State securities commission definition

State securities commission. ’ means any commission, board, agency, or officer, by whatever name designated, other than a State commission as defined in paragraph (26) of this subsection, which under the law of a State has jurisdiction to regulate, approve, or control the issue or sale of a security by a company.
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State securities commission means the State Securities Commission of Vietnam;
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State securities commission means the State Security Commission of Vietnam;
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Examples of State securities commission in a sentence

  • The Purchaser acknowledges that the Shares have not been recommended by any US Federal or State securities commission or regulatory authority and have not confirmed the accuracy or determined the adequacy of this Agreement.

  • In the event that the Sub-Adviser reduces its management fee payable under the FCM Sub-Advisory Agreement in order to comply with the expense limitations of a State securities commission or otherwise (but not a voluntary reduction), FCEM agrees to reduce its fee payable under this Agreement by a pro rata amount.

  • In the event that the Adviser reduces its management fee payable under the Advisory Agreement in order to comply with the expense limitations of a State securities commission or otherwise (but not a voluntary reduction), the Sub-Adviser agrees to reduce its fee payable under this Agreement by a pro rata amount.

  • No provision of this title 1 shall be construed as altering, limiting, or affecting the author- ity of a State securities commission (or any agency or office performing like functions) under State law to adopt rules, initiate en- forcement proceedings, or take any other ac- tion with respect to a person regulated by such commission or authority.

  • Selling Firm agrees to keep and make available to the Selling Agent and the Partnership such records with respect to each investor, regarding his or her suitability and the amount of Units sold, and to retain such records for the period prescribed by the SEC, any State securities commission, FINRA or by the Partnership.

  • C.; andNotice of such hearing is hereby given to said party and to any interested State, State commission, State securities commission, municipality, and any other political subdivision of a State, and to any representative of interested consumers or security holders, and any other person whose participation in such proceeding may be in the public interest or for the protection of investors or consumers.

  • You further agree to keep such records with respect to each investor, his suitability and the amount of Interests sold and retain such records for such period of time as may be required by the SEC, any State securities commission, FINRA or by the Partnership.

  • No Federal or State securities commission has approved, disapproved, endorsed, or recommended this offering.

  • A New Informa Shareholder who believes that he or she may be an affiliate of New Informa should consult his or her own legal advisers prior to any sales of New Informa Shares received pursuant to the Scheme.Neither the SEC nor any US State securities commission has reviewed or approved this document or the Scheme or the New Informa Shares.

  • In the event that the Sub-Adviser reduces its management fee payable under the FCM Sub-Advisory Agreement in order to comply with the expense limitations of a State securities commission or otherwise, FCEM agrees to reduce its fee payable under this Agreement by a pro rata amount.

Related to State securities commission

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

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

  • 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).

  • Private Securities Transaction means any securities transaction relating to new offerings of securities which are not registered with the Securities and Exchange Commission, provided however that transactions subject to the notification requirements of Rule 3050 of the Financial Industry Regulatory Authority’s (FINRA) Conduct Rules, transactions among immediate family members (as defined in the interpretation of the FINRA Board of Governors on free-riding and withholding) for which no associated person receives any selling compensation, and personal securities transactions in investment company and variable annuity securities shall be excluded.

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • State Energy Commission means The State Energy Commission of Western Australia as described in section 7 of the State Energy Commission Xxx 0000;

  • securities contract — ‘‘(A) means—

  • Securities Law means the Israeli Securities Law, 5728-1968.

  • Securities lending or "securities borrowing" means a transaction by which a counterparty transfers securities subject to a commitment that the borrower will return equivalent securities on a future date or when requested to do so by the transferor, that transaction being considered as securities lending for the counterparty transferring the securities and being considered as securities borrowing for the counterparty to which they are transferred;

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c.S.5, as amended, and the regulations thereunder, unless otherwise specified, as the same exist on the date hereof.

  • Securities Lending Agreement means an agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.

  • Public Service Commission means the Public Service Commission constituted under this Constitution;

  • City Commission means the legislative body of the City of Miami.

  • Commodity Futures Trading Commission means the independent regulatory agency established by congress to administer the Commodity Exchange Act.

  • Israeli Securities Law means the Israeli Securities Law, 5728-1968, as amended, and the regulations promulgated thereunder.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Private Securities has the meaning set forth in Annex A hereto.

  • Diocesan Schools Commission means the education service provided by the diocese, which may also be known, or referred to, as the Diocesan Education Service.

  • 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;

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act or any successor thereto.

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

  • State Commission means any state regulatory agency having jurisdiction over retail electricity sales in any State in the PJM Region.

  • Central Commission means the Central Electricity Regulatory Commission referred to in sub-section (1) of section 76 of the Act;

  • Portfolio Securities or "investments" of the Series shall mean, respectively, such assets, net assets, securities, portfolio securities or investments which are from time to time under the management of the Subadviser pursuant to this Agreement.