Securities Regulator definition

Securities Regulator means the government department, agency, board or commission, or self-regulatory organization which regulates the sale of Securities in the applicable jurisdiction;

Securities Regulator means the government department, agency, board or commission, or self-regulatory organization which regulates the sale of Securities in the applicable jurisdiction.

Securities Regulator is defined in Section 9.2.1 (Permitted Disclosures).

Examples of Securities Regulator in a sentence

• No Securities Regulator or any similar regulatory authority in any jurisdiction has issued any order, ruling or determination which is currently outstanding preventing, ceasing or suspending trading in any securities of the Corporation or prohibiting the issuance or sale of securities by the Corporation, including the Offered Securities, and no proceedings for either of such purposes have been instituted or are pending or, to the knowledge of the Corporation, are contemplated or threatened.

• In the event the Subscriber has any questions with respect to the indirect collection of such information by the Securities Regulator, the Subscriber should contact the appropriate Securities Regulator at set out in Appendix VII – Contact Information for the Canadian Securities Regulatory Authorities.

• The Company has not taken any action to cease to be a reporting issuer in any jurisdiction in which it is a reporting issuer and has not received any notification from a Securities Regulator seeking to revoke the reporting issuer status of the Company.

• There are no current, pending or, to the knowledge of the Purchaser, threatened proceedings before any Canadian Securities Regulator or other Governmental Entity relating to any alleged non- compliance with Canadian Securities Laws.

• No delisting, suspension of trading in or cease trading order with respect to any securities of the Purchaser and to the knowledge of the Purchaser no inquiry or investigation (formal or informal) of any Canadian Securities Regulator or the Exchange is in effect or ongoing or, to the knowledge of the Purchaser, expected.

More Definitions of Securities Regulator

Securities Regulator has the meaning set forth in Section 9.2.1.

Securities Regulator means the SEC or any comparable Governmental Authority in any applicable non-U.S. jurisdiction.

Securities Regulator means a Canadian Securities Regulatory Authority, the SEC or any stock exchange or quotation;

Securities Regulator means the Bermuda Monetary Authority, the Bermuda Stock Exchange or other entity or agency that has statutory responsibility and authority for the administration of the securities legislation in Bermuda.

Securities Regulator means the securities commission or equivalent securities regulatory authority in a province or territory.

Securities Regulator means the applicable securities commission or other securities regulatory authority in each of the Qualifying Provinces, the United States and any other jurisdictions in which the Offered Securities are offered, as the case may be;

Securities Regulator means any one of them, as the context requires.