SEC Rules definition

SEC Rules means Rule 204A-1 under the Advisers Act and Rule 17j-1 under the 1940 Act. 3

SEC Rules. Any rules promulgated by the Commission, and any interpretations thereof by the staff of the Commission.

SEC Rules means the rules and regulations promulgated by the SEC under the Securities Act, the Exchange Act or SOX.

Examples of SEC Rules in a sentence

• Failure to provide that information within the time specified (if it is not being provided directly to Compliance by the financial institution or other party) shall be deemed a violation of the Code and SEC Rules.

• SEC Rules require that this report include the title, number of shares and principal amount of each security held in an Employee's personal account, and the name of any broker, dealer or bank with whom the Employee maintains an account.

• Among other things, Compliance will vet any potential third party to determine if it is a permissible placement agent under SEC Rules 206(4)-3 and 206(4)-5.

• All parties agree to maintain the Escrow Account and escrowed funds in a manner that is compliant with SEC Rules 10b-9 and 15c2-4, promulgated under the Securities Exchange Act of 1934, as amended.

• All such materials shall, to the extent applicable, be maintained and preserved in conformity with the Act and the rules and regulations thereunder, including without limitation, SEC Rules 31a-1 and 31a-2.

More Definitions of SEC Rules

SEC Rules means any rule, regulation or interpretation of the SEC or the staff thereof; and

SEC Rules means the rules, regulations, orders, statements and interpretations published or issued by the SEC, as amended.

SEC Rules means the rules and regulations imposed by the SEC.

SEC Rules. As defined in Section 6.5.

SEC Rules shall have the meaning ascribed to such term in Section 3.1(k).

SEC Rules means any rules, regulations or interpretations of the SEC or the staff thereof. (n) "Subsidiary" or "Subsidiaries" of the Company, the Surviving Corporation, Parent or any other person means an Affiliate controlled by such person, directly or indirectly, through one or more intermediaries. (o) "Tax" or "Taxes" shall mean (A) all federal, state and local and foreign taxes and assessments of any nature whatsoever, based on the laws and regulations in effect from time to time through the Closing Date, including, without limitation, all income, profits, franchise, gross receipts, capital, sales, use, withholding, value added, ad valorem, transfer, employment, social security, disability, occupation, property, severance, production, exercise, environmental and other taxes, duties and other similar governmental charges and assessments imposed by or on behalf of any government or taxing authority, including all interest, penalties and additions imposed with respect to such amounts, and (B) any obligations under any agreements or arrangements with respect to any Taxes described in clause (A) above. 24 31 Section 9.04.

SEC Rules means the Exchange Act and such statutes, rules, regulations, interpretations, releases, orders, determinations, reports, or statements as are administered, enforced, adopted or promulgated by the SEC.