The term Exchange Act definition

The term Exchange Act means the Securities Exchange Act of 1934, as amended, or any similar federal statute, and the rules and regulations of the Commission thereunder, as the same may be in effect from time to time.
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Examples of The term Exchange Act in a sentence

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

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

  • The term Exchange Act means the Securities Exchange Act of 1934 (15U.S.C. 78a et seq.).

  • The term "Exchange Act" for purposes of this Agreement shall mean the Securities Exchange Act of 1934, as amended.

  • The term "Exchange Act" shall mean the Securities Exchange Act of 1934, as amended from time to time.

  • The law requires broker-dealers and investment advisers to adopt, maintain and enforce written insider trading policies and procedures designed to prevent the misuse of material nonpublic information by their directors, officers and employees.

  • The term "Exchange Act" for purposes of this --------- Agreement shall mean the Securities Exchange Act of 1934, as amended.

  • The term "Exchange Act" means the Securities Exchange Act of 1934, as amended from time to time, or any successor act thereto.

  • The term "Exchange Act" means the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder.

  • The term "Exchange Act" shall mean the Securities Exchange Act of 1934, as heretofore and hereafter amended.

Related to The term Exchange Act

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;

  • 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;

  • 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.

  • 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.

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

  • Exchange Act Person means any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act), except that “Exchange Act Person” will not include (i) the Company or any Subsidiary of the Company, (ii) any employee benefit plan of the Company or any Subsidiary of the Company or any trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Subsidiary of the Company, (iii) an underwriter temporarily holding securities pursuant to a registered public offering of such securities, (iv) an Entity Owned, directly or indirectly, by the stockholders of the Company in substantially the same proportions as their Ownership of stock of the Company; or (v) any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act) that, as of the Effective Date, is the Owner, directly or indirectly, of securities of the Company representing more than 50% of the combined voting power of the Company’s then outstanding securities.

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

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • 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)).

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

  • Investment Company Act Event means that the Company shall have received an Opinion of Counsel to the effect that, as a result of the occurrence of a change in law or regulation or a written change in interpretation or application of law or regulation by any legislative body, court, governmental agency or regulatory authority, there is more than an insubstantial risk that the Securities Trust is or will be considered an "investment company" that is required to be registered under the Investment Company Act of 1940, as amended, which change becomes effective on or after the Original Issue Date.

  • 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.

  • Short-term employee A person who is employed to perform a service for the District, upon the completion of which the service required or similar services will not be extended or needed on a continuing basis. (Short-term employees include: hourly, casual and temporary classified employees.)

  • POPI Act means the Protection of Personal Information Act, Act 4 of 2013;

  • 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 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

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

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

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

  • ACNC Act means the Australian Charities and Not-for-profits Commission Act 2012 (Cth).

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

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

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

  • SEBI Act or “Act” means the Securities and Exchange Board of India Act, 1992;