Conduct Rules definition

Conduct Rules shall have the meaning set forth in Section 4(u) hereof.

Conduct Rules shall have the meaning assigned thereto in Section 3(e)(xix) hereof.

Conduct Rules shall have the meaning assigned thereto in Section 3(e)(xix) hereof. “Effective Time,” in the case of (i) an Exchange Offer Registration, shall mean the time and date as of which the Commission declares the Exchange Offer Registration Statement effective or as of which the Exchange Offer Registration Statement otherwise becomes effective and (ii) a Shelf Registration, shall mean the time and date as of which the Commission declares the Shelf Registration Statement effective or as of which the Shelf Registration Statement otherwise becomes effective.

Examples of Conduct Rules in a sentence

• The Participant further agrees to comply with all applicable Laws and the rules and regulations promulgated thereunder and with the FINRA Constitution, By-Laws and Conduct Rules, to the extent such Laws, rules and regulations relate to Participant’s Orders, offers and sales and related transactions in, and activities with respect to, the Shares, and that it will not offer or sell Shares of any Fund in any state or jurisdiction where they may not lawfully be offered and/or sold.

• Each party acknowledges and agrees to be bound by the Conduct Rules of the Financial Industry Regulatory Authority, Inc.

• All of the information provided to TX Xxxxx or to counsel for TX Xxxxx by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Placement Shares is true, complete, correct and compliant with FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

• All of the information provided to the Agent or to counsel for the Agent by the Company, its counsel, its officers and directors and the holders of any securities (debt or equity) or options to acquire any securities of the Company in connection with the offering of the Shares is true, complete, correct and compliant with FINRA rules and any letters, filings or other supplemental information provided to FINRA pursuant to FINRA Rules or NASD Conduct Rules is true, complete and correct.

More Definitions of Conduct Rules

Conduct Rules means the Conduct Rules of the NASD.

Conduct Rules means and includes the Company’s Conduct, Disciplinary and Appeal Rules as may be in force from time to time, read with terms and conditions of employment under the Company.

Conduct Rules. , in relation to a body, means any rules or regulations (however they may be described) as to the conduct required of regulated persons;

Conduct Rules means the Conduct Rules of FINRA.

Conduct Rules means the Conduct Rules of the NASD, as amended, and the rules, regulations and interpretations (including examples and explanations) of the NASD in respect thereto.

Conduct Rules means the Conduct Rules from time to time applicable to owners and residents in the Scheme, which initial Conduct Rules are annexed hereto marked Annexure “F”.

Conduct Rules means the Conduct Rules adopted and approved in terms of the