Securities Held or to be Acquired definition

Securities Held or to be Acquired by an Investment Client means:
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Securities Held or to be Acquired by a Fund means:
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Securities Held or to be Acquired means (i) any Covered Security which, within the most recent 15 days (A) is or has been held by a Fund, (B) is being or has been considered by a Fund or its investment adviser for purchase by the Fund, and (ii) any option to purchase or sell, and any security convertible into or exchangeable for, a Covered Security described in (i).
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Examples of Securities Held or to be Acquired in a sentence

  • Rule 17j-1 under the Act generally proscribes fraudulent or manipulative practices with respect to purchases or sales of Securities Held or to be Acquired by investment companies, if effected by associated persons of such companies.

  • 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.

  • As a general matter, the Adviser does not give the Independent Trustees or Independent Directors information about Covered Securities being considered for Purchase or Sale or Covered Securities Held or to be Acquired within 15 days of such transaction.

  • The Code is intended to prevent certain practices by Access Persons in connection with the purchase or sale, directly or indirectly, by such persons of Securities Held or to be Acquired by a Client.

  • Rule 17j-1 of the 1940 Act generally proscribes fraudulent or manipulative practices with respect to purchases or sales of Securities Held or to be Acquired by investment advisers or their advisees if effected by Access Persons of such companies.

  • Under Rule 17j-1(b), certain conduct by (i) affiliated persons of investment companies managed or advised by DWSIPM, (ii) DWSIPM itself as adviser of these companies, (iii) affiliated persons of DWSIPM, (iv) the principal underwriter of the investment companies and (v) affiliated persons of their principal underwriter, with respect to purchases or sales of Securities Held or to be Acquired by a Client that is an investment company is prohibited.

  • No Research Analyst may sell Securities Issued by a Publicly Traded Company that he or she recommends if such securities are Covered Securities Held or to be Acquired by Clients.

  • The Code is intended to prevent certain practices by Access Persons in connection with the purchase or sale, directly or indirectly, by such persons of Securities Held or to be Acquired by a Fund.

  • The Code is designed to prevent certain practices by Access Persons in connection with the purchase or sale, directly or indirectly, by such persons of Covered Securities Held or to be Acquired by a Fund.

  • The following are the relevant procedures to provide the Fund with information to enable it to determine with reasonable assurance whether the provisions of the Code of Ethics Rule are being observed: NOTE: While the Fund’s Chief Compliance Officer is responsible to administer the Fund’s Code of Ethics, he or she does not have access to contemporaneous information with respect to Securities Held or to be Acquired by the Fund.


More Definitions of Securities Held or to be Acquired

Securities Held or to be Acquired by a client or Fund means any security which, within the most recent 15 days, (i) is or has been so held or (ii) is being or has been so considered for purchase by such clients or Fund.
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Related to Securities Held or to be Acquired

  • Security Held or to be Acquired means any Security or any equivalent Security which, within the most recent 15 days: (1) is or has been held by the Fund; or (2) is being considered by the Fund or its investment adviser for purchase by the Fund.

  • Security Held or to be Acquired by a Fund means (1) any Covered Security that within the most recent 15 days (a) is or has been held by one of the Funds or a mutual fund sub-advised by MCM; or (b) is being or has been considered by a Fund or MCM for purchase by the Fund or a mutual fund sub-advised by MCM; and (2) any option to purchase or sell, and any security convertible into or exchangeable for, such a Covered Security.

  • Securities Purchase has the meaning set forth in the recitals in this Agreement. “Seller” has the meaning set forth in the introductory paragraph to this Agreement.

  • Released Securities means Shares of Restricted Stock with respect to which all applicable restrictions have expired, lapsed, or been waived.

  • Permitted Securities means any of the following:

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.

  • Acquired Shares has the meaning set forth in the Recitals.

  • Real Estate-Related Securities shall have the meaning set forth in the Charter.

  • Additional Shares of Common means all shares of Common Stock issued (or, pursuant to Section 3(e)(iii), deemed to be issued) by the Corporation after the Original Issue Date, other than shares of Common Stock issued or issuable:

  • Additional Shares of Common Stock means all shares of Common Stock issued (or, pursuant to Subsection 4.4.3 below, deemed to be issued) by the Corporation after the Series B Original Issue Date, other than (1) the following shares of Common Stock and (2) shares of Common Stock deemed issued pursuant to the following Options and Convertible Securities (clauses (1) and (2), collectively, “Exempted Securities”):

  • Purchased Securities has the meaning assigned in the Terms;

  • Additional Purchased Securities Securities provided by Seller to Buyer pursuant to Paragraph 4(a) hereof;

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;

  • Uncertificated Securities Regulations means the Uncertificated Securities Regulations 2001;

  • Coop Shares Shares issued by a Cooperative Corporation.

  • Registerable Securities means the shares of Common Stock issued or issuable upon exercise of the Warrants.

  • Unrestricted Securities means one or more Securities that do not and are not required to bear the Private Placement Legend in the form set forth in Exhibit A hereto, including, without limitation, the Exchange Securities and any Securities registered under the Securities Act pursuant to and in accordance with the Registration Rights Agreement.

  • Previously Acquired Shares means shares of Common Stock that are already owned by the Participant or, with respect to any Incentive Award, that are to be issued upon the grant, exercise or vesting of such Incentive Award.

  • Securities Purchase Agreement shall have the meaning set forth in the recitals hereto.

  • Other Registrable Securities means (i) any Common Equity held (directly or indirectly) by any Other Holders or any of their Affiliates, and (ii) any equity securities of the Company or any Subsidiary issued or issuable with respect to the securities referred to in clause (i) above by way of dividend, distribution, split or combination of securities, or any recapitalization, merger, consolidation or other reorganization.

  • Management Shares means a management share in the capital of the ICAV which shall have the right to receive an amount not to exceed the consideration period for such Management Share.

  • Securities Seal means a seal for use for sealing certificates for shares or other securities issued by the Company which is a facsimile of the Seal of the Company with the addition on its face of the words “Securities Seal”;

  • Exempted Securities means:

  • transferable securities means those classes of securities which are negotiable on the capital market, with the exception of instruments of payment, such as:

  • uncertificated securities means securities as defined in the Securities Services Act which are by virtue of the Companies Act transferable without a written instrument and are not evidenced by a certificate;

  • Escrowed Securities means the direct, noncallable obligations of the United States of America, as described in the Escrow Agreement.