SEC Rules and Regulations definition

SEC Rules and Regulations means the published rules and regulations of the SEC;
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SEC Rules and Regulations means the rules and regulations of the Commission. "Second Extended Maturity Date" means May 31, 2006.
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SEC Rules and Regulations means the rules and regulations promulgated by the SEC; "SEC" means the U.S. Securities and Exchange Commission;
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Examples of SEC Rules and Regulations in a sentence

  • Investments would be made in the best available opportunities, while considering acceptable risk parameters, the provisions of the Trust Deed and the SEC Rules and Regulations.

  • The Fund Manager shall adhere strictly to the investment objective of the Fund by investing only in such instruments that are permissible in accordance with SEC Rules and Regulations as stated in the trust deed and approved by the commission.

  • No party will make any public announcements with respect to this transaction without the approval of the other parties, except as otherwise required by law, and SEC Rules and Regulations.

  • It included references to most of the relevant provisions of the ISA and the SEC Rules and Regulations for the majority of the Principles, inserted into the IOSCO self- assessment template.

  • NotaryCAC implements the SEC Rules and Regulations on proxies, as well as the pertinent provisions of the Corporation Code andthe Securities Regulation Code.

  • A customer verification process – KYC – is mandatory, under the Money Laundering (Prohibition) Act (MLPA), 2011, SEC Rules and Regulations and Anti-Money Laundering /Combating Financing of Terrorism (AML/CFT) Compliance Manual (developed by the SEC), for all applications/ investments in mutual funds (new Purchases / additional Purchases).

  • Validity of ProxyCAC implements the SEC Rules and Regulations on proxies, as well as the pertinent provisions of the Corporation Code andthe Securities Regulation Code.Proxies executed abroadCAC follows the SEC Rules and Regulations in accordancewith the Corporation Code and the SRC.

  • Validation of ProxyCAC implements the SEC Rules and Regulations on proxies, as well as the pertinent provisions of the Corporation Code andthe Securities Regulation Code.

  • Filings from outside of the United States naturally pose a higher risk of non-compliance with US GAAP, PCAOB Standards, and SEC Rules and Regulations.

  • There is no Litigation that would be required to be disclosed in a Form 10-K or Form 10-Q pursuant to Item 103 of Regulation S-K of SEC Rules and Regulations that are not so disclosed, pending or, to its Knowledge, threatened against Seacoast, or against any asset, interest, or right of any of them, nor are there any Orders of any Governmental Authority or arbitrators outstanding against Seacoast.

Related to SEC Rules and Regulations

  • SAFE Rules and Regulations means collectively, the Circular 37 and any other applicable SAFE rules and regulations.

  • Rules and Regulations means the rules and regulations of the Commission.

  • Repurchase Rules and Regulations shall have the meaning specified in Section 6.14 of the Indenture.

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

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

  • the 2000 Regulations means the Water Supply (Water Quality) Regulations 2000(b); "the 2001 Regulations" means the Water Supply (Water Quality) Regulations 2001(c);

  • CSD Regulations means the CSD’s rules and regulations applicable to the Issuer, the Agent and the Notes from time to time.

  • the 1997 Regulations means the Zebra, Pelican and Puffin Pedestrian Crossing Regulations 1997.

  • CDM Regulations means the Construction (Design and Management) Regulations 2015;

  • CREST Regulations means the Uncertificated Securities Regulations 2001 (SI 2001 No. 01/378), as amended.

  • TUPE Regulations means the Transfer of Undertakings (Protection of Employment) Regulations 2006, as amended.

  • UCITS Regulations means the European Communities Undertakings for Collective Investment in Transferable Securities) Regulations, 2011 (S.I. No. 352 of 2011) (as amended consolidated or substituted from time to time) and any regulations or notices issued by the Central Bank pursuant thereto for the time being in force.

  • Regulations means regulations made under this Act;

  • SEBI Regulations means the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 together with the circulars issued thereunder, including any statutory modification(s) or re-enactment(s) thereof for the time being in force.

  • Applicable Laws and Regulations means all duly promulgated applicable federal, State and local laws, regulations, rules, ordinances, codes, decrees, judgments, directives, or judicial or administrative orders, permits and other duly authorized actions of any Governmental Authority having jurisdiction over the relevant parties, their respective facilities, and/or the respective services they provide.

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • Conduct Regulations means the Conduct of Employment Agencies and Employment Businesses Regulations 2003;

  • Ground Regulations means those ground regulations issued by the Club from time to time that set out the terms and conditions upon which spectators are granted entry to the Ground.

  • public regulation means any national, provincial or local government legislation or subordinate legislation, or any licence, tariff, directive or similar authorisation issued by a regulatory authority or pursuant to any statutory authority;

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • SBE Regulations means the written regulations and procedures adopted pursuant to this chapter for procurement of Supplies, Services and Public Works.

  • Data Protection Laws and Regulations means all laws and regulations, including laws and regulations of the European Union, the European Economic Area and their member states, Switzerland and the United Kingdom, applicable to the Processing of Personal Data under the Agreement.

  • These regulations means 9VAC5-10 (General Definitions) through 9VAC5-80 (Permits for Stationary Sources).

  • Rules means the West Bengal Housing Industry Regulation Rules, 2018 made under the West Bengal Housing Industry Regulation Act, 2017;

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.