Nonetheless, the definitions of terms under the Main Equities Brokerage Agreement shall also be applicable to this Memorandum. If this Memorandum and the Main Equities Brokerage Agreement do not specifically define particular words, such undefined words shall have the same meaning as under the SEC’s notifications, and/ or the Capital Market Supervisory Board, and/ or other related applicable laws with which the parties must comply. The Customer agrees to appoint and empower the Company to act as a broker to perform securities trading for investment in foreign Fractional Depositary Receipts “DRx.” In regards to such activities, the Customer agrees to pay any fees/commission fees to the Company, at the rate, period, and methods as specified by the Company, including responsibility for any taxes and expenses incurred from the Company’s activities in accordance with this Memorandum. Unless otherwise agreed in writing with the Company, the Customer agrees to pay in the currency of Thai Baht. The Customer agrees to act in accordance with applicable terms and conditions when executing an order to trade foreign securities of the Company, as follows:
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The SEC means the US Securities and Exchange Commission;
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with LIFE COMPANY, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). AVIF will provide a complete copy of such order to LIFE COMPANY upon execution of this Agreement. The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies LIFE COMPANY that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable life insurance contracts, separate accounts of insurance companies unaffiliated with LBL, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply. AVIF hereby notifies LBL that it may be appropriate to include in the prospectus pursuant to which a Policy is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to IVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that IVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with FKLA, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to IVIF. IVIF hereby notifies FKLA that, in the event that IVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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Related to The SEC

  • the Secretary means the secretary, or (if there are joint secretaries) any one of the joint secretaries, of the company and includes an assistant or deputy secretary and any person appointed by the board to perform any of the duties of the secretary;

  • the SSCBA means the Social Security Contributions and Benefits Act 1992;

  • bodies governed by public law means bodies that have all of the following characteristics:

  • the Secretary of State means the Secretary of State for Education;

  • Conspicuous , with reference to a term, means so written, displayed, or presented that a reasonable person against which it is to operate ought to have noticed it. Whether a term is "conspicuous" or not is a decision for the court. Conspicuous terms include any of the following:

  • Confidential treatment in its entirety, and replace it with the following:

  • Electronic Reports means any reports prepared by the Custodian and remitted to the Fund or its authorized representative via the internet or electronic mail.

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • Unredacted means a version/copy of the proposal containing all complete information; including any that the Offeror would otherwise consider confidential, such copy for use only for the purposes of evaluation.

  • the Governors means the directors of the Academy Trust (and "Governor" means any one of those directors), subject to the definition of this term at Article 6.9(b) in relation to Articles 6.2-6.9;

  • body governed by public law means any body:

  • the BCTF Plan means the Group RRSP entered into by the Federation and Royal Trust or a successor to that plan;

  • Public Governor means a member of the Council of Governors elected by the members of one of the Public Constituencies;

  • the CSA means the Common Services Agency for the Scottish Health Service constituted under Section 10 of the National Health Service (Scotland) Act 1978;

  • This law or "the law" means the Juvenile and Domestic Relations District Court Law embraced in

  • The Statute means Statute 7;

  • Trust Indenture Act of 1939 (except as otherwise provided in Sections 8.01 and 8.02) means the Trust Indenture Act of 1939 as in force at the date as of which this Indenture was originally executed.

  • the Constitution means the Constitution of the Republic of South Africa, Act 108 of 1996

  • Securities Act Legend means a Restricted Securities Legend or a Regulation S Legend.

  • 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.

  • the 2003 Act means the Health and Social Care (Community Health and Standards) Act 2003.

  • the Handbook means the Authority’s Handbook of rules and guidance;

  • State Records means any and all State data, information, and records, regardless of physical form, including, but not limited to, information subject to disclosure under CORA.

  • Current Report shall have the meaning assigned to such term in Section 2.3.

  • Corporate Records means the corporate records of a corporation, including (i) its articles, notice of articles or other constating documents, any unanimous shareholders agreement and any amendments thereto; (ii) all minutes of meetings and resolutions of shareholders, directors and any committee thereof; (iii) the share certificate books, register of shareholders, register of transfers and registers of directors and officers; and

  • The Union means USW Local 2010 representing the Bargaining Unit as defined in Article 2: “Recognition and Scope”.