publicly traded company definition

publicly traded company means any company whose principal class of shares is listed on a recognised stock exchange provided its listed shares can be readily purchased or sold by the public. Shares can be purchased or sold “by the public” if the purchase or sale of shares is not implicitly or explicitly restricted to a limited group of investors;

publicly traded company means an issuer (A) with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. § 78l); or (B) that is required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(d)). "Issuer" has the meaning given that term in section 3 of the Securities Exchange Act of 1934 (15 U.S.C. § 78c).

publicly traded company. An entity whose securities are listed on a recognized securities exchange or quoted on an automated quotation system in the U.S. or country other than a Non-Cooperative Jurisdiction or a wholly-owned subsidiary of such an entity.

Examples of publicly traded company in a sentence

• The Compliance Department shall, at least annually, choose a random sample of Managed Accounts they may hold Securities Issued by a Publicly Traded Company, sufficiently large to properly audit whether any trading activity in such accounts raises any appearance of impropriety.

• No Portfolio Manager may sell Securities Issued by a Publicly Traded Company if such securities are Covered Securities Held or to be Acquired by Clients.

• No Access Person may sell Securities Issued by a Publicly Traded Company short.

• No Access Person may purchase Securities Issued by a Publicly Traded Company, including securities issued in an Initial Public Offering, options, warrants and derivatives.

• No Access Person may serve on the board of directors of a Publicly Traded Company without the prior approval of both the General Counsel and President, who will determine whether such service would be consistent with the provisions of the Code.

More Definitions of publicly traded company

publicly traded company means a business entity organized under the laws of the United States or Canada where the domicile for the business entity permits the sale of marijuana and such business entity has a class of securities that are registered and traded for investment pursuant to the Securities Exchange Act of 1934 or listed and traded for investment on a reputable recognized foreign stock exchange or foreign market.

publicly traded company means a corporation whose shares of stock are listed on the New York Stock Exchange or any other nationally recognized stock exchange.

publicly traded company means a corporation whose securities are publicly traded on a stock exchange that is regulated by the United States securities and exchange commission. The term "publicly traded company" also includes all subsidiaries of such publicly traded company.

publicly traded company means any company whose principal class of shares is listed on a recognised stock exchange provided its listed shares can be readily purchased or sold by the public. Shares can be purchased or sold "by the public" if the purchase or sale of shares is not implicitly or explicitly restricted to a limited group of investors;

publicly traded company means a company whose common equity securities (including American Depositary Shares or American Depositary Receipts relating to such equity securities) are traded or quoted on a principal United States, Canadian or European stock market or trading system, and are owned by more than 1,000 shareholders.

publicly traded company means a company that has issued securities through an initial public offering (IPO) and is traded on at least one stock exchange or the over-the-counter market.

publicly traded company means a company whose shares are regularly quoted or traded on an active securities exchange, over-the-counter market or inter-dealer quotation system.