SEC Filer definition

SEC Filer means Holdco or such Restricted Subsidiary that files with the SEC the audited and unaudited financial statements of Holdco and its consolidated Subsidiaries.
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SEC Filer means the Parent or such Restricted Subsidiary that files with the SEC the audited and unaudited financial statements of the Parent and its consolidated Subsidiaries.
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SEC Filer means WestRock or such Restricted Subsidiary that files with the SEC the audited and unaudited financial statements of WestRock and its consolidated Subsidiaries.
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Examples of SEC Filer in a sentence

  • For example, an affiliate that also is an SEC Filer must receive a governing board’s approval for electing the proposed exemption.

  • Proposed Rule 39.6 would simply require an indication of each method used to mitigate the credit risk associated with non-cleared swaps.Additional boxes would indicate whether finance affiliate or a SEC Filer is involved.

  • AGA asked the Commission to confirm that if a utility is a subsidiary of an SEC Filer, then the subsidiary’s board committee would authorize the swap, not the board of the SEC Filer.

  • Similarly, board (or appropriate committee) approval of an SEC Filer’s election of the end-user exception must be obtained prior to the first instance the SEC Filer makes the election.

  • Regulation 39.6(b)(1)(iii)(D)(2) would require reporting of confirmation by the SEC Filer that such review has occurred.

  • In accordance with Section 2(j) of the CEA, the proposed rule required a committee of the board of directors (or equivalent body) of an SEC Filer to approve the decision not to clear the swap for which the end-user exception would be elected.

  • Proposed § 39.6(g)(4)(iii)(A) requires an electing SEC Filer to notify the Commission of its SEC Filer status by submitting its SEC Central Index Key number.

  • In addition, Section 2(j) of the CEA provides that any exception to the clearing requirement of Section 2(h)(1) of the CEA and the trading requirement of Section 2(h)(8) of the CEA are only available to an SEC Filer if the decision to enter into swaps subject to such exceptions has been reviewed by an appropriate committee of the governing body of the SEC Filer.

  • Appendix A illustrates the application of the principle used by the SEC staff to determine whether an entity is an SEC Filer.

  • SEC Filer Agent fees for submittal of filings to the SEC shall be borne by the Client.


More Definitions of SEC Filer

SEC Filer means an issuer of securities registered under Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”) or required to file reports under Exchange Act Section 15(g). 77 Fed. Reg. at 50432.
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SEC Filer means a company required to file annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K and other required filings with the SEC pursuant to Sections 13 and 15(d) of the Exchange Act.
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Related to SEC Filer

  • SEC Filings has the meaning set forth in Section 4.6.

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

  • Company Reports has the meaning set forth in Section 3.08(a).

  • Public Reports includes all reports filed by Company under the Act or the Exchange Act, including pursuant to Section 13(a) or 15(d) thereof, for the two full fiscal years preceding the Effective Date and thereafter.

  • 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.

  • Public Filings means the reports, schedules, forms, statements and other documents filed by the Company or Bezeq with the SEC or the ISA, as applicable, and publically available at least two (2) Business Days prior to the date of this Agreement.

  • SEC Documents shall have the meaning specified in Section 4.5.

  • Parent Reports has the meaning set forth in Section 4.5(a).

  • CREFC® Financial File The data file in the “CREFC® Financial File” format substantially in the form of and containing the information called for therein for the Mortgage Loans, or such other form for the presentation of such information as may be approved from time to time by the CREFC® for commercial mortgage securities transactions generally.

  • Company SEC Reports shall have the meaning set forth in Section 3.8(a).

  • Company Financial Information As defined in Section 2(a)(ii).

  • Disclosure Time means, (i) if this Agreement is signed on a day that is not a Trading Day or after 9:00 a.m. (New York City time) and before midnight (New York City time) on any Trading Day, 9:01 a.m. (New York City time) on the Trading Day immediately following the date hereof, unless otherwise instructed as to an earlier time by the Placement Agent, and (ii) if this Agreement is signed between midnight (New York City time) and 9:00 a.m. (New York City time) on any Trading Day, no later than 9:01 a.m. (New York City time) on the date hereof, unless otherwise instructed as to an earlier time by the Placement Agent.

  • Periodic Reports means all of the Company’s reports required to be filed by the Company with the Commission under applicable laws and regulations (including, without limitation, Regulation S-K), including annual reports (on Form 10-K), quarterly reports (on Form 10-Q), and current reports (on Form 8-K), for so long as any amounts are outstanding under this Note; provided that all such Periodic Reports shall include, when filed, all information, financial statements, audit reports (when applicable) and other information required to be included in such Periodic Reports in compliance with all applicable laws and regulations.

  • Buyer SEC Reports has the meaning set forth in Section 4.6.

  • Company SEC Documents shall have the meaning set forth in Section 4.7(a).

  • Periodic Report means the Company’s quarterly report on Form 10-Q or annual report on Form 10-K, as applicable.

  • Buyer SEC Documents shall have the meaning set forth in Section 4.10(a).

  • Exchange Act Report shall have the meaning assigned to such term in Section 3.3.

  • Exchange Act Reports means any reports on Form 10-D, Form 8-K and Form 10-K filed or to be filed by the Seller with respect to the Issuer under the Exchange Act.

  • SOS Reports means the official reports from the Secretaries of State of each Collateral State, Chief Executive Office State and the Borrower State and other applicable federal, state or local government offices identifying all current security interests filed in the Collateral and Liens of record as of the date of such report.

  • GLJ Report means the independent engineering reserves evaluation of certain oil, NGL and natural gas interests of the Company prepared by GLJ dated February 7, 2019 and effective December 31, 2018.

  • SEDAR means the System for Electronic Document Analysis and Retrieval;

  • Exchange Act Filing shall have the meaning set forth in Section 5.1.11(f) hereof.

  • Data Room Information means the information and documents listed in the index of documents contained in the Data Site attached to the Company Disclosure Letter;

  • CMSA Financial File means a report substantially in the form of, and containing the information called for in, the downloadable form of the "Financial File" available as of the Closing Date on the CMSA Website, or such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CMSA for commercial mortgage securities transactions generally.

  • MI Report means a report containing Management Information submitted to the Authority in accordance with Framework Schedule 8 (Management Information);