Exchange Act Rule definition

Exchange Act Rule means such rule or regulation of the SEC under the Exchange Act, as in effect from time to time or as replaced by a successor rule thereto.
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Exchange Act Rule means a rule or regulation of the United States Securities and Exchange Commission under the Exchange Act, as in effect from time to time or as replaced by a successor rule thereto.
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Exchange Act Rule means such rule or regulation of the SEC under the Exchange Act, as in effect from time to time or as replaced by a successor rule thereto. (p) “General Transfer Restrictions” shall have the meaning ascribed to such term in Section 2.1(a) hereof. (q) “Xxxxxxx Sachs Compensation Plan” shall mean the Defined Contribution Plan, the Stock Incentive Plan or any other deferred compensation or employee benefit plan of GS Inc. adopted by the Board of Directors of GS Inc. and specified by the Shareholders’ Committee as a Xxxxxxx Xxxxx Compensation Plan (other than the Employees’ Profit Sharing Plan). (r) “GS Inc.” shall have the meaning ascribed to such term in the Recitals. (s) “Original Shareholders’ Agreement” shall mean the Shareholders’ Agreement adopted by the Board of Directors of GS Inc. on May 7, 1999, as amended or supplemented from time to time up to but excluding the Effective Date. (t) “Participation Date” is the date on which a Covered Person became a Participating Managing Director for purposes of Section 2.1(a) hereof or was appointed to a Designated Title for purposes of Section 2.1(b) hereof. In the event a Participating Managing Director ceases to be a Participating Managing Director, or a Designated Senior Officer ceases to be a Designated Senior Officer, and then such person again becomes a Participating Managing Director or Designated Senior Officer, as applicable, such person’s Participation Date shall be determined by the Shareholders’ Committee (or any person authorized thereby). (u) “Participating Managing Director” shall mean a Managing Director of the Company who at the time in question participates in the Partner Compensation Plan, the Restricted Partner Compensation Plan or any other compensation or benefit plan specified by the Shareholders’ Committee. (v) “Partner Compensation Plan” shall mean The Xxxxxxx Sachs Partner Compensation Plan adopted by the Board of Directors of GS Inc., and approved by the stockholders of GS Inc., on May 7, 1999, as amended or supplemented from time to time, and any successors to such Plan.
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Examples of Exchange Act Rule in a sentence

  • Borrower will be deemed to have transferred Loaned Securities by the end of a Business Day if it treats such securities as customer securities subject to the general possession or control requirements of Exchange Act Rule 15c3-3(b), without giving effect to Exchange Act rule 15c3-3(b)(3), without regard to whether such securities are thereby returned to Lender or may continue to be borrowed by Borrower pursuant to any hypothecation agreement between Lender and Borrower.

  • A platform (either a national securities exchange or a security-based swap execution facility that is registered or exempt from registration) that reports a security-based swap to ICE Trade Vault to satisfy an obligation under Exchange Act Rule 901(a).

  • If the Securities Investor Protection (SIPC) determines that we are unable to meet our obligations to our customers or if our liabilities exceed our assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers.

  • Accordingly, Soliciting Dealer shall have no authority to issue a confirmation (pursuant to Exchange Act Rule 10b-10) to any subscriber; such authority residing solely in the Dealer Manager, as the Dealer Manager and processing broker-dealer.

  • An Execution Agent (as defined in Appendix B) that reports a security-based swap to ICE Trade Vault on behalf of one or more counterparties to satisfy an obligation under Exchange Act Rule 901(a).

  • A registered clearing agency (pursuant to Exchange Act Section 17A and any rules or regulations thereunder) that is required to report to ICE Trade Vault whether or not it has accepted a security-based swap for clearing pursuant to Exchange Act Rule 901(e)(1)(ii).

  • As of March 31, 2004, the Company's management, including the Company's Chief Executive Officer and Chief Financial Officer, evaluated the effectiveness of the design and operation of the Company's and its subsidiaries' disclosure controls and procedures pursuant to the Exchange Act Rule 13a-15(e) and 15d-15(e).

  • Reporting persons may comply with their cover page filing requirements by filing ei- ther completed copies of the blank forms available from the Commission, printed or typed facsimiles, or computer printed fac- similes, provided the documents filed have identical formats to the forms prescribed in the Commission’s regulations and meet ex- isting Securities Exchange Act rules as to such matters as clarity and size (Securities Exchange Act Rule 12b–12).

  • Continuing Disclosure Historical Data Product, $22,500 The EMMA Continuing Disclosure Historical Data Product will make available to all purchasers all continuing disclosure documents, together with related indexing information, submitted to the MSRB pursuant to Exchange Act Rule 15c2‐12 under the Securities Exchange Act of 1934 and otherwise, by issuers, obligated persons and their agents for any twelve consecutive complete month data sets.

  • Date: Your signature: (Sign exactly as your name appears on the face of this Subordinated Note) Tax Identification No: Signature Guarantee: (Signatures must be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings and loan associations and credit unions with membership in an approved signature guarantee medallion program), pursuant to Exchange Act Rule 17Ad-15).


More Definitions of Exchange Act Rule

Exchange Act Rule means a rule promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934.
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Related to Exchange Act Rule

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • 1940 Act Rules and Regulations means the rules and regulations of the Commission under the 1940 Act.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Advisers Act Rules and Regulations means the rules and regulations of the Commission under the Advisers Act.

  • Exchange Act Report shall have the meaning assigned to such term in Section 3.3.

  • Exchange Act Person means any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act), except that “Exchange Act Person” will not include (i) the Company or any Subsidiary of the Company, (ii) any employee benefit plan of the Company or any Subsidiary of the Company or any trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Subsidiary of the Company, (iii) an underwriter temporarily holding securities pursuant to a registered public offering of such securities, (iv) an Entity Owned, directly or indirectly, by the stockholders of the Company in substantially the same proportions as their Ownership of stock of the Company; or (v) any natural person, Entity or “group” (within the meaning of Section 13(d) or 14(d) of the Exchange Act) that, as of the Effective Date, is the Owner, directly or indirectly, of securities of the Company representing more than 50% of the combined voting power of the Company’s then outstanding securities.

  • 1934 Act means the Securities Exchange Act of 1934, as amended.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Exchange Act Reports means any reports on Form 10-D, Form 8-K and Form 10-K filed or to be filed by the Seller with respect to the Issuer under the Exchange Act.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • Exchange Act Filing shall have the meaning set forth in Section 5.1.11(f) hereof.

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

  • Foreign Private Issuer means a “foreign private issuer” within the meaning of Rule 405 of the Securities Act.

  • Limited Exchange Act Reporting Obligations The obligations of the Master Servicer under Section 3.16(b), Section 6.02 and Section 6.04 with respect to notice and information to be provided to the Depositor and Article XI (except Section 11.07(a)(1) and (2)).

  • Rule 17f-7 means Rule 17f-7 promulgated under the 1940 Act.

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.

  • Rule 433 and “Rule 462” refer to such rules under the Act.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • Exchange Act Documents means all forms, proxy statements, registration statements, reports, schedules, and other documents, including all certifications and statements required by the Exchange Act or Section 906 of the Xxxxxxxx-Xxxxx Act with respect to any report that is an Exchange Act Document, filed, or required to be filed, by a Party or any of its Subsidiaries with any Regulatory Authority pursuant to the Securities Laws.