OTC reporting issuer definition

OTC reporting issuer means an OTC issuer that is a reporting issuer;
OTC reporting issuer means an OTC issuer that is a reporting issuer; “promotional activities” means activities or communications, by or on behalf of an

Examples of OTC reporting issuer in a sentence

  • Section 14.2 of National Instrument 71-101 The Multijurisdictional Disclosure System and section 4.2 of National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers do not apply to an OTC reporting issuer.

  • If a person will carry on promotional activities under an agreement, arrangement, commitment or understanding with an OTC reporting issuer, the OTC reporting issuer must file a notice in the form of Form 51-105F2 Notice of Promotional Activities naming the person and describing the activities and the relationship of the OTC reporting issuer with the person, and the particulars of their agreement, arrangement, commitment or understanding with the OTC reporting issuer.

  • Standards of Disclosure for Mineral Projectsdoes not apply to an OTC reporting issuer.

  • In Québec, an OTC reporting issuer must apply to the securities regulatory authority to have its status as an OTC reporting issuer revoked in order to cease to be a reporting issuer.

  • The Instrument provides a transition period for an OTC reporting issuer that is not an SEC filer.

  • McAdooTitle: Chief Executive OfficerNOTE TO READERIn contrast to the certificate required for non-venture issuers under National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (NI 52-109), this OTC reporting issuer Basic Certificate does not include representations relating to the establishment and maintenance of disclosure controls and procedures (DC&P) and internal control over financial reporting (ICFR), as defined in NI 52-109.

  • The OTC reporting issuer designation and determination is made on a jurisdiction by jurisdiction basis as is the case for determination of reporting issuer status under Canadian securities legislation.

  • GarrisonTitle: Acting and Interim Chief Financial OfficerNOTE TO READERIn contrast to the certificate required for non-venture issuers under National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (NI 52-109), this OTC reporting issuer Basic Certificate does not include representations relating to the establishment and maintenance of disclosure controls and procedures (DC&P) and internal control over financial reporting (ICFR), as defined in NI 52-109.

  • The connecting factors in section 3 of the Instrument prescribe whether or not an issuer is an OTC reporting issuer and therefore subject to the Instrument.

  • National InstrumentsAn OTC reporting issuer has the same disclosure obligations as other reporting issuers under securities legislation, subject to Part 2 of the Instrument.

Related to OTC reporting issuer

  • reporting issuer shall have the meaning set forth in Section 6.2.

  • Reporting Company means a company that is obligated to file periodic reports under Sections 13 or 15(d) of the Securities Exchange Act.

  • Reporting Person means an officer, Director, or greater than ten percent stockholder of the Company within the meaning of Rule 16a-2 under the Exchange Act, who is required to file reports pursuant to Rule 16a-3 under the Exchange Act.

  • Reporting Jurisdictions means British Columbia, Alberta, Manitoba and Ontario;

  • securities regulatory authority or “SRA” means a body created by statute in any Canadian or foreign jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity;

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

  • 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;

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

  • 1934 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.

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

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

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • Securities Regulatory Authorities means the securities commission or similar regulatory authority in each province and territory of Canada that is responsible for administering the Canadian securities legislation in force in such jurisdictions;

  • SEC Reports shall have the meaning ascribed to such term in Section 3.1(h).

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

  • Rapid(ly) report(ing means within 72 hours of discovery of any cyber incident.

  • Reporting Insider means an insider of a reporting issuer if the insider is

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

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

  • Consumer reporting agency means any person which, for monetary fees, dues, or on a cooperative nonprofit basis, regularly engages, in whole or in part, in the practice of assembling or evaluating consumer credit information or other information on consumers for the purpose of furnishing consumer reports to third parties, and which uses any means or facility for the purpose of preparing or furnishing consumer reports.

  • Reporting Counterparty means, for purposes of Part 45 of CFTC Regulations, the Participant or Authorized Trader that is designated as such pursuant to Rule 528(b).

  • Reporting Party means any person who alleges that a student has violated this Code.

  • SEC Report means, with respect to any Calendar Quarter, the Corporation’s Annual Report on Form N-CSR, Semi-Annual Report on Form N-SAR, or Quarterly Report on Form N-Q, as applicable, filed by the Corporation with the Securities and Exchange Commission with respect to the fiscal period ending as of the last day of such Calendar Quarter.

  • 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)).

  • Reporting Material means all Material which the Grantee is required to provide to the Commonwealth for reporting purposes as specified in the Grant Details and includes any Existing Material that is incorporated in or supplied with the Reporting Material.