Purchase or Sale of a Security definition

Purchase or Sale of a Security means obtaining or disposing of "Beneficial Ownership" of that Security and includes, among other things, the writing of an option to purchase or sell a Security.

Purchase or Sale of a Security means the purchase or sale of a security, and includes the writing of an option to borrow, purchase or sell a security.

Purchase or Sale of a Security means the buying or selling of any stock and includes, among other things, the writing of an option to purchase or sell a security or the purchase or sale of a security that is exchangeable for or convertible into a security.

Examples of Purchase or Sale of a Security in a sentence

• This has a very BAD impact on the customer's mood and thus the store sales.

• McGee Made the Material Omission in Connection with the Purchase or Sale of a Security McGee also made the material omission, the compensation that he earned for CF’s purchase of the 54Freedom charitable gift annuity, in connection with the purchase or sale of a security.

• Wyatt Brown is a thir d year doctoral student who ser ves as assistant to the director of the MACJ A program and teaches in the Sociology Department.

• State the Obligation to Assess Whether a Purchase or Sale of a Security is Suitable for a ClientUnder paragraph 14.2(2)(k), registered firms are required to deliver a statement to clients that the firm has an obligation to assess whether a purchase or sale of a security is suitable for a client prior to executing the transaction or at any other time.

• Defendants’ motion to dismiss Count XXIII of the Complaint is denied.Subordination of Claim Relating to the Purchase or Sale of a Security Plaintiffs also seek subordination of Softbank’s Claim 27 pursuant to § 510(b) of the Bankruptcy Code.

More Definitions of Purchase or Sale of a Security

Purchase or Sale of a Security means any direct or indirect (including through a managed account) purchase, sale, or transfer of a Beneficial Interest in a Security, including, among other things, the writing of an option to purchase or sell a Security or entering into any other contract for the purchase or sale of such Security, whether or not such contract is conditioned upon certain events.

Purchase or Sale of a Security means the purchase or sale or any action to accomplish the purchase or sale of a Security for the account of an Access Person, and includes, without limitation, the writing, purchase or exercise of an option to purchase or sell a Security, conversions of convertible securities and short sales.

Purchase or Sale of a Security means obtaining or disposing of "beneficial ownership" (see B above) of that security and includes, among other things, the writing of an option to purchase or sell a security. A person who has any questions about beneficial ownership should consult the Secretary of the Fund.

Purchase or Sale of a Security means, among other things, the writing of an option to purchase or sell a security.

Purchase or Sale of a Security means, inter alia, the writing of an option to purchase or sell a security and the exercise of a stock option.

Purchase or Sale of a Security. Means a change in ownership of a Security or the options of such Security.

Purchase or Sale of a Security means any purchase, sale or any type of acquisition or disposition of securities, including, among other things, the writing of an option to purchase or sell securities.