SEC Rule definition

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time.

SEC Rule means the Securities and Exchange Commission Rule 15c2-12 under the Securities Exchange Act of 1934, as amended (17 C.F.R. part 240, § 240 15c2-12).

Examples of SEC Rule in a sentence

• If the Custodian wishes to appoint a Foreign Sub-custodian to hold property of the Company subject to this Agreement, it will so notify the Company and provide it with information reasonably necessary to determine any such new Foreign Sub- custodian’s eligibility under SEC Rule 17f-5 under the 1940 Act, including a copy of the proposed agreement with such Foreign Sub-custodian.

• If a large trader otherwise meets the definition of “Non-Professional Subscriber,” the large trader does not lose his or her “Non- Professional Subscriber” status merely because he or she falls within SEC Rule 13h-1(a)’s definition of “large trader.

• As used in such verifications, “affiliate” means an entity that controls, is controlled by, or is under common control with the Owner within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.

• I acknowledge that unless Axos Clearing receives written objection from Me, under SEC Rule 14B-1(c), Axos Clearing may provide My name, address, and security positions to requesting companies in which I hold securities.

More Definitions of SEC Rule

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time or such other similar rule regarding disclosure of information in securities transactions.

SEC Rule means Rule 15c2-12 promulgated by Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.

SEC Rule means Rule 15c2-12 adopted by the SEC under the Securities Exchange Act of 1934, as the same may be amended from time to time.

SEC Rule means SEC Rule 15c2-12.

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities

SEC Rule will have the meaning ascribed to it in Section 12.8.

SEC Rule. 144(b)(1)” means Rule 144(b)(1) promulgated by the SEC under the Securities Act, or any successor provisions.