Examples of State securities commission in a sentence
No concerns were raised as a result of the agency circulation or the public notification to the neighbours.
No Federal or State securities commission has approved, disapproved, endorsed, or recommended this offering.
The Notes have not been approved or disapproved by the U.S. Securities and Exchange Commission (the "SEC"), any State securities commission in the United States or any other U.S. regulatory authority, nor have any of the foregoing authorities passed upon or endorsed the merits of the offering of the Notes or the accuracy or adequacy of the Base Prospectus or these Final Terms.
In the event that the Sub-Adviser reduces its management fee payable under the FCM Sub-Advisory Agreement in order to comply with the expense limitations of a State securities commission or otherwise (but not a voluntary reduction), FCEM agrees to reduce its fee payable under this Agreement by a pro rata amount.
No provision of this title 1 shall be construed as altering, limiting, or affecting the author- ity of a State securities commission (or any agency or office performing like functions) under State law to adopt rules, initiate en- forcement proceedings, or take any other ac- tion with respect to a person regulated by such commission or authority.
In the event that the Adviser reduces its management fee payable under the Advisory Agreement in order to comply with the expense limitations of a State securities commission or otherwise (but not a voluntary reduction), the Sub-Adviser agrees to reduce its fee payable under this Agreement by a pro rata amount.
The Notes have not been approved or disapproved by the U.S. Securities and Exchange Commission (the SEC) or any state securities commission in the United States nor has the SEC or any State securities commission passed upon the accuracy or the adequacy of this Information Memorandum.
C.; andNotice of such hearing is hereby given to said party and to any interested State, State commission, State securities commission, municipality, and any other political subdivision of a State, and to any representative of interested consumers or security holders, and any other person whose participation in such proceeding may be in the public interest or for the protection of investors or consumers.
Selling Firm agrees to keep and make available to the Selling Agent and the Partnership such records with respect to each investor, regarding his or her suitability and the amount of Units sold, and to retain such records for the period prescribed by the SEC, any State securities commission, FINRA or by the Partnership.
The Shares have not been approved or disapproved by the US Securities and Exchange Commission, any State securities commission in the United States or any other US regulatory authority, nor have any of the foregoing authorities passed upon or endorsed the merits of the offering of Shares or the accuracy or adequacy of this Prospectus.