Securities and Commodities Laws definition

Securities and Commodities Laws. The term shall mean the "1933 Act", the Securities Act of 1933, as amended, the "1934 Act", the Securities Exchange Act of 1934, as amended, the "1940 Act", and the "CEA", the Commodities Exchange Act, as amended.

Securities and Commodities Laws. The terms the "1933 Act" shall mean the Securities Act of 1933, as amended, the "1934 Act" shall mean the Securities Exchange Act of 1934, as amended, the "1940 Act" shall mean the Investment Company Xxx 0000, as amended, and the "CEA" shall mean the Commodities Exchange Act, as amended.

Securities and Commodities Laws. The term "Securities and Commodities Laws" shall mean the "1933 Act" which shall mean the Securities Act of 1933, the "1934 Act" which shall mean the Securities Exchange Act of 1934, the 1940 Act, and the "CEA" which shall mean the Commodities Exchange Act, each as amended. (h) "Shares". The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (i) "Property". The term "Property" shall mean: (i) any and all securities and other investment items which the Fund may from time to time deposit, or cause to be deposited, with PNC Bank or which PNC Bank may from time to time hold for the Fund; (ii) all income in respect of any of such securities or other investment items; (iii) all proceeds of the sale of any of such securities or investment items; and (iv) all proceeds of the sale of securities issued by the Fund, which are received by PNC Bank from time to time, from or on behalf of the Fund. (j) "Written Instructions". The term "Written Instructions" shall mean written instructions signed by one Authorized Person and received by PNC Bank. The instructions may be delivered by hand, mail, tested telegram, cable, telex or facsimile sending device. 2.

Examples of Securities and Commodities Laws in a sentence

• Gilberg, Regulation of New Financial Instruments Under the Federal Securities and Commodities Laws, 39 Vand.

• Where necessary and appropriate, the Company and the Related Entities agree to adopt new, or to modify their existing compliance program, including internal controls, compliance policies, and procedures in order to ensure that they maintain an effective compliance program that is designed to effectively deter and detect violations of the Securities and Commodities Laws.

• The Company and the Related Entities will maintain, or where necessary establish, an effective system for internal and, where possible, confidential reporting by, and protection of, directors, officers, employees, and, where appropriate, agents and business partners concerning violations of the Securities and Commodities Laws or the Company’s and the Related Entities’ compliance code, policies, and procedures regarding the Securities and Commodities Laws.

• The Company and the Related Entities will assign responsibility to one or more senior corporate executives of the Company and the Related Entities for the implementation and oversight of the Company’s and the Related Entities’ compliance code, policies, and procedures regarding the Securities and Commodities Laws.

• The Company and the Related Entities will develop and implement policies and procedures for mergers and acquisitions requiring that the Company and the Related Entities conduct appropriate risk-based due diligence on potential new business entities, including appropriate due diligence regarding the Securities and Commodities Laws by legal, accounting, and compliance personnel.

More Definitions of Securities and Commodities Laws

Securities and Commodities Laws any one or more of the Advisers Act, the 1933 Act, the 1934 Act, the 1940 Act and the CE Act, to the extent each is applicable to the Managing Member or the Company.

Securities and Commodities Laws. The term "Securities and Commodities Laws" shall mean the "1933 Act" which shall mean the Securities Act of 1933, the "1934 Act" which shall mean the Securities Exchange Act of 1934, the 1940 Act, and the "CEA" which shall mean the Commodities Exchange Act, as amended. (h) "Shares". The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (i) "Property". The term "Property" shall mean: (i) any and all securities and other investment

Securities and Commodities Laws. The terms the

Securities and Commodities Laws. The terms the "1933 Act" shall mean the Securities Act of 1933, as amended, the

Securities and Commodities Laws means the "1933 Act" which shall mean the Securities Act of 1933, the "1934 Act" which shall mean the Securities Exchange Act of 1934, the 1940 Act, and the "CEA" which shall mean the Commodities Exchange Act, each as amended. (h) "Shares". The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (i) "Property". The term "Property" shall mean: (i) any and all securities and other investment items which the Fund may from time to time deposit, or cause to be deposited, with PNC

Securities and Commodities Laws. The term "Securities and Commodities Laws" shall mean the "1933 Act," the Securities Act of 1933, as amended, the "1934 Act," the Securities Exchange Act of 1934, as amended, the 1940 Act, and the "CEA," the Commodities Exchange Act, as amended. (g) "Shares." The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (h) "Written Instructions." The term "Written Instructions" shall mean written instructions signed by two Authorized Persons and received by PFPC. The instructions may be delivered by hand, mail, tested telegram, cable, telex or facsimile sending device. 2.

Securities and Commodities Laws means the "1933 Act," the Securities Act of 1933, as amended, the "1934 Act," the Securities Exchange Act of 1934, as amended, the 1940 Act, and the "CEA," the Commodities Exchange Act, as amended. (g) "Shares." The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (h) "Written Instructions." The term "Written Instructions" shall mean written instructions signed by two Authorized Persons and received by PFPC. The instructions may be delivered by hand, mail, tested telegram, cable, telex or facsimile sending device. 2.