Securities commissioner definition

Securities commissioner means the securities administrator in the department of licensing and regulatory affairs.
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Securities commissioner means the Attorney General of the State of South Carolina as provided in Title 35.
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Securities commissioner means the commissioner of securities appointed pursuant to section 11-51-701.
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Examples of Securities commissioner in a sentence

  • If the exercise of any such right requires the consent of the California Securities Commissioner or the consent of the Securities Commissioner, or the equivalent, of another state, the parties agree to cooperate in requesting such consent.

  • On September 22, 2006, Alliance and Alliance Holding filed an answer and motion to dismiss the Summary Order with the Securities Commissioner.

  • On February 10, 2004, the Adviser received (i) a subpoena duces tecum from the Office of the Attorney General of the State of West Virginia and (ii) a request for information from West Virginias Office of the State Auditor, Securities Commission (the West Virginia Securities Commissioner) (together, the Information Requests).

  • On February 10, 2004, the Adviser received (i) a subpoena duces tecum from the Office of the Attorney General of the State of West Virginia and (ii) a request for information from West Virginia's Office of the State Auditor, Securities Commission (the "West Virginia Securities Commissioner") (together, the "Information Requests").

  • LATHAM, Securities Commissioner of the State of Texas, and his successor in office, incorporating the provisions of this resolution therein.

  • The Securities Commission of the State of Wisconsin has not passed upon the merits or qualifications of, or recommended or given approval to, the securities hereby offered, nor has the Securities Commissioner of this state passed upon the adequacy of this Memorandum.

  • On September 22, 2006, the Adviser and Alliance Holding filed an answer and moved to dismiss the Summary Order with the West Virginia Securities Commissioner.

  • If I am a Kansas resident, I understand that it is recommended by the Office of the Securities Commissioner that I limit my total investment in Xxxxxx Xxxxxxxxx Private Capital Income Fund’s securities and other non-traded business development companies to not more than 10% of my liquid net worth.

  • It is recommended by the Office of the Kansas Securities Commissioner that Kansas investors not invest, in the aggregate, more than 10% of their liquid net worth in our and similar direct participation investments.

  • On August 30, 2005, the deputy commissioner of securities of the West Virginia Securities Commissioner signed a Summary Order to Cease and Desist, and Notice of Right to Hearing addressed to the Adviser and Alliance Holding.


More Definitions of Securities commissioner

Securities commissioner means the commissioner of securities created by section 11-51-701.
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Securities commissioner means the commissioner.
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Securities commissioner means the Attorney General.
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Securities commissioner means Attorney General, who shall be ex officio securities commissioner.
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Securities commissioner means the Secretary of State.
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Securities commissioner shall have the meaning as set forth in Section 7.2(a) of the Agreement.
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Related to Securities commissioner

  • Securities Commission means the applicable securities commission or regulatory authority in each of the Qualifying Jurisdictions;

  • Securities Commissions means collectively, the applicable securities commission or securities regulatory authority in each of the Qualifying Jurisdictions;

  • Deputy Commissioner means the Deputy Commissioner of the district;

  • Canadian Securities Commissions means the securities regulatory authorities in each of the Qualifying Jurisdictions;

  • Hague Securities Convention means the Hague Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary (concluded July 5, 2006).

  • Information Commissioner means the UK Information Commissioner and any successor;

  • securities regulatory authority or “SRA” means a body created by statute in any Canadian or foreign jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity;

  • Integrity Commissioner means the Integrity Commissioner appointed by Council pursuant to Section 223.3 of the Municipal Act, 2001;

  • Labour Commissioner means the individual appointed as Labour Commissioner in terms of in section 120;

  • Board of Commissioners means a county board of commissioners.

  • Tax Commissioner means the tax commissioner appointed under section 121.03 of the Revised Code.

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • the Commissioner means the Commissioner for Consumer Protection exercising powers under the Act;

  • Board of County Commissioners means the Board of County Commissioners, Orange County, Florida, or their duly authorized representative(s).

  • NYSE American means the NYSE American LLC.

  • Securities Regulatory Authorities means the securities commission or similar regulatory authority in each province and territory of Canada that is responsible for administering the Canadian securities legislation in force in such jurisdictions;

  • Insurance Commissioner means the Insurance Commissioner

  • the Commissioners means the Commissioners for Her Majesty’s Revenue and Customs;

  • Commissioner means the commissioner of insurance.

  • Commissioners means the board of county commissioners.