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NYSE Rule definition

NYSE Rule means Rule 312.03 of the New York Stock Exchange’s Listed Company Manual.
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NYSE Rule means Rule 312 of the NYSE’s Listed Company Manual.
Sample 1Sample 2
NYSE Rule means the rule of the NYSE requiring that proxies be solicited from the shareholders of any listed corporation which issues stock in an amount exceeding 20% of its then-existing capital stock.
Sample 1

Examples of NYSE Rule in a sentence

  • The Code of Ethics Office sends a NYSE Rule 407/FINRA Rule 3050 Letter to the broker-dealer requesting these documents.

  • Equity Research Analysts employed by the companies jointly referred as Credicorp Capital, are not registered/ qualified as research analysts under FINRA/NYSE rules, are not registered representatives of Credicorp Capital, LLC and may not be subject to NASD Rule 2711 and NYSE Rule 472 restrictions on communications with covered companies, public appearances, and trading securities held by a research analyst account.

  • Such limitations shall be in effect for such period of time as may be requested by the Company or such underwriters; provided, however, that in no event shall such period exceed (a) 180 days after the effective date of the registration statement for such public offering or (b) such longer period requested by the underwriter as is necessary to comply with regulatory restrictions on the publication of research reports (including, but not limited to, NYSE Rule 472 or NASD Conduct Rule 2711).

  • Unless otherwise indicated in the instruction above, please transfer all assets in my account to Pershing without penalties, such assets may be transferred within the time frames required by NYSE Rule 412 or similar rule of the NASD or other designated examining authority.

  • Broker undertakes to comply with NYSE Rule 405 (1), (2) and (3), and with other rules of regulatory organizations having jurisdiction over Broker.

  • The Plan shall be administered by the Committee, which may delegate its duties and powers in whole or in part to any subcommittee thereof consisting solely of at least two individuals who are intended to qualify as “Non-Employee Directors” within the meaning of Rule 16b-3 under the Act (or any successor rule thereto) and an “independent director” as defined in NYSE Rule 303A.02 (or any successor rule thereto).

  • Pursuant to NYSE Rule 382(e)(1), after receiving SLK's list of available exception reports and/or other reports, Broker must promptly notify SLK, in writing, of those specific reports offered by SLK that Broker requires to supervise and monitor its customer accounts.

  • This agreement places the responsibility for "knowing the customer" and "suitability" on Broker it permits SLK to satisfy itself, for its own benefit, that Broker has the ability to comply itself, for its own benefit, and that Broker has the ability to comply and has complied with the requirements of NYSE Rule 405 and the comparable requirements of similar rules of any other self-regulatory organization to which Broker belongs.

  • Pershing and Broker each represent that their obligations relative to exception reports, pursuant to NYSE Rule 382(e) have been completed.

  • Broker warrants that, to its best knowledge, the customers introduced to SLK by Broker shall not be minors and shall not be such as to come under prohibitions referred to in NYSE Rule 407, or in any other law, rule or regulation of any other regulatory authority; that Broker's customers shall in fact be the owners of accounts opened by SLK in their names, and that any orders and instructions given by Broker or any of Broker's employees shall have been fully and properly authorized.


More Definitions of NYSE Rule

NYSE Rule means Rule 312.03 of the New York Stock Exchange’s Listed Company Manual. “Parent Equity Plans” means the Parent 2013 Incentive Stock Program.
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Related to NYSE Rule

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

  • Stock Exchange Rules means the applicable rules of any stock exchange upon which Shares are listed;

  • Nasdaq Rules means the rules of NASDAQ;

  • Exchange Rules means the listing rules of The OTC Marketplace.

  • Trading Rules means the Rules and Regulations of the Exchange prescribed by the Stock Exchange from time to time; and

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

  • NASD means the National Association of Securities Dealers, Inc.

  • Repurchase Rules and Regulations shall have the meaning specified in Section 6.14 of the Indenture.

  • Rule means Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as the same may be amended from time to time.

  • House Rules the rules described in the Residents’ Handbook as listed in Schedule 4 and any revisions issued by the Landlord/Agent from time to time, for the benefit of the Building;

  • DOE Rules means DOE’s energy conservation regulations found in Title 10, Parts 429, 430, and 431 of the Code of Federal Regulations.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder, as in effect on the date of this Agreement or as the same may be amended, re-enacted or replaced by any comparable or successor laws or regulations thereto;

  • NASDAQ means The Nasdaq Stock Market.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder;

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

  • Listing Rules the Rules Governing the Listing of Securities on the Stock Exchange

  • NYSE MKT means the NYSE MKT LLC.

  • These rules means the administrative rules promulgated by the agency under the authority of the medical marihuana facilities licensing act, the marihuana tracking act, the Michigan regulation and taxation of marihuana act, and Executive Reorganization Order No. 2019-2, MCL 333.27001.

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

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • ISO-NE Rules means all rules and procedures adopted by NEPOOL, ISO-NE, or the RTO, and governing wholesale power markets and transmission in New England, as such rules may be amended from time to time, including but not limited to, the ISO-NE Tariff, the ISO-NE Operating Procedures (as defined in the ISO-NE Tariff), the ISO-NE Planning Procedures (as defined in the ISO-NE Tariff), the Transmission Operating Agreement (as defined in the ISO-NE Tariff), the Participants Agreement, the manuals, procedures and business process documents published by ISO-NE via its web site and/or by its e-mail distribution to appropriate NEPOOL participants and/or NEPOOL committees, as amended, superseded or restated from time to time.

  • ASX Listing Rules means the official listing rules of the ASX.

  • Designated Stock Exchange Rules means the relevant code, rules and regulations, as amended, from time to time, applicable as a result of the original and continued listing of any Shares or ADSs on the Designated Stock Exchange;

  • Hague Rules means the International Convention for the Unification of certain Rules of Law relating to Bills of Lading signed at Brussels on 25 August 1924.

  • rule making ’ means agency process for formulating, amending, or repealing a rule;

  • Determining Futures Exchangei means the options and/or futures exchange, on which respective derivatives of the respective Basket Componenti (the "Derivatives") are mostly liquidly traded, such options and/or futures exchange shall be determined by the Calculation Agent acting in accordance with relevant market practice and in good faith, by way of notice pursuant to § 6 of the General Conditions.In the case of a material change in the market conditions at the Determining Futures Exchangei, such as a final discontinuation of derivatives' quotation linked to the respective Basket Componenti at the Determining Futures Exchangei, or a considerably restricted number or liquidity, it shall be substituted as the Determining Futures Exchangei by another options and/or futures exchange that offers satisfactorily liquid trading in the Derivatives (the "Substitute Futures Exchangei"); such options and/or futures exchange shall be determined by the Calculation Agent acting in accordance with relevant market practice and in good faith. In the event of such substitution, any reference to the Determining Futures Exchangei in these Terms and Conditions of these Securities shall from then on be deemed to refer to the Substitute Futures Exchangei.

Most Referenced Clauses

Most Referenced Definitions