Traded Security definition

Traded Security shall have the meaning set forth in Section 8.1(e).
Sample 1Sample 2Sample 3
Traded Security means a Security meeting all of the following criteria: (a) such Security (i) is listed on the New York Stock Exchange, American Stock Exchange or some other principal national securities exchange in the United States of America or (ii) has price quotations in the over-the- counter market reported by the National Association of Securities Dealers Automated Quotation System; (b) such Security is not subject to any instrument, document or agreement which in any way prohibits the sale of such Security for any specified period of time or otherwise (other than (x) prohibitions imposed to comply with applicable securities laws or (y) any agreement between the Borrower or a Guarantor and an underwriter entered into in connection with an offering by such underwriter of Securities of the issuer of such Security, in which agreement the Borrower agrees not to sell such Security for a period ending no later than 180 days after such offering); and (c) the offer and sale of such Security by the Borrower would not be subject to any registration requirements or other restrictions under the Securities Act or other Applicable Law other than (i) volume limitations imposed under Rule 144(e) of the Securities Act, (ii) restrictions on the manner of resale imposed under Rule 144(f) and (g) of the Securities Act, (iii) restrictions under Regulation 144A or S of the Securities and Exchange Commission and (iv) other restrictions related to the timing of offers and sales consented to by the Majority Lenders in writing.
Sample 1Sample 2Sample 3
Traded Security means a Security meeting all of the following criteria: (a) such Security (i) is listed on the New York Stock Exchange, American Stock Exchange or some other principal national securities exchange in the United States of America; (ii) has price quotations in the over-the-counter market reported by the National Association of Securities Dealers Automated Quotation System or (iii) is listed on the principal national securities exchange in Luxembourg, the Netherlands, the United Kingdom of Great Britain or other European country acceptable to the Co-Lead Arrangers; (b) such Security is not subject to any instrument, document or agreement which in any way prohibits the sale of such Security for any specified period of time or otherwise (other than (i) any agreement in existence on the date hereof among the equity holders of the Issuer of such Security, or any provision in existence on the date hereof in the Organizational Documents of such Issuer, which agreement or provision restricts the resale of such Issuer's Securities, as the same may be amended or otherwise modified with the prior written consent of Majority Lenders, and (ii) any agreement between Borrower or a Guarantor and an underwriter entered into in connection with an offering by such underwriter of Securities of the Issuer of such Security, in which agreement Borrower agrees not to sell such Security for a period ending no later than 180 days after such offering); and (c) the offer and sale of such Security by Borrower would not be subject to any registration requirements or other restrictions under the Securities Act or other Applicable Law other than (i) volume limitations imposed under Rule 144(e) of the Securities Act, (ii) restrictions on the manner of resale imposed under Rule 144(f) and (g) of the Securities Act, (iii) restrictions under Regulation 144A or S of the Securities and Exchange Commission and (iv) other restrictions related to the timing of offers and sales consented to by the Majority Lenders in writing.
Sample 1Sample 2

Examples of Traded Security in a sentence

  • You agree that you are also solely responsible for any costs and tax consequences associated with the removal of the Non-Publicly Traded Security from your account(s).

  • You acknowledge that any documentation regarding a Non-Publicly Traded Security submitted to us will be used solely for our internal purposes.

  • You also acknowledge that when you direct us to wire or transfer funds to an issuer or sponsor of a Non-Publicly Traded Security, we will not have any responsibility or liability if the issuer or sponsor involved does not provide the required receipt or confirmation of the investment in a manner that would allow us to hold the security in your account(s).

  • If the Non-Publicly Traded Security is not certificated, you agree that we may remove the security from the account(s) by notifying the issuer to re-register the position in your name, or in the case of a retirement plan brokerage custodial account, in the name of the trustee or other applicable plan fiduciary for benefit of the plan and remove us as custodian.

  • You agree that such determination will involve your review of offering memoranda, organizational documents, valuation and financial statements, and an investigation into the background and qualifications of the issuers and selling agents of each Non-Publicly Traded Security.

  • By requesting us to hold a Non-Publicly Traded Security, you represent that you have determined that such Non-Publicly Traded Security has been properly registered under federal and state law as a security or is exempt from such registration.

  • Any review performed by us is solely for our benefit in determining our ability to hold and service the Non-Publicly Traded Security.

  • Before requesting that we hold a Non-Publicly Traded Security in your account(s), you agree that you have determined that the investment is appropriate for you.

  • You agree that we have no responsibility or duty to investigate, evaluate, or report to you any information that we may possess or may become aware of regarding any Non-Publicly Traded Security.

  • You agree to pay such charges as we may assess for continuing to custody and to indemnify and hold us harmless for your failure to remove or transfer a Non-Publicly Traded Security after we have notified you that we are no longer willing to hold the security in the account(s).


More Definitions of Traded Security

Traded Security means a Security meeting all of the following criteria: (a) such Security (i) is listed on the New York Stock Exchange, American Stock Exchange or some other principal national securities exchange in the United States of America; (ii) has price quotations in the over-the-counter market reported by the National Association of Securities Dealers Automated Quotation System or (iii) is listed on the principal national securities exchange in Luxembourg, the Netherlands, the United Kingdom of Great Britain or other European country acceptable to Agent; (b) such Security is not subject to any instrument, document or agreement which in any way prohibits the sale of such Security for any specified period of time or otherwise (other than any agreement between Borrower or a Guarantor and an underwriter entered into in connection with an offering by such underwriter of Securities of the Issuer of such Security, in which agreement Borrower agrees not to sell such Security for a period ending no later than 180 days after such offering); and (c) the offer and sale of such Security by Borrower would not be subject to any registration requirements or other restrictions under the Securities Act or other Applicable Law other than (i) volume limitations imposed under Rule 144(e) of the Securities Act, (ii) restrictions on the manner of resale imposed under Rule 144(f) and (g) of the Securities Act, (iii) restrictions under Regulation 144A or S of the Securities and Exchange Commission and (iv) other restrictions related to the timing of offers and sales consented to by the Majority Lenders in writing.
Sample 1
Traded Security means any Subject Security on the date of determination pursuant to and as defined in the Repurchase Agreement.
Sample 1
Traded Security means a Qualifying Security which Agent determines in its sole discretion meets all of the following conditions at the time of determination thereof:
Sample 1

Related to Traded Security

  • exchange-traded security means a security that is listed on a recognized exchange or is quoted on a recognized quotation and trade reporting system or is listed on an exchange or quoted on a quotation and trade reporting system that is recognized for the purposes of National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules;

  • Traded Securities means any debt or equity securities issued pursuant to a public offering or Rule 144A offering.

  • Publicly Traded Securities means shares of common stock that are listed or quoted on any of The New York Stock Exchange, The NASDAQ Global Select Market or The NASDAQ Global Market (or any of their respective successors) or will be so listed or quoted when issued or exchanged in connection with a Fundamental Change described in clause (b) of the definition thereof.

  • Exchange Traded Fund means a mutual fund scheme that invests in securities in the same proportion as an index of securities and the units of exchange traded fund are mandatorily listed and traded on exchange platform.

  • Exchange-Traded Product or “ETP” means a security traded on an exchange that tracks an underlying security, index or financial instrument. The term “ETP” includes, among other things, exchange-traded funds (“ETFs”), exchange-traded notes (“ETNs”) and exchange-traded commodities (“ETCs”).

  • Exempt Security means any security that is expressly exempted from the preclearance or reporting requirements of the Code, where applicable.

  • Indexed Security means a Security the terms of which provide that the principal amount thereof payable at Stated Maturity may be more or less than the principal face amount thereof at original issuance.

  • Exchange-traded fund (ETF means an investment company registered under the Investment Company Act as a unit investment trust (“UIT ETF”) or as an open-end investment company (“open-end ETF”) that is comprised of a basket of securities to replicate a securities index or subset of securities underlying an index. ETFs are traded on securities exchanges and in the over-the-counter markets intra-day at negotiated prices.

  • Publicly traded partnership means any partnership, an interest in which is regularly traded on an established securities market. A “publicly traded partnership” may have any number of partners.

  • Bid Security means the bid security provided by the Contractor to the Authority in accordance with the Request for Proposal, and which is to remain in force until substituted by the Performance Security;

  • Loaned Security means any “security” which is delivered as a Loan under a Securities Loan Agreement; provided that, if any new or different security shall be exchanged for any Loaned Security by recapitalization, merger, consolidation, or other corporate action, such new or different security shall, effective upon such exchange, be deemed to become a Loaned Security in substitution for the former Loaned Security for which such exchange was made.

  • Listed Security means any security of the Company that is listed or approved for listing on a national securities exchange or designated or approved for designation as a national market system security on an interdealer quotation system by the National Association of Securities Dealers, Inc.

  • publicly traded company means any company whose principal class of shares is listed on a recognised stock exchange provided its listed shares can be readily purchased or sold by the public. Shares can be purchased or sold “by the public” if the purchase or sale of shares is not implicitly or explicitly restricted to a limited group of investors;

  • LCR Security means any commercial paper or security (other than equity securities issued to Parent or any Originator that is a consolidated subsidiary of Parent under GAAP) within the meaning of Paragraph .32(e)(viii) of the final rules titled Liquidity Coverage Ratio: Liquidity Risk Measurement Standards, 79 Fed. Reg. 197, 61440 et seq. (October 10, 2014).

  • Quasi-Security means an arrangement or transaction described in paragraph (b) below.

  • Covered Security means a security as defined in Section 2(a)(36) of the Act, which includes: any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, pre-organization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security (including a certificate of deposit) or on any group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a “security,” or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.

  • Publicly traded corporation means any Person other than an individual that is organized under the laws of and for which its principal place of business is located in one of the states or territories of the United States or District of Columbia or another country that authorizes the sale of marijuana that:

  • Reportable Security means a security as defined under section 202(a)(18) of the Advisers Act held for the direct or indirect benefit of an Access Person, including any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, any put, call, straddle, option, or privilege on any security (including a certificate of deposit) or on any group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a “security”, or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guaranty of, or warrant or right to subscribe to or purchase any of the foregoing. Also included in this definition are open-end mutual funds (except as noted below) and exchange traded funds. Excluded from this definition are:

  • Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool of mortgages, receivables or other financial assets, fixed or revolving, that by their terms convert into cash within a finite period and any rights or other assets designed to assure the servicing or the timely distribution of proceeds to securityholders;

  • Permitted Security means any Security:

  • Similar Security means a reference bond or reference bonds issued by the same issuer as the Reference Security having an actual or interpolated maturity comparable with the remaining term of the Notes that would be utilised, at the time of selection and in accordance with customary financial practice, in pricing new issues of corporate debt securities of comparable maturity to the remaining term of the Notes.

  • National security means the national defense and foreign relations of the United States.

  • or "Security means any debt securities or debt security, as the case may be, authenticated and delivered under this Indenture.

  • Treasury Security means the United States Treasury security that the Treasury Dealer determines would be appropriate to use, at the time of determination and in accordance with standard market practice, in pricing the Notes being redeemed in a tender offer based on a spread to United States Treasury yields.

  • Restricted Security has the meaning assigned to such term in Rule 144(a)(3) under the Securities Act; provided, however, that the Trustee shall be entitled to receive, at its request, and conclusively rely on an Opinion of Counsel with respect to whether any Note constitutes a Restricted Security.

  • Unrestricted Certificated Security means a Certificated Security that is not a Restricted Security.