Federal Securities Exchange Act definition

Federal Securities Exchange Act means Title 15 United States Code section 78a-78kk, as amended from time to time, and the rules and regulations of the United States Securities and Exchange Commission now or hereafter promulgated thereunder. (Adopted: 09/25/2000.)
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Federal Securities Exchange Act means Title 15 United States Code sections 78a–78kk, as amended from time to time, and the rules and regulations of the United States Securities and Exchange Commission now or hereafter promulgated thereunder.
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Federal Securities Exchange Act means the Securities Exchange Act of 1934 (15 U.S.C. Section 77b et seq.), as amended.
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Examples of Federal Securities Exchange Act in a sentence

  • Has filed all reports required to be filed by section 13 or section 15(d) of the Federal Securities Exchange Act during the preceding 12 months, or for such a shorter period that such affiliated company has been required to file such reports.

  • Has filed all reports required to be filed by section 13 or section 15(d) of the Federal Securities Exchange Act, or in the case of a foreign issuer or foreign private issuer, pursuant to Regulations 13d-16 and 15a-16 of the Federal Securities Exchange Act, during the preceding 12 months, or for such a shorter period that such affiliated company has been required to file such reports.

  • Papermaster and Magierski’s actions violated the Section 20(a) of the Federal Securities Exchange Act of 1934, and as control persons are jointly and severally liable for the remaining defendants’ direct violations of Section 10(b) of the Federal Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission.

  • None of the funds contained inthis Act may be used to enforce section 540 of Public Law 110–329 (122 Stat.

  • By reason of the foregoing, defendants directly and indirectly violated Section 10(b) of the Federal Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission.

  • The Dockside Group argues in its motion that the Falaheen Group has failed to state a claim under Section 10b of the Federal Securities Exchange Act of 1934, 15 U.S.C. § 78j, in the Complaint.

  • Though federal case law concerning the Federal Securities Exchange Act of 1934 and the Federal Securities Act of 1933 is persuasive, it does not settle the law governing the CSA.

  • Datascope shareholder David Shaev brought a derivative lawsuit under the Federal Securities Exchange Act of 1934 and applicable regulations alleging that the proxy statement made false and misleading statements regarding material facts.

  • Kaufxxx xxxks recovery on behalf of all persons who purchased shares of the Company's common stock on the open market from February 12, 1996, to July 11, 1996, and alleges claims under Sections 10b and 20(a) of the Federal Securities Exchange Act of 1934, and under Rule 10b-5 promulgated thereunder.

  • Any stocks or other corporate securities in which funds are invested, except stocks or banks, insurance companies or mutual funds, shall be registered on a national securities exchange as provided by the Federal Securities Exchange Act.

Related to Federal Securities Exchange Act

  • Securities Exchange Act means the 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.

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

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act (or any successor to such Section).

  • 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;

  • Securities Exchange means, at any time, the registered national securities exchange on which the Corporation’s equity securities are then principally listed or traded, which shall be the New York Stock Exchange or NASDAQ Global Market (or similar national quotation system of the NASDAQ Stock Market) (“NASDAQ”) or any successor exchange of either the New York Stock Exchange or NASDAQ.

  • 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.

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

  • 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.

  • Hague Securities Convention means The Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary (Concluded 5 July 2006), which became effective in the United States of America on April 1, 2017.

  • Federal Securities means: (a) any direct general obligations of the United States of America (including obligations issued or held in book entry form on the books of the Department of the Treasury of the United States of America), for which the full faith and credit of the United States of America are pledged; (b) obligations of any agency, department or instrumentality of the United States of America, the timely payment of principal and interest on which are directly or indirectly secured or guaranteed by the full faith and credit of the United States of America.

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

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

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

  • U.S. Securities Act means the United States Securities Act of 1933, as amended;

  • Securities Act means the Securities Act of 1933, as amended.

  • Futures Exchange means the exchange or trading system with the highest trading volume of options or futures contracts relating to the Share. If options or futures contracts on the Share are not traded on any exchange, the Futures Exchange shall be the options or futures exchange with the highest amount of options or futures contracts relating to shares of companies having their residence in the country in which the Company has its residence. If there is no options or futures exchange in the country in which the Company has its residence on which options or futures contracts on shares are traded, the Calculation Agent will determine the Futures Exchange in its reasonable discretion (billiges Ermessen) (§ 317 BGB) and will make notification thereof in accordance with § 6 of the General Terms.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • Recognised Futures Exchange means an international futures exchange which is recognised by the SFC or which is approved by the Manager.

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

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

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • Securities Acts means the Securities Act of 1933 and the Securities Exchange Act of 1934.

  • 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)).

  • Relevant Stock Exchange for the Fund means the primary exchange or quotation system on which shares (or other applicable securities) of the Fund are traded, as determined by the Calculation Agent.

  • NYSE means the New York Stock Exchange.