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The SEC definition

The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with LIFE COMPANY, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies LIFE COMPANY that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with IDS Life of New York, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies IDS Life of New York that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable life insurance contracts, separate accounts of insurance companies unaffiliated with LBL, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply. AVIF hereby notifies LBL that it may be appropriate to include in the prospectus pursuant to which a Policy is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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Examples of The SEC in a sentence

  • The SEC has clarified that Section 11(d)(1) does not apply to broker-dealers that are not Authorized Participants (and, therefore, do not create Creation Unit Aggregations) that engage in both proprietary and customer transactions in Shares of a Fund in the secondary market, and for broker-dealer Authorized Participants that engage in creations of Creation Unit Aggregations.

  • The SEC has taken a no-action position under Section 11(d)(1) that will permit broker-dealers that do not create Shares but engage in both proprietary and customer transactions in such Shares exclusively in the secondary market to extend or maintain or arrange for the extension or maintenance of credit on the Shares, in connection with such secondary market transactions.

  • The SEC Reports set forth as of the date hereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC has clarified that Section 11(d)(1) does not apply to broker- dealers that are not Authorized Participants (and, therefore, do not create Creation Unit Aggregations) that engage in both proprietary and customer transactions in Shares of a Fund in the secondary market, and for broker-dealer Authorized Participants that engage in creations of Creation Unit Aggregations.

  • The SEC Reports sets forth as of the date hereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Company under the 1933 Act or the 1934 Act.

  • The SEC Reports set forth as of the dates thereof all outstanding secured and unsecured Indebtedness of the Company or any Subsidiary, or for which the Company or any Subsidiary has commitments.

  • The SEC Documents do not include any untrue statements of material fact, nor do they omit to state any material fact required to be stated therein necessary to make the statements made, in light of the circumstances under which they were made, not misleading.

  • The SEC Filings are the only filings required of the Company pursuant to the 1934 Act for such period.

  • The SEC Documents contain a complete list and summary description of any pending or, to the knowledge of the Company, threatened proceeding against or affecting the Company or any of its Subsidiaries, without regard to whether it would have a Material Adverse Effect.


More Definitions of The SEC

The SEC has granted an order to IVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that IVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with FKLA, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to IVIF. IVIF hereby notifies FKLA that, in the event that IVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC has granted an order to AVIF exempting it from certain provisions of the 1940 Act and rules thereunder so that AVIF may be available for investment by certain other entities, including, without limitation, separate accounts funding variable annuity contracts or variable life insurance contracts, separate accounts of insurance companies unaffiliated with LIFE COMPANY, and trustees of qualified pension and retirement plans (collectively, "Mixed and Shared Funding"). AVIF will provide a complete copy of such order to LIFE COMPANY upon execution of this Agreement. The Parties recognize that the SEC has imposed terms and conditions for such orders that are substantially identical to many of the provisions of this Section 5. Sections 5.2 through 5.8 below shall apply pursuant to such an exemptive order granted to AVIF. AVIF hereby notifies LIFE COMPANY that, in the event that AVIF implements Mixed and Shared Funding, it may be appropriate to include in the prospectus pursuant to which a Contract is offered disclosure regarding the potential risks of Mixed and Shared Funding.
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The SEC means the Thai Securities and Exchange Commission and/or the Thai Securities and Exchange Committee. This includes other state agencies with the same duties, notwithstanding differing departmental titles. Nonetheless, the definitions of terms under the Main Equities Brokerage Agreement shall also be applicable to this Memorandum. If this Memorandum and the Main Equities Brokerage Agreement do not specifically define particular words, such undefined words shall have the same meaning as under the SEC’s notifications, and/ or the Capital Market Supervisory Board, and/ or other related applicable laws with which the parties must comply. The Customer agrees to appoint and empower the Company to act as a broker to perform securities trading for investment in foreign Fractional Depositary Receipts “DRx.” In regards to such activities, the Customer agrees to pay any fees/commission fees to the Company, at the rate, period, and methods as specified by the Company, including responsibility for any taxes and expenses incurred from the Company’s activities in accordance with this Memorandum. Unless otherwise agreed in writing with the Company, the Customer agrees to pay in the currency of Thai Baht. The Customer agrees to act in accordance with applicable terms and conditions when executing an order to trade foreign securities of the Company, as follows:
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The SEC means the US Securities and Exchange Commission;
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Related to The SEC

  • the SSCBA means the Social Security Contributions and Benefits Act 1992;

  • bodies governed by public law means bodies that have all of the following characteristics:

  • Confidential treatment in its entirety, and replace it with the following:

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

  • the Governors means the directors of the Academy Trust (and “Governor” means any one of those directors), subject to the definition of this term at Article 6.9(b) in relation to Articles 6.2-6.9;

  • body governed by public law means any body:

  • the BCTF Plan means the Group RRSP entered into by the Federation and Royal Trust or a successor to that plan;

  • Public Governor means a member of the Council of Governors elected by the members of one of the Public Constituencies;

  • the CSA means the Common Services Agency for the Scottish Health Service constituted under Section 10 of the National Health Service (Scotland) Act 1978;

  • This law or "the law" means the Juvenile and Domestic Relations District Court Law embraced in

  • Trust Indenture Act of 1939 (except as otherwise provided in Sections 8.1 and 8.2) means the Trust Indenture Act of 1939 as in force at the date as of which this Indenture was originally executed.

  • the Constitution means the Constitution of the Republic of South Africa, 1996;

  • Securities Act Legend means a Restricted Securities Legend or a Regulation S Legend.

  • UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY TO THE ISSUER OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY (AND ANY PAYMENT HEREON IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL SINCE THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN. TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS, IN WHOLE BUT NOT IN PART, TO NOMINEES OF THE DEPOSITORY TRUST COMPANY OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR'S NOMINEE AND TRANSFERS OF PORTIONS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE RESTRICTIONS SET FORTH IN ARTICLE TWO OF THE INDENTURE REFERRED TO ON THE REVERSE HEREOF."

  • 1933 Securities Act means the Securities Act of 1933 of the United States, as amended, and the rules and regulations thereunder, and any comparable or successor laws or regulations thereto.

  • the 2003 Act means the Health and Social Care (Community Health and Standards) Act 2003;

  • the Handbook means the Authority’s Handbook of rules and guidance;

  • the FCA means the Financial Conduct Authority;

  • The Union means USW Local 2010 representing the Bargaining Unit as defined in Article 2: “Recognition and Scope”.

  • the LA Governor means the Governor who may be appointed pursuant to Article 51;

  • AML/CFT means anti-money laundering and countering the financing of terrorism;

  • Confidential Treatment Requested The redacted material has been separately filed with the Commission."

  • Securities Act of 1933 means the United States Securities Act of 1933, as from time to time amended.

  • the Parent Governors means the Governors appointed pursuant to Articles 53 to 58 inclusive;

  • the Director means the Director of the IMO International Maritime Law Institute;

  • Deputy Governor means a person nominated by the governor in accordance with Article 180 of the Constitution;

Most Referenced Clauses

Most Referenced Definitions