Rule definition

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.

Rule means: a written statement by the Interstate Commission promulgated pursuant to Article XII of this compact that is of general applicability, implements, interprets or prescribes a policy or provision of the compact, or an organizational, procedural, or practice requirement of the Interstate Commission, and has the force and effect of statutory law in a member state, and includes the amendment, repeal, or suspension of an existing rule.

Rule means Rule 17f-5 under the Investment Company Act of 1940, as amended on June 12, 2000.

Examples of Rule in a sentence

• The Rule requires that all municipal advisors provide to their clients certain disclosures of legal or disciplinary events material to a client’s evaluation of the municipal advisor or the integrity of the municipal advisor’s management or advisory personnel.

• MSRB Rule G-42 requires that Xxxxx Xxxxxxx provide you with disclosures of material conflicts of interest and of information regarding certain legal events and disciplinary history.

• The Rule requires that Xxxxx Xxxxxxx provide to you disclosures relating to any actual or potential material conflicts of interest, including certain categories of potential conflicts of interest identified in the Rule, if applicable.

• As required by the Rule, this Section 5 may be supplemented or amended, from time to time as needed, to reflect changed circumstances resulting in new conflicts of interest or changes in the conflicts of interest described above, or to provide updated information with regard to any legal or disciplinary events of Xxxxx Xxxxxxx.

• If the Client has designated Xxxxx Xxxxxxx as its independent registered municipal advisor (“XXXX”) for purposes of SEC Rule 15Ba1-1(d)(3)(vi) (the “XXXX exemption”), the extent of the XXXX exemption is limited to the Scope of Services and any limitations thereto.

More Definitions of Rule

Rule means a rule promulgated pursuant to the administrative procedures act of 1969, 1969 PA 306, MCL 24.201 to 24.328.

Rule means SEC Rule 15c2-12, as amended from time to time. “SEC” means the United States Securities and Exchange Commission.

Rule means Rule 15c2-12 promulgated by the SEC under the Securities Exchange Act of 1934 (17 CFR Part 240, §240.15c2-12), as amended, as in effect on the date of this Undertaking, including any official interpretations thereof issued either before or after the effective date of this Undertaking which are applicable to this Undertaking.

Rule means a Rule of the Regulations;

Rule means a regulation, principle, or directive promulgated by the commission that has the force of law.

Rule means SEC Rule 15c2-12, as amended from time to time.

Rule means a statement of general or particular applicability and future effect promulgated by the Commission, including a Uniform Standard developed pursuant to Article VII of this Compact, designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or practice requirements of the Commission, which shall have the force and effect of law in the Compacting States.