Securities violation definition

Securities violation means a violation of this chapter and any related administrative rules.
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Securities violation means a violation of this chapter and any
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Securities violation means a violation of Title 30, chapter 10, and any related administrative rules.
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Examples of Securities violation in a sentence

  • As summarized below, between on or around September 30, 2021 and the date of this motion, the Creditor Plan Proponents have incurred legal fees, costs, and expenses in an amount at least equal to the Compensatory Damages Amount as a direct result of Sun Securities' violation of prior federal court orders.

  • Additionally, since on or around September 30, 2021, the Creditor Plan Proponents have suffered losses in the form of legal fees, costs, and expenses in an amount equal to the Compensatory Damages Amount as a direct result of Sun Securities' violation of prior federal court orders and continued prosecution of the Enforcement Proceeding.

  • All material violations of this Code and any sanctions imposed with respect thereto shall be reported periodically to the board of directors of the Fund, with respect to whose Securities violation occurred.

  • Securities violation ❖ An infringement of the Singapore Exchange (SGX)/Securities Exchange Board of India (SEBI) listing rules.

  • The study also found that 42 percent of the treatment group had secured employment of any kind following the intervention, compared to 30 percent of the control group; however, this difference was not statistically significant at the 10 percent level.


More Definitions of Securities violation

Securities violation means any allegation that:
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Securities violation means a violation of this chapter and any related rules or orders.
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Securities violation means a violation of this chapter and any related rules or orders. (e) "Victim" means a person awarded restitution in a final order.
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Securities violation means a violation of any provision of this chapter, or any rule or order issued by the commissioner under this chapter.
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Related to Securities violation

  • Serious violation means OCC has made a valid finding when assessing a serious complaint that alleges:

  • Market Violation means a tariff violation, violation of a Commission-approved order, rule or regulation, market manipulation, or inappropriate dispatch that creates substantial concerns regarding unnecessary market inefficiencies, as defined in 18 C.F.R. § 35.28(b)(8).

  • OVI or OVUAC violation means a violation of section 4511.19 of the Revised Code or a violation of an existing or former law of this state, any other state, or the United States that is substantially equivalent to section 4511.19 of the Revised Code.

  • credit bureau means an entity specialised in the collection and sale of credit performance information for individuals and businesses and registered as a credit bureau;

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Wildlife violation means any cited violation of a statute, law, regulation, ordinance, or administrative rule developed and enacted for the management of wildlife resources and the uses thereof.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Serious traffic violation means any of the following:

  • Cooperating agency means any Federal agency other than a lead agency which has jurisdiction by law or special expertise with respect to any environmental impact involved in a proposal (or a reasonable alternative) for legislation or other major Federal action significantly affecting the quality of the human environment. The selection and responsibilities of a cooperating agency are described in Sec. 1501.6. A State or local agency of similar qualifications or, when the effects are on a reservation, an Indian Tribe, may by agreement with the lead agency become a cooperating agency.

  • Securities lending or "securities borrowing" means a transaction by which a counterparty transfers securities subject to a commitment that the borrower will return equivalent securities on a future date or when requested to do so by the transferor, that transaction being considered as securities lending for the counterparty transferring the securities and being considered as securities borrowing for the counterparty to which they are transferred;

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

  • Credit reporting agency means a corporation that carries on a credit reporting business.

  • Business association means a nonpublic corporation, joint stock company, investment company, business trust, partnership, or association for business purposes of 2 or more individuals, whether or not for profit, including a banking organization, financial organization, insurance company, or utility.

  • Remedy a Violation means to bring the structure or other development into compliance with state and community floodplain management regulations, or, if this is not possible, to reduce the impacts of its noncompliance. Ways that impacts may be reduced include protecting the structure or other affected development from flood damages, implementing the enforcement provisions of the ordinance or otherwise deterring future similar violations, or reducing federal financial exposure with regard to the structure or other development.

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • Minor violation means a violation that is not the result of the purposeful, reckless or criminally negligent conduct of the alleged violator; and/or the activity or condition constituting the violation has not been the subject of an enforcement action by any authorized local, county or state enforcement agency against the violator within the immediately preceding 12 months for the same or substantially similar violation.

  • Public use means a publicly owned project or a privately owned project that is available for use by the public.

  • Governmental function means an activity that is expressly or impliedly mandated or authorized by constitution, statute, local charter or ordinance, or other law. Governmental function includes an activity performed on public or private property by a sworn law enforcement officer within the scope of the law enforcement officer's authority, as directed or assigned by his or her public employer for the purpose of public safety.

  • Credit Reference Bureau means a credit reference bureau duly licensed under the Banking Act pursuant to the Banking (Credit Reference Bureau) Regulations, 2013, as amended, revised or promulgated from time to time, to inter alia, collect and facilitate the sharing of customer credit information;