Regulatory Documents means the prospectus, annual report, semi-annual report and any other document required under applicable federal securities law to be delivered by the Trust to Fund shareholders.
Regulatory Documents means all regulatory documents and filings, correspondence with Regulatory Authorities, annual reports and amendments thereto related to a Licensed Product.
Regulatory Documents means, with respect to a Person, all forms, reports, registration statements, schedules and other documents filed, or required to be filed, by such Person pursuant to applicable Securities Laws, the Investment Company Act, the Investment Advisers Act, United States and state securities, commodities and other investment related Applicable Laws or the applicable rules and regulations of any Governmental Authority (including FINRA and each applicable exchange (as defined under the Exchange Act)).
Examples of Regulatory Documents in a sentence
The Exco has adopted these builder’s conduct rules and regulations in line with and/or in addition to any applicable rules and regulations contained in the HOA’s Regulatory Documents.
More Definitions of Regulatory Documents
Regulatory Documents means, with respect to a Person, all forms, reports, registration statements, schedules and other documents filed, or required to be filed, by such Person pursuant to applicable Securities Laws or the applicable rules and regulations of any United States or foreign governmental or non-governmental self-regulatory organization, agency or authority.
Regulatory Documents means, with respect to a Person, all forms, reports, registration statements, schedules and other documents filed, or required to be filed, by such Person pursuant to the Securities Laws.
Regulatory Documents means, with respect to a Person, all forms, reports, information statements, registration statements, brochures, schedules and other documents filed, or required to be filed, since January 1, 1993 by such Person with any Governmental Authority pursuant to Applicable Laws.
Regulatory Documents means those codes, agreements and other
Regulatory Documents shall have the meaning set forth in Section 3.10.
Regulatory Documents means, as to any Person, the bylaws, limited partnership agreement, regulations, operating agreement or similar regulatory documents, as applicable, governing the internal affairs of such Person.
Regulatory Documents has the meaning set forth in Section 5.4(f).