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

• All fee payments made by the Distributor hereunder are subject to reduction or chargeback so that the aggregate service fee payments and Advance Service Fee Payments do not exceed the limits on payments to Recipients that are, or may be, imposed by the NASD Conduct Rules.

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

• The Chief Legal Officer, in his sole discretion, may delegate his responsibilities as Chief Legal Officer under the Attorney Conduct Rules to another attorney or firm of attorneys.

• Amounts payable under the Plan shall be subject to the limitations of Rule 2830 of the NASD Conduct Rules.

• Class A shares shall be offered with a front-end sales charge, as such term is defined under the Conduct Rules of the Financial Industry Regulatory Authority (the "FINRA Conduct Rules"), and a deferred sales charge (a "CDSC"), as such term is defined under the FINRA Conduct Rules, may be assessed on certain redemptions of Class A shares, including Class A shares purchased without an initial sales charge as part of an investment of $1 million or more.

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, as the same may from time to time be amended or modified.

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

Conduct Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.