National securities association means an association registered with the U.S. Securities and Exchange Commission under Section 15A of the Securities Exchange Act of 1934 (15 U.S.C. 78o-3).
National securities association means any association of brokers and dealers registered pursuant to section 15A of the Act (15 U.S.C. 78o-3).
National securities association means a na- tional securities association registered pur- suant to section 15A(a) of the Exchange Act (15 U.S.C. 78o–3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).2. With respect to paragraphs (c)(2)(i), (d)(1) and (e)(2) of this Item, disclose whether a current copy of the applicable committee charter is available to security holders on the registrant’s Web site, and if so, provide the registrant’s Web site address. If a cur- rent copy of the charter is not available to security holders on the registrant’s Web site, include a copy of the charter in an appendix to the registrant’s proxy or information statement that is provided to security hold- ers at least once every three fiscal years, or if the charter has been materially amended since the beginning of the registrant’s last fiscal year. If a current copy of the charter is not available to security holders on the registrant’s Web site, and is not included as an appendix to the registrant’s proxy or in- formation statement, identify in which of the prior fiscal years the charter was so in- cluded in satisfaction of this requirement.[71 FR 53254, Sept. 8, 2006, as amended at 73FR 964, Jan. 4, 2008; 73 FR 57238, Oct. 2, 2008;74 FR 68364, Dec. 23, 2009; 77 FR 38453, July 27,2012; 84 FR 2425, Mar. 8, 2019; 84 FR 12717, Apr.2, 2019] Subpart 229.500—Registration Statement and Prospectus Provisions§ 229.501 (Item 501) Forepart of Reg- istration Statement and Outside Front Cover Page of Prospectus.The registrant must furnish the fol- lowing information in plain English. See § 230.421(d) of Regulation C of this chapter.(a) Front cover page of the registration statement. Where appropriate, include the delaying amendment legend from§ 230.473 of Regulation C of this chapter.(b) Outside front cover page of the pro- spectus. Limit the outside cover page to one page. If the following information applies to your offering, disclose it on the outside cover page of the pro- spectus.
Examples of National securities association in a sentence
National securities association means a board of trade registered with the Securities and Exchange Commis- sion pursuant to section 15A(a) of the Securities Exchange Act of 1934.
An applicant described in subsections (c) and (d) shall provide to the Department, within 5 days of receipt of a written or electronic request, a copy of any financial statement or financial information required under the Securities and Exchange Commission rules or the rules of a National securities association or National securities exchange of which the applicant is a member.
National securities association means a na- tional securities association registered pur- suant to section 15A(a) of the Exchange Act (15 U.S.C. 78o–3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).2.
National securities association means a national securities association registered pursuant to section 15A(a) of theExchange Act (15 U.S.C. 78o-3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).
National securities association means aboard of trade registered with the Securities and Exchange Commission pursuant to section 15A(a) of the Securities Exchange Act of 1934.
More Definitions of National securities association
National securities association means a securities association that is registered under Section 15A of the Exchange Act
National securities association means a board of trade registered with the Securities and Exchange Commission pursuant to section 15A(a) of the Securities Exchange Act of 1934.
National securities association means a national securities association registered pursuant to section 15A(a) of the Exchange Act (15 U.S.C. 78o–3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).2. With respect to paragraphs (c)(2)(i), (d)(1) and (e)(2) of this Item, disclose whether a current copy of the applicable committee charter is available to security holders on the registrant’s Web site, and if so, provide the registrant’s Web site address. If a current copy of the charter is not available to security holders on the registrant’s Web site, includea copy of the charter in an appendix to the registrant’s proxy statement that is provided to security holders at least once every three fiscal years, or if the charter has been materially amended since the beginning of the registrant’s last fiscal year. If a current copy of the charter is not available to security holders on the registrant’s Web site, and is not included as an appendix to the registrant’s proxy statement, identify in which of the prior fiscal years the charter was so included in satisfaction of this requirement.
National securities association means a national securities association registered pursuant to section 15A(a) of the Exchange Act (15 U.S.C. 78o–3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).2. With respect to paragraphs (c)(2)(i), (d)(1) and (e)(2) of this Item, disclose whether a current copy of the applicable committee charter is available to security holders on the small business issuer’s Web site, and if so, provide the small business issuer’s Web site address. If a current copy of the charter is not available to security holders on the small business issuer’s Web site, include a copy of the charter in an appendix to the small business issuer’s proxy or information statement that is provided to security holders at least once every three fiscal years, or if the charter has been materially amended since the beginning of the small business issuer’s last fiscal year. If a current copy of the charter is not available to security holders on the small business issuer’s Web site, and is not included as an appendix to the small business issuer’s proxy or information statement, identify in which of the prior fiscal years the charter was so included in satisfaction of this requirement.PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975— REGULATION S–K■ 9. The authority citation for part 229 continues to read in part as follows:Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2, 77z-3, 77aa(25), 77aa(26),77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78l, 78m, 78n, 78o, 78u-5, 78w, 78ll, 78mm, 79e, 79j, 79n,79t, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c), 80a-37, 80a-38(a), 80a-39, 80b-11, and7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.* * * * *■ 10. Amend § 229.201 by revising Instruction 2 to paragraph (d) and adding paragraph (e) before the Instructions to Item 201 to read as follows:§ 229.201 (Item 201) Market price of and dividends on the registrant’s common equity and related stockholder matters.* * * * * Instructions to paragraph (d). 1. * * *2. For purposes of this paragraph, an ‘‘individual compensation arrangement’’ includes, but is not limited to, the following: a written compensation contract within the meaning of ‘‘employee benefit plan’’ under§ 230.405 of this chapter and a plan (whether or not set forth in any formal document) applicable to one person as provided under It...
National securities association means a national securities association registered pursuant to section 15A(a) of the Exchange Act (15 U.S.C. 78o–3(a)) that has been approved by the Commission (as that definition may be modified or supplemented).2. With respect to paragraphs (c)(2)(i), (d)(1) and (e)(2) of this Item, disclose whether a current copy of the applicable committee charter is available to security holders on the small business issuer’s Web site, and if so, provide the small business issuer’s Web site address. If a current copy of the charter is not available to security holders on the small business issuer’s Web site, include a copy ofthe charter in an appendix to the small business issuer’s proxy statement that is provided to security holders at least once every three fiscal years, or if the charter has been materially amended since the beginning of the small business issuer’s last fiscal year. If a current copy of the charter is not available to security holders on the small business issuer’s Web site, and is not included as an appendix to the small business issuer’s proxy statement, identify in which of the prior fiscal years the charter was so included in satisfaction of this requirement.PART 229—STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975— REGULATION S–K9. The authority citation for part 229 continues to read in part as follows:Authority: 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z–2, 77z–3, 77aa(25), 77aa(26),77ddd, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78l, 78m, 78n, 78o, 78u–5, 78w, 78ll, 78mm, 79e, 79j, 79n,79t, 80a–8, 80a–9, 80a–20, 80a–29, 80a–30,80a–31(c), 80a–37, 80a–38(a), 80a–39, 80b–11, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.
National securities association means a securities association that is registered under Section 15A of the Exchange Act.
National securities association means an association registered with the SEC under Section 15A of the Securities Exchange Act of 1934 (15 U.S.C. § 78o-3).