Securities violation definition

Securities violation means a violation of this chapter and any related administrative rules.
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Securities violation means a violation of this chapter and any
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Securities violation means a violation of Title 30, chapter 10, and any related administrative rules.
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Examples of Securities violation in a sentence

  • All material violations of this Code and any sanctions imposed with respect thereto shall be reported periodically to the board of directors of the Fund, with respect to whose Securities violation occurred.

  • Securities violation" means a violation of this chapter and any rules adopted pursuant to this chapter.[PL 2021, c.

  • Securities violation ❖ An infringement of the Singapore Exchange (SGX)/Securities Exchange Board of India (SEBI) listing rules.


More Definitions of Securities violation

Securities violation means a violation of any provision of this chapter, or any rule or order issued by the commissioner under this chapter.
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Securities violation means a violation of this chapter and any related rules or orders.
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Securities violation means a violation of this chapter and any related rules or orders. (e) "Victim" means a person awarded restitution in a final order.
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Securities violation means any allegation that: (1) is brought by one or more securities holders of an Entity, in their capacity as such, including any Derivative Actions; or (2) is brought by any person or entity, based upon or arising from the purchase (3) is brought by any federal, state, local, or foreign governmental agency (including without limitation the Securities & Exchange Commission) as a formal proceeding (other than an investigation) to enforce securities laws with respect to securities issued by an Entity.
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Related to Securities violation

  • integrity violation means any act which violates the anticorruption policy including corrupt, fraudulent, coercive, or collusive practice, abuse, and obstructive practice;

  • Serious violation means OCC has made a valid finding when assessing a serious complaint that alleges:

  • Business association means a nonpublic corporation, joint stock company, investment company, business trust, partnership, or association for business purposes of 2 or more individuals, whether or not for profit, including a banking organization, financial organization, insurance company, or utility.