Securities Law Requirements definition

Securities Law Requirements means the Securities Act of 1933, as amended from time to time, and the Act and the rules and regulations promulgated by the Commission under such laws, as such rules and regulations are adopted and amended from time to time, including but not limited to Rule 16b-3, and as all such laws, rules and regulations are interpreted by formal or informal opinions of, and releases published or other interpretive advice provided by, the Staff of the Commission, and the requirements of any stock exchange, automated inter-dealer quotation system or other recognized securities market on which the Common Stock is listed or traded or in which the Common Stock is included, as adopted and amended from time to time and as interpreted by formal or informal opinions of, and other interpretive advice provided by, the representatives of such stock exchange, quotation system or other securities market.
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Securities Law Requirements means at the time of determination, with respect to the Services or the administration of any underlying investment: (i) all requirements of any applicable federal or state securities law; and (ii) any judicial judgment, decree, injunction, writ, settlement, order or administrative ruling, order or determination by any Governmental Authority or Regulatory Body enforcing or interpreting any federal or state securities law.
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Securities Law Requirements means the Act and the rules and regulations promulgated by the Commission thereunder, as adopted and amended from time to time, including but not limited to Rule 16b-3, and as interpreted by formal or
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Examples of Securities Law Requirements in a sentence

  • The Contractor currently complies, and during the Term of this Agreement, the Contractor shall comply, in all material respects with all Securities Law Requirements applicable to any distribution or investment services or to the administration of any Investment Options to which Trust Account funds are invested.

  • The offer and sale of interests in the Trust and performance of the Services shall be performed in compliance with Applicable Law, including the Securities Law Requirements.

  • The Plan Manager shall maintain all necessary registrations under Applicable Law, including any registrations or licenses under the Securities Law Requirements as long as it is performing Services under this Agreement.

  • In providing the Services under this Agreement, the Contractor currently complies, and during the Term of this Agreement, the Contractor shall comply, in all material respects with applicable Securities Law Requirements.

  • The Contractor currently complies, and during the Term of this Agreement, the Contractor shall comply, in all material respects with all Securities Law Requirements applicable to all Services to be rendered hereunder, including without limitation, any investment services or to the administration of any Investment Options or proprietary Underlying Investments to which contributions to the Program are invested.

  • Section 12.1. Effect of a Change in Control 19 Section 12.2. Rights as a Shareholder 20 Section 12.3. Modification, Extension and Renewal of Grants 20 Section 12.4. Term of Plan 20 Section 12.5. Securities Law Requirements 20 Section 12.6. Amendment of the Plan 21 Section 12.7. Application of Funds 22 Section 12.8. Tax Withholding 22 Section 12.9. No Reload Rights and No Repricings 22 Section 12.10.

  • MISCELLANEOUS PROVISIONS 10 (a) Securities Law Requirements 10 (b) No Retention Rights 10 (c) Treatment as Compensation 10 (d) Governing Law 10 (e) Tax Matters 10 SECTION 11.

  • Insider Trading, Black-Out Periods, Securities Law Requirements (1) Any exercise of, or any other transaction in, the Stock Options (each a “Transaction”) must be conducted in compliance with (i) all applicable insider trading laws and regulations, and (ii) all provisions of any insider trading rules established by the Company, including the Company’s Insider Trading Policy ((i) and (ii) together the “Insider Trading Rules”).

  • Insider Trading, Black-Out Periods, Securities Law Requirements (1) Any exercise of, or any other transaction in, the Stock Options (each a “Transaction”) must be conducted in compliance with (i) all applicable insider trading laws and regulations, and (ii) all provisions of any insider trading rules established by the Company, including the Company’s Insider Trading Policy ((i) and(ii) together the “Insider Trading Rules”).

  • The Contractor currently complies, and during the Term of this Agreement, the Contractor shall comply, in all material respects with all Securities Law Requirements applicable to all Services to be rendered hereunder, including without limitation, the administration of any Investment Options which contributions to the Program are invested.


More Definitions of Securities Law Requirements

Securities Law Requirements means the Securities Act of 1933, as amended from time to time, and the Act and the rules and regulations promulgated by the Commission
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Securities Law Requirements has the meaning set forth in Section 5.4.
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Securities Law Requirements means the securities laws applicable to the Litigation Trust and the rules and regulations of Nasdaq National Market or such other securities exchange as may be applicable.
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Securities Law Requirements means at the time of determination, with respect to the Services or the administration of any underlying investment: (i) all requirements of any federal or state securities law; and (ii) any judicial judgment, decree, injunction, writ, settlement, order or administrative ruling, order or determination by any Governmental Authority enforcing or interpreting any federal or state securities law. "Services" shall mean, collectively, the Investment Services, the Marketing Services and the Administrative Services, in each case provided with respect to the Direct Plan.
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Securities Law Requirements means at the time of determination, with respect to the Services or the administration of any underlying investment: (i) all requirements of any federal or state securities law; and (ii) any judicial judgment, decree, injunction, writ, settlement, order or
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Securities Law Requirements means at the time of determination, with respect to the Services or the administration of any underlying investment: (i) all requirements of any federal or state securities law; and (ii) any judicial judgment, decree, injunction, writ, settlement, order or
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Related to Securities Law Requirements

  • Securities Laws means the 1933 Act, the 1934 Act and the 1940 Act.

  • Certification Requirements means those requirements specified or referenced in this Agreement that you must meet in order to use and maintain the Certification Designation and use the Logo in accordance with the terms of this Agreement.

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Qualification Requirements means the qualification requirements as set forth in Section-2, Clause 2.1 of this RFP;

  • Listing Requirements means the Main Market Listing Requirements of Bursa Securities.

  • Federal Securities Laws means the Securities Act of 1933, the Securities Exchange Act, the Sarbanes-Oxley Act of 2002, the Investment Company Act, the Investment Advisers Act, Title V of the Gramm-Leach-Bliley Act, any rules adopted by the Securities and Exchange Commission (the “Commission”) under any of these statutes, the Bank Secrecy Act as it applies to investment companies and investment advisers, and any rules adopted thereunder by the Commission or the Department of the Treasury.

  • Risk Retention Requirements means the credit risk retention requirements of Section 15G of the Exchange Act (15 U.S.C. §78o-11), as added by Section 941 of the Xxxx-Xxxxx Xxxx Street Reform and Consumer Protection Act.

  • OHS Requirements means all Laws applicable to the Supply and related to occupational health or safety, and all of the City Policies that relate to occupational health or safety, and includes without limitation the WCA;

  • Data Protection Requirements means all Requirements of Law, to the extent applicable to the items and services provided by the Borrower and each Restricted Subsidiary, relating to the privacy and security of information technology assets and equipment, computers, systems, networks, hardware, software, websites, applications, and databases and personal, personally identifiable, sensitive, confidential or regulated data and, in each case, to the protection thereof from unauthorized use, access, misappropriation or modification.

  • Reporting Requirements As defined in Section 11.12.

  • Perfection Requirements means the making or procuring of filings, stampings, registrations, notarisations, endorsements, translations and/or notifications of any Finance Document (and/or any Security created under it) necessary for the validity, enforceability (as against the relevant Obligor or any relevant third party) and/or perfection of that Finance Document.

  • Federal safety requirements means applicable provisions of 49 U.S.C. § 30101 et seq. and all

  • PPPFA Regulations means the Preferential Procurement Regulations, 2017 published in terms of the PPPFA.

  • the Regulations means the Local Government: Municipal Finance Management Act, 2003, Municipal Supply Chain Management Regulations published by Government Notice 868 of 2005;

  • Authority Requirements means the operational requirements, functions and characteristics of the Framework set out in Schedule 1 (Statement of Requirements)

  • Design requirements means the written description of the infrastructure facility to be procured pursuant to this article, including:

  • Requirements means and include schedules, details, description, statement of technical data, performance characteristics, standards (Indian as well as International) as applicable and specified in the Contract.

  • MREL Requirements means the laws, regulations, requirements, guidelines, rules, standards and policies relating to minimum requirements for own funds and eligible liabilities applicable to the Issuer and/or the Group, from time to time, (including any applicable transitional or grandfathering provisions), including, without limitation to the generality of the foregoing, any delegated or implementing acts (such as regulatory technical standards) adopted by the European Commission and any regulations, requirements, guidelines, rules, standards and policies relating to minimum requirements for own funds and eligible liabilities adopted by the Federal Republic of Germany or the Republic of Italy, a relevant resolution authority or the European Banking Authority from time to time (whether or not such requirements, guidelines or policies are applied generally or specifically to the Issuer and/or the Group), as any of the preceding laws, regulations, requirements, guidelines, rules, standards, policies or interpretations may be amended, supplemented, superseded or replaced from time to time.

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

  • Statement of Requirements means a statement issued by the Authority or any Other Contracting Body detailing its Services Requirement issued in accordance with the Ordering Procedure;

  • 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.

  • Privacy Requirements shall have the meaning set forth in Section 3.19.

  • Program Requirements means that Partner has to fulfill certain program requirements as described in detail in the applicable SAP PartnerEdge Model and the PartnerEdge Program Guide.

  • ISA Regulations means The Individual Savings Account Regulations 1998, as amended or replaced from time to time.

  • Credit Requirements means a long-term credit rating (corporate or long-term senior unsecured debt) of (1) “Baa3” or greater by Xxxxx’x, or (2) “BBB-” or greater by S&P, or such other indicia of creditworthiness acceptable to PacifiCorp in its reasonable judgment.

  • EEA Regulations means the Immigration (European Economic Area) Regulations 2006.