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SEC Regulations definition

SEC Regulations means the rules, regulations and orders promulgated by the SEC and in effect at any given time.
SEC Regulations means the rules, regulations and orders promulgated by the SEC and in effect at any given time, including, without limitation, any rules promulgated under the SEA.
SEC Regulations means the rules and regulations of the SEC in so far as they apply to the Company;

Examples of SEC Regulations in a sentence

  • In order to comply with SEC regulations, Purchaser may need the right prior to or subsequent to Closing, to conduct an audit of Seller's books and records for the Property in conformity with applicable SEC Regulations for prior years and/or for Seller's period of ownership during the year in which the Closing occurs.

  • If for any reason (including, without limitation, the Commission’s interpretation of Rule 415) the Commission does not permit all of the Registrable Securities to be included in such Registration Statement, then the Company shall prepare and file with the Commission one or more separate Registration Statements with respect to any such Registrable Securities not included with the initial Registration Statements, as soon as allowed under SEC Regulations and is commercially practicable.

  • Trautman, Who Qualifies as an Audit Committee Financial Expert Under SEC Regulations and NYSE Rules?, 11 DEPAUL BUS.

  • Ryder Scott estimated the reserves based on the definitions and disclosure guidelines of the United States Securities and Exchange Commission (SEC) contained in Title 17, Code of Federal Regulations, Modernization of Oil and Gas Reporting, Final Rule released January 14, 2009 in the Federal Register (SEC Regulations).

  • When the Registration Statement becomes effective under the Securities Act and at all times subsequent thereto up to and including the Initial Closing and each Monthly Closing, the Registration Statement and Prospectus will comply in all material respects with the requirements of the Securities Act, the rules and regulations promulgated thereunder (the "SEC Regulations"), the rules of the NFA and the CEAct.

  • In May 2018, a discussion document prepared by the Center for Audit Quality SEC Regulations Committee and its International Practices Task Force describes inflation data for Argentina through April 2018.

  • They are the independent public accountants with respect to the Managing Owner as required by the 1933 Act and the SEC Regulations; and with respect to the Trust, CF & Co, LLP are the accountants who audited the financial statements filed with the SEC as part of the Registration Statement and are the independent public accountants with respect to the Trust as required by the 1933 Act and the SEC Regulations.

  • Pursuant to SEC Regulations, a Nomination Committee was created to screen the qualifications and prepare a final list of all candidates for independent and regular directors.

  • The Parent's Form 10-K Annual Reports have been filed with certified financial statements, in compliance with SEC Regulations.

  • Any Sales Literature will comply with the 1933 Act, the SEC Regulations, the CEAct, the CFTC Rules, and the rules of the FINRA and the NFA.


More Definitions of SEC Regulations

SEC Regulations means the rules and regulations promulgated by the SEC, as amended, which apply to the operation of an SBSEF.
SEC Regulations the rules and regulations of the SEC in so far as they apply to the Company;
SEC Regulations means the rules and regulations of the SEC, including with-out limitation, the rules and regulations of the SEC promulgated under the U.S. Securi-ties Act of 1933, as amended, and the U.S. Securities Exchange Act of 1934, as amended. “Share(s)” shall have the meaning set forth in the recitals above. “Share Lending Agreement” shall have the meaning set forth in Clause 3.2.2. “Subscription Price” shall have the meaning set forth in Clause 2.2.2. “Subsidiary(ies)” means any entity over which this Issuer has Control. “Trading Day” means any day during which Nasdaq Stock Market is open for ordi-nary business, provided that “Trading Day” shall not include any day (i) on which the Shares have not been traded, (ii) on which the Shares are scheduled to trade on such market for less than 4.5 hours (it being specified for the avoidance of doubt that any day during which there would be no effective trading would be considered as a Trading Day if this is not due to a suspension requested by the Issuer or the stock market au-thorities) or (iii) that the Shares are suspended from trading at the request of the DocuSign Envelope ID: 7D73C804-9904-45E2-BB2F-36E65EB1DF15
SEC Regulations means the rules and regulations promulgated by the SEC under the US Securities Exchange Act of 1934; and

Related to SEC Regulations

  • CFTC Regulations means the rules and regulations promulgated by the CFTC, as amended.

  • EP Regulations means The Environmental Permitting (England and Wales) Regulations SI 2016 No.1154 and words and expressions used in this permit which are also used in the Regulations have the same meanings as in those Regulations.

  • SEBI ICDR Regulations means Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2018, as amended;