Securities Filing definition

Securities Filing has the meaning set forth in Section 2.4(b).
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Securities Filing means any filing under Section 13(d) or Section 16(a) of the Securities Exchange Act of 1934, as amended.
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Securities Filing has the meaning given that term in Section 9.4.(b).
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Examples of Securities Filing in a sentence

  • PBIC seeks authorization to dispense with certain Securities Filing requirements.

  • From and after the filing of the Securities Filing with the SEC, no Buyer shall be in possession of any material, nonpublic information received from the Company, any of its Subsidiaries or any of their respective officers, directors, employees or agents, that is not disclosed in the Securities Filing.

  • In addition, effective upon the issuance of the Securities Filing, the Company acknowledges and agrees that any and all confidentiality or similar obligations under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors or employees and the Placement Agents, on the one hand, and any of the Buyers, on the other hand, shall terminate.

  • The fee is based on the value of all securities sold or intended to be sold in the entire transaction as follows (see Item 6 for valuing securities):V alue of Securities Filing Fee$25,000 or less$25$25,001 - $100,000$35$100,001 - $500,000$50$500,001 - $1,000,000$150Over $1,000,000$300 Filing Fee: Each notice, whether under 25102(f) or Rule 260.103, must be accompanied by the filing fee required by Section 25608(c) of the Code as described above.

  • Revise the third sentence of§ 563d.2 to read as follows: § 563d.2 Mailing requirements for securities filings.* * * The originally-signed copy and all remaining copies of each filing shall be sent to the Business Transactions Division by submitting such filings to the Securities Filing Desk at the address specified in § 563d.1 of this part.

  • The Company shall not, and shall cause each of its Subsidiaries and its and each of their respective officers, directors, employees and agents, not to, provide any Buyer with any material, nonpublic information regarding the Company or any of its Subsidiaries from and after the filing of the Securities Filing with the SEC without the express written consent of such Buyer.

  • A Word about Filing Exempt Securities Filing Exempt (FE) status is based on a ruling adopted by the NAIC which grants an exemption from filing with the SVO for bonds and preferred stock that have been assigned a current, monitored rating by a nationally recognized statistical rating organization.

  • Latici, Attorney▪ Christopher Lent, Former Securities Staff Attorney (by telephone)▪ Mary Jurta, Director, Banking Department Consumer Credit Division, Formerly Director of Securities Filing at the Securities Bureau▪ Peter Hildreth, Banking Commissioner, Former Securities Director▪ Lorry D.

  • Table 6.1: Filing Fee for Registration Statement Maximum aggregate Price of Securities Filing FeeUp to PHP500 million0.1%Up to PHP750 millionPHP500,000 + 0.075% of excess over PHP500 millionUp to PHP1 billionPHP687,000 + 0.05% of excess over PHP750 millionMore than PHP1 billionPHP812,500 + 0.025% of excess over PHP1 billionSource: Securities and Exchange Commission’s Schedule of Fees and Charges 2013.

  • In accordance with the World Bank’s requirements for consultant employment, Thai Nguyen PMU will hire an IMA to carry out the independent monitoring and evaluation of RAP implementation.


More Definitions of Securities Filing

Securities Filing has the meaning set forth in Section 6.2.
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Securities Filing means the Form S–4 or the Information Statement, as the case may be.
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Securities Filing means any filing under Section 13(d) or Section 16(a) of the Securities Exchange Act of 1934, as
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Related to Securities Filing

  • Exchange Act Filing shall have the meaning set forth in Section 5.1.11(f) hereof.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Form 10 means the registration statement on Form 10 filed by SpinCo with the Commission to effect the registration of SpinCo Common Stock pursuant to the Exchange Act in connection with the Distribution, as such registration statement may be amended or supplemented from time to time.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • SEC means the Securities and Exchange Commission.

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

  • Information Statement has the meaning set forth in Section 6.6.

  • SEDAR means the System for Electronic Document Analysis and Retrieval;

  • Company Filings means all documents of the Company publicly filed under the profile of the Company on the System for Electronic Document Analysis Retrieval (SEDAR).

  • Rule 462(b) Registration Statement means a registration statement and any amendments thereto filed pursuant to Rule 462(b) relating to the offering covered by the registration statement referred to in Section 1(a) hereof.

  • Disclosure Time means, (i) if this Agreement is signed on a day that is not a Trading Day or after 9:00 a.m. (New York City time) and before midnight (New York City time) on any Trading Day, 9:01 a.m. (New York City time) on the Trading Day immediately following the date hereof, unless otherwise instructed as to an earlier time by the Placement Agent, and (ii) if this Agreement is signed between midnight (New York City time) and 9:00 a.m. (New York City time) on any Trading Day, no later than 9:01 a.m. (New York City time) on the date hereof, unless otherwise instructed as to an earlier time by the Placement Agent.

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

  • Filings the filing or recording of (i) the Financing Statements as set forth in Schedule 3, (ii) this Agreement or a notice thereof with respect to Intellectual Property as set forth in Schedule 3, and (iii) any filings after the Closing Date in any other jurisdiction as may be necessary under any Requirement of Law.

  • SEC Documents shall have the meaning specified in Section 4.5.