Principal Underwriters definition

Principal Underwriters means Equitable Advisors, LLC and Equitable Distributors, LLC.
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Principal Underwriters means Bank of China Limited, China Securities Co., Ltd. andStandard Chartered Bank (China) Limited.
Sample 1

Examples of Principal Underwriters in a sentence

  • Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters ( Final PTE 84-24), 81 Fed.

  • Amendments to Class Exemption for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, Investment Companies and Investment Company Principal Underwriters ( 1984 Amendment to PTE 84-24), 49 Fed.

  • The BIC Exemption also requires that various items of information must be incorporated into the contract including: (1) an acknowledgement by the adviser and financial institution of fiduciary status under ERISA or the Internal Revenue Code with Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84- 24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters, 81 Fed.

  • Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies and Investment Company Principal Underwriters ( Proposed Amendment to and Proposed Partial Revocation of PTE 84-24), 80 Fed.

  • See Amendment to andPartial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters (Final PTE 84-24), 81 Fed.

  • Department of Labor, Extension of Transition Period and Delay of Applicability Dates; Best Interest Contract Exemption (PTE 2016-01); Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs (PTE 2016-02); Prohibited Transaction Exemption 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters (PTE 84-24), 82 Fed.

  • Proposed Amendment to and Proposed Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies and Investment Company Principal Underwriters, 80 Fed.

  • The final interest rate shall be disclosed in an announcement made in accordance with the applicable rules and be determined by the Issuer and the Principal Underwriters after the Bookbuilding exercise in respect of the Bonds.

  • Indemnification of Directors, Officers, Investment Advisers and Principal Underwriters Describe any arrangement under which any director, officer, investment adviser or principal underwriter of the registrant is insured or indemnified in any manner against any liability which he may incur in his or its capacity as director, officer, investment adviser or principal underwriter.

  • Thus, the Transition Period identified in Section VII(a) would be extended from June 9, 2017, to July 1, 2019, rather than June 9, 2017, to January 1, 2018.3. Prohibited Transaction Exemption84–24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters, would be amended as follows:A.

Related to Principal Underwriters

  • Principal Underwriter shall have the meanings given them in the 1940 Act.

  • financial undertaking means any of the following entities:

  • IPO Underwriter means each Person named as an underwriter in Schedule I to the Underwriting Agreement who purchases Common Units pursuant thereto.

  • Investment Company means an investment company as defined in the Investment Company Act.

  • Principal use means the use other than one which is wholly incidental or accessory to another use on the same premises.

  • Company Underwriter has the meaning set forth in Section 4(a).

  • Promoter means a person—

  • Credit Underwriter means the independent contractor under contract with the Corporation having the responsibility for providing Credit Underwriting services.

  • affiliated person promoter" and "principal underwriter" as used in the preceding sentence shall have the meanings assigned to each such term in the Investment Company Act of 1940, as amended.

  • Marketed Underwritten Offering means any Underwritten Offering (including a Marketed Underwritten Shelf Take-Down, but, for the avoidance of doubt, not including any Shelf Take-Down that is not a Marketed Underwritten Shelf Take-Down) that involves a customary “road show” (including an “electronic road show”) or other substantial marketing effort by the Company and the underwriters over a period of at least 48 hours.

  • Underwriter means a securities dealer who purchases any Registrable Securities as principal in an Underwritten Offering and not as part of such dealer’s market-making activities.

  • Approved Underwriter has the meaning set forth in Section 3(f) of this Agreement.

  • Shelf Underwritten Offering shall have the meaning given in subsection 2.1.3.

  • Qualified Independent Underwriter means a “qualified independent underwriter” within the meaning of FINRA Rule 5121.

  • Marketed Underwritten Shelf Take-Down has the meaning set forth in Section 2.02(e).

  • Registered Investment Company means any one or more corporations, partnerships or trusts registered under the Investment Company Act of 1940 for which Fidelity Management and Research Company serves as investment advisor.

  • Underwritten Offering means a Registration in which securities of the Company are sold to an Underwriter in a firm commitment underwriting for distribution to the public.

  • Piggyback Registration shall have the meaning given in subsection 2.2.1.

  • Underwritten Takedown has the meaning set forth in Section 2(d)(ii).

  • Piggy-Back Registration is defined in Section 2.2.1.

  • Underwritten Demand shall have the meaning given in subsection 2.1.3 of this Agreement.

  • Underwritten Shelf Takedown shall have the meaning given in subsection 2.3.3.

  • 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.

  • Participating Underwriter means any of the original underwriters of the Bonds required to comply with the Rule in connection with offering of the Bonds.

  • Rule 415 Offering means an offering on a delayed or continuous basis pursuant to Rule 415 (or any successor rule to similar effect) promulgated under the Securities Act.

  • voluntary organisation means a body, other than a public or local authority, the activities of which are carried on otherwise than for profit;