SEC Regulations definition
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.
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.
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.
Vendor shall keep and maintain the LACERA Records for the longer of (i) the period they are required to be kept and maintained under applicable statutory law and SEC Regulations, or (ii) according to Vendor’s record retention standards, but in no event for less than seven (7) years following the termination of this Agreement.
You and the Managing Member may make such other arrangements regarding the transmission of subscriptions as they may deem convenient or appropriate; provided that any such arrangement must comply in all relevant respects with SEC Regulations 10b-9 and 15c2-4.
When the Registration Statement becomes effective under the Securities Act and at all times subsequent thereto up to and including each 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.
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.
The Parent's Form 10-K Annual Reports have been filed with certified financial statements, in compliance with SEC Regulations.
The Partnership will not utilize any promotional brochure or other marketing materials, including "Tombstone Ads" or other communications qualifying under Rule 134 of the SEC Regulations (collectively, "Promotional Material"), that are reasonably objected to by the Selling Agent.