Securities and Exchange Act definition

Securities and Exchange Act. The federal Securities Exchange Act of 1934, as amended.
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Securities and Exchange Act means the Securities and Exchange Act B.E. 2535.
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Securities and Exchange Act means the Securities and Exchange Act of 1934, or any similar federal statute, and the rules and regulations thereunder as the same shall be in effect at the time.
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Examples of Securities and Exchange Act in a sentence

  • This Agreement is subject to the Securities and Exchange Act of 1934, the rules under that act, the CTA Plan (as to CTA Network A last sale information) and the CQ Plan (as to CQ Network A quotation information).

  • The Company’s management is the persons who are defined under the Securities and Exchange Act.

  • In addition, the Customer further agrees to furnish at its own expense such information and documents, including financial statements, legal opinions and engineering reports, as the Authority may reasonably request in connection with the offering and sale of Bonds by the Authority or as may be required by the federal securities laws, including in particular Rule 15c2-12 promulgated by the Securities and Exchange Commission pursuant to the Securities and Exchange Act of 1934, as amended.

  • This section applies to accounts that are beneficially owned by a Municipal Entity or municipal Obligated Person, as those terms are defined by Section 15B of the Securities and Exchange Act of 1934 (the "Municipal Advisor Rule").

  • The Company’s directors and management are the persons who are defined under the Securities and Exchange Act.

  • The Company confirms that as at the date of this Indenture it does not have a class of securities registered pursuant to section 12 of the U.S. Securities and Exchange Act of 1934, as amended (the "Exchange Act") or have a reporting obligation pursuant to section 15(d) of the Exchange Act.

  • Notwithstanding the foregoing, if Employee is an officer or executive director (as within the meaning of Section 13(k) of the U.S. Securities and Exchange Act of 1934, as amended), the terms of the immediately foregoing provision will not apply.

  • Client also acknowledges receipt of the Privacy Policy Notice of Xxxxxxxx Advisors as required by the Securities and Exchange Act Regulation S-P.

  • In accordance with Rule 14b-2 of the Securities and Exchange Act of 1934, as amended, Master Custodial Administration Agreement Administrator will instruct the Custodian to provide the name, address and share position of the beneficial holder of securities to the issuing company, unless the beneficial holder objects in writing to the provision of such information.

  • It is the policy and practice of Xxxxxxxx to strive for the best price and execution and for commission and discounts which are competitive in relation to the value of the transaction and which comply with Section 28(e) of the Securities and Exchange Act.


More Definitions of Securities and Exchange Act

Securities and Exchange Act means the Securities and Exchange Act of 1934 and may sometimes be referred to herein as the 34' Act.
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Securities and Exchange Act or "SEA" means the Securities and Exchange Act of Korea, as amended from time to time.
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Securities and Exchange Act means the Securities and Exchange Act of 1934, as amended.
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Securities and Exchange Act means the Securities Exchange Act of 1934, as amended, or any successor federal law then in force, together with all rules and regulations promulgated thereunder.
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Related to Securities and Exchange Act

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

  • 1934 Act means the Securities Exchange Act of 1934, as amended.

  • Limited Exchange Act Reporting Obligations The obligations of the Master Servicer under Section 3.16(b), Section 6.02 and Section 6.04 with respect to notice and information to be provided to the Depositor and Article XI (except Section 11.07(a)(1) and (2)).

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Securities Act means the Securities Act of 1933, as amended.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • SEC means the Securities and Exchange Commission.

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • Like-Kind Exchange means the exchange of a Replacement Vehicle for a Leased Vehicle in a manner so as to defer the recognition of taxable gain upon the disposition of such Leased Vehicle in accordance with and pursuant to Section 1031 of the Internal Revenue Code, as amended.

  • Voting and Exchange Trust Agreement means the voting and exchange trust agreement to be made among Parent, CallCo, the Company and the Share Trustee in connection with the Plan of Arrangement substantially in the form of Exhibit D to the Transaction Agreement, as may be amended, supplemented or otherwise modified from time to time in accordance with its terms.

  • Rule 134 “Rule 164,” “Rule 172,” “Rule 405,” “Rule 415,” “Rule 424,” “Rule 430A,” “Rule 430B,” “Rule 433” and “Rule 462” refer to such rules under the Act.

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.

  • Securities Exchange means, at any time, the registered national securities exchange on which the Corporation’s equity securities are then principally listed or traded, which shall be the New York Stock Exchange or NASDAQ Global Market (or similar national quotation system of the NASDAQ Stock Market) (“NASDAQ”) or any successor exchange of either the New York Stock Exchange or NASDAQ.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.