Securities and Commodities Laws definition

Securities and Commodities Laws. The term shall mean the "1933 Act", the Securities Act of 1933, as amended, the "1934 Act", the Securities Exchange Act of 1934, as amended, the "1940 Act", and the "CEA", the Commodities Exchange Act, as amended.

Securities and Commodities Laws. The terms the "1933 Act" shall mean the Securities Act of 1933, as amended, the "1934 Act" shall mean the Securities Exchange Act of 1934, as amended, the "1940 Act" shall mean the Investment Company Xxx 0000, as amended, and the "CEA" shall mean the Commodities Exchange Act, as amended.

Securities and Commodities Laws any one or more of the Advisers Act, the 1933 Act, the 1934 Act, the 1940 Act and the CE Act, to the extent each is applicable to the Managing Member or the Company.

Examples of Securities and Commodities Laws in a sentence

DNREC shall be contacted 24 hours prior to delivery to coordinate drop off and inspections.
The fiduciary principles of this Code and Securities and Commodities Laws prohibit you from trading based on material, non-public information (“MNPI”) received from any source or communicating this information to others.8 If you believe you may have access to material, non-public information or are unsure about whether information is material or non-public, please consult a Compliance Officer and the PIMCO MNPI Policy.
The fiduciary principles of this Code and Securities and Commodities Laws prohibit you from trading based on material, non-public information (“MNPI”) received from any source or communicating this information to others.10 If you believe you may have access to material, non-public information or are unsure about whether information is material or non-public, please consult a Compliance Officer and the PIMCO MNPI Policy.
The fiduciary principles of this Code and Securities and Commodities Laws prohibit you from trading while in possession of material, non-public information (“MNPI”) received from any source or communicating this information to others.6 If you believe you may have access to material, non-public information or are unsure about whether information is material or non-public, please consult a Compliance Officer and the PIMCO MNPI Policy.
The fiduciary principles of this Code and Securities and Commodities Laws prohibit you from trading based on material, non-public information (“MNPI”) received from any source or communicating this information to others.5 If you believe you may have access to material, non-public information or are unsure about whether information is material or non-public, please consult a Compliance Officer and the PIMCO MNPI Policy.

More Definitions of Securities and Commodities Laws

Securities and Commodities Laws. The term "Securities and Commodities Laws" shall mean the "1933 Act" which shall mean the Securities Act of 1933, the "1934 Act" which shall mean the Securities Exchange Act of 1934, the 1940 Act, and the "CEA" which shall mean the Commodities Exchange Act, as amended. (h) "Shares". The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (i) "Property". The term "Property" shall mean: (i) any and all securities and other investment items which the Fund may from time to time deposit, or cause to be deposited, with PNC Bank or which PNC Bank may from time to time hold for the Fund; (ii) all income in respect of any of such securities or other investment items; (iii) all proceeds of the sale of any of such securities or investment items; and (iv) all proceeds of the sale of securities issued by the Fund, which are received by PNC Bank from time to time, from or on behalf of the Fund. (j) "Written Instructions". The term "Written Instructions" shall mean written instructions signed by one Authorized Person and received by PNC Bank. The instructions may be delivered by hand, mail, tested telegram, cable, telex or facsimile sending device.

Securities and Commodities Laws means the "1933 Act" which shall mean the Securities Act of 1933, the "1934 Act" which shall mean the Securities Exchange Act of 1934, the 1940 Act, and the "CEA" which shall mean the Commodities Exchange Act, as amended. (h) "Shares". The term "Shares" shall mean the shares of stock of any series or class of the Fund, or, where appropriate, units of beneficial interest in a trust where the Fund is organized as a Trust. (i) "Property". The term "Property" shall mean: (i) any and all securities and other investment items which the Fund may from time to time deposit, or cause to be deposited, with PNC Bank or which PNC Bank may from time to time hold for the Fund; (ii) all income in respect of any of such securities or other investment items; (iii) all proceeds of the sale of any of such securities or investment items; and (iv) all proceeds of the sale of securities issued by the Fund, which are received by PNC Bank from time to time, from or on behalf of the Fund. (j) "Written Instructions". The term "Written Instructions" shall mean written instructions signed by one Authorized Person and received by PNC Bank. The instructions may be delivered by hand, mail, tested telegram, cable, telex or facsimile sending device.

Securities and Commodities Laws. The terms the

Securities and Commodities Laws means the Securities Act of 1933, as amended (the "1933 Act"), the Securities Exchange Act of 1934, as amended (the "1934 Act"), the 1940 Act, and the Commodities Exchange Act, as amended (the "CEA").

Securities and Commodities Laws. The terms the "1933 Act" shall mean the Securities Act of 1933, as amended, the

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