Federal and State Securities Laws definition

Federal and State Securities Laws means the federal securities laws of the United States and the states of the United States, as applicable.
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Federal and State Securities Laws shall have the meaning ascribed to such term as set forth in Section 21.33.1.
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Examples of Federal and State Securities Laws in a sentence

  • The parties hereto recognize that certain responsibilities and obligations are imposed by Federal and State Securities Laws and by the applicable rules and regulations of stock exchanges, the National Association of Securities Dealers, in-house "due diligence" or "compliance" departments of brokerage houses, etc.

  • All of the issued and outstanding shares of Angeles Acquisition Common Stock were issued in compliance with all Federal and State Securities Laws.

  • Upon the Effective Time of the Merger, Mortgage Plus shareholders will acquire good and marketable title to the Company's securities free and clear of any lien, charge, claim, encumbrance, pledge, security interest, defect or other restriction or equity of any kind whatsoever, subject to applicable Federal and State Securities Laws restrictions.

  • The Code of Ethics requires: o Honest and ethical conduct by all Employees; o Compliance with all applicable laws, rules and regulations, including all Federal and State Securities Laws; o The prompt reporting of violations of the Code of Ethics to the appropriate person(s) identified in the Code; and o Accountability for adherence to the Code and its guiding principles.

  • Contributing Partners shall provide Home Properties with such information and documentation as Home Properties may reasonably request in order to establish that each of the Contributing Partners is an accredited investor as required under Federal and State Securities Laws.

  • All Condominium Documents comply with all applicable State statutes (including, without limitation, condominium statutes), Federal and State Securities Laws, Federal and State Truth-in-Lending Statutes, HUD filings re: interstate sales (if applicable), and the requirements of any Governmental Authority having jurisdiction.

  • No consent, approval or authorization of, or registration, declaration or filing with, any department, commission, or agency of the U.S. Government or any subdivision thereof is required to be obtained by Parent to authorize the execution and delivery by Parent of this Agreement or the performance by Parent of its terms other than (i) pursuant to the HSR Act, (ii) requirements of Federal and State Securities Laws, (iii) those which are not reasonably likely to have a Material Adverse Effect.

  • All Access Persons are required to comply with the Federal and State Securities Laws, including Rules 204A-1 and 204-2 under the Investment Advisers Act, and Rule 17j-1 under the 1940 Act, the fiduciary duty owed by Aspiration to its clients, and this Code of Ethics.Failure to adhere to Federal and State securities laws could expose an Access Person to sanctions imposed by Aspiration, the SEC or law enforcement officials.

  • Delivery of eight Million (8,000,000) Shares of Restricted Common Stock under Rule 144 to seller within a 60 day period from the effective date of this Agreement, subject to applicable Federal and State Securities Laws to the Sellers Shareholders.

  • Exhibit IV.I ------------ NEW REGISTRATION RIGHTS AGREEMENT The material terms of the New Registration Rights Agreement are described under "Applicability of Certain Federal and State Securities Laws -- Registration Rights" in the Disclosure Statement.

Related to Federal and State Securities Laws

  • Federal Securities Laws means the Securities Act of 1933, the Securities Exchange Act, the Sarbanes-Oxley Act of 2002, the Investment Company Act, the Investment Advisers Act, Title V of the Gramm-Leach-Bliley Act, any rules adopted by the Securities and Exchange Commission (the “Commission”) under any of these statutes, the Bank Secrecy Act as it applies to investment companies and investment advisers, and any rules adopted thereunder by the Commission or the Department of the Treasury.

  • Securities Laws means the 1933 Act, the 1934 Act and the 1940 Act.

  • U.S. Securities Laws means all applicable securities legislation in the United States, including without limitation, the U.S. Securities Act, the U.S. Exchange Act and the rules and regulations promulgated thereunder, and any applicable state securities laws;

  • Canadian Securities Laws means all applicable securities laws of each of the Qualifying Jurisdictions and the respective rules and regulations under such laws together with applicable published national, multilateral and local policy statements, instruments, notices, blanket orders and rulings of the securities regulatory authorities in the Qualifying Jurisdictions;

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Federal Cannabis Laws means any U.S. federal laws, civil, criminal or otherwise, as such relate, either directly or indirectly, to the cultivation, harvesting, production, distribution, sale and possession of cannabis, marijuana or related substances or products containing or relating to the same, including, without limitation, the prohibition on drug trafficking under 21 U.S.C. § 841(a), et seq., the conspiracy statute under 18 U.S.C. § 846, the bar against aiding and abetting the conduct of an offense under 18 U.S.C. § 2, the bar against misprision of a felony (concealing another’s felonious conduct) under 18 U.S.C. § 4, the bar against being an accessory after the fact to criminal conduct under 18 U.S.C. § 3, and federal money laundering statutes under 18 U.S.C. §§ 1956, 1957, and 1960 and the regulations and rules promulgated under any of the foregoing.

  • Federal Aid Contract” is any contract between the Texas Department of Transportation and a Provider which is paid for in whole or in part with U. S. Department of Transportation (DOT) financial assistance.

  • Federal act means the federal laws and regulations that

  • Israeli Securities Law means the Israeli Securities Law, 5728-1968, as amended, and the regulations promulgated thereunder.

  • Applicable Securities Laws means the applicable securities legislation of each relevant province and territory of Canada, as amended from time to time, the rules, regulations and forms made or promulgated under any such statute and the published national instruments, multilateral instruments, policies, bulletins and notices of the securities commission and similar regulatory authority of each province and territory of Canada.

  • Federal Power Act means the Federal Power Act, as amended, 16 U.S.C. §§ 791a, et seq.

  • securities legislation means statutes concerning the regulation of securities markets and trading in securities and the regulations, rules, forms and schedules under those statutes, all as amended from time to time, and the blanket rulings and orders, as amended from time to time, issued by the securities commissions or similar regulatory authorities appointed under or pursuant to those statutes; “Canadian securities legislation” means the securities legislation in any province or territory of Canada and includes the Securities Act (British Columbia); and “U.S. securities legislation” means the securities legislation in the federal jurisdiction of the United States and in any state of the United States and includes the Securities Act of 1933 and the Securities Exchange Act of 1934; and

  • Applicable Canadian Securities Laws means, collectively, and as the context may require, the applicable securities legislation of each of the provinces and territories of Canada, and the rules, regulations, instruments, orders and policies published and/or promulgated thereunder, as such may be amended from time to time prior to the Effective Date;

  • State purchased health care or "health care" means medical

  • Blue Sky means the statutes of any state regulating the sale of corporate securities within that state.

  • Citizen of the United States has the meaning specified for such term in Section 40102(a)(15) of Title 49 of the United States Code or any similar legislation of the United States enacted in substitution or replacement therefor.

  • Canadian securities legislation means the securities laws in force in each province and territory of Canada, all regulations, rules, orders and policies made thereunder and all multilateral and national instruments adopted by the Securities Regulatory Authorities in such jurisdictions;

  • 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;

  • Agency or instrumentality of the government of Venezuela means an agency or instrumentality of a foreign state as defined in section

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c.S.5, as amended, and the regulations thereunder, unless otherwise specified, as the same exist on the date hereof.

  • Federal Book-Entry Regulations means 31 C.F.R. Part 357 et seq. (Department of Treasury).

  • Federal agency means any department, agency, or other instrumentality of the Federal Government, any independent agency or establishment of the Federal Government including any Government corporation, and the Government Printing Office.

  • State law means the unemployment insurance law of any state, approved by the United States secretary of labor under section 3304 of the Internal Revenue Code of 1954.

  • Indian Governmental Instrumentality means Government of India, Government of any State in India or any ministry, department, board, authority, agency, corporation, commission under the direct or indirect control of Government of India or any State Government or both, any political sub-division of any of them including any court or Commission or tribunal or judicial or quasi- judicial body in India but excluding the CTU, TSP and the Designated ISTS Customers;

  • Federal safety requirements means applicable provisions of 49 U.S.C. § 30101 et seq. and all

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.