US SEC definition

US SEC means the Securities and Exchange Commission of the United States of America.
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US SEC means United States Securities and Exchange Commission, established under Securities Exchange Act of 1934, an independent agency of United States federal government, the supreme regulatory body of US securities industry. “Third-party Brokers” refer to independent third-party brokers that provide trade transaction execution and clearing services.
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Examples of US SEC in a sentence

  • Firstrade is regulated by the U.S. SEC, FINRA, each of the U.S. stock exchanges and option exchanges, each U.S. state securities regulator.

  • For the purposes of this policy, a “Covered Associate” is defined as an employee of PineBridge Investments LLC or PineBridge Galaxy LLC (both US SEC registered investment advisers).

  • It is designed to ensure compliance with relevant regulatory requirements applicable to the Baillie Gifford Group and in particular UK FCA and US SEC requirements.

  • AGF also wholly owns AGF Investments LLC, a Boston based US SEC registered adviser that has a series of US listed exchange- traded funds (AGFiQ ETFs).

  • To date, TSMC has successfully passed these customer audits (most of which have imposed requirements that are more stringent than those issued by the U.S. SEC) and shall continue to work with our customers and suppliers in building a conflict-free supply chain for the Covered Minerals over time.

  • It is designed to ensure compliance with relevant regulatory requirements applicable to the Baillie Gifford Group and in particular UK FCA, CBI and US SEC requirements.

  • It is designed to ensure compliance with relevant regulatory requirements applicable to the Baillie Gifford Group and in particular UK FSA and US SEC requirements.

  • Supplier Engagement: The Task Force contacted our Suppliers and Contractors to provide them with notice of the relevant U.S. SEC requirements and advised them of the Company’s commitment to responsibly source materials and its due diligence expectations, and has followed up with Suppliers and Contractors as was reasonable to ensure compliance.

  • The Firm is required to include on Schedule F of US SEC Form ADV, Part II, a description of the Code and to state that the Firm will provide a copy of the Code to any client or prospective client upon request.

  • If and at the time a tender offer is commenced, the Tender Offerors (and/or its affiliates, if applicable) intend to file with the U.S. SEC a Tender Offer Statement on Schedule TO containing an offer to purchase, a form of letter of transmittal and other documents relating to the tender offer, and the Target Company will file with the U.S. SEC a Solicitation/Recommendation Statement on Schedule 14D-9 with respect to the tender offer.


More Definitions of US SEC

US SEC has the meaning ascribed thereto in Section 2.3;
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US SEC means the United States Securities and Exchange Commission ------ or its successor; and "U.S. GAAP" shall mean, at any time, the generally accepted accounting --------- principles in the United States of America at such time.
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US SEC the United States Securities and Exchange Commission.
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Related to US SEC

  • U.S. Securities Act means the United States Securities Act of 1933, as amended.

  • U.S. Securities System means a securities depository or book-entry system authorized by the U.S. Department of the Treasury or a “clearing corporation” as defined in Section 8-102 of the UCC.

  • U.S. Securities means Securities issued by an issuer that is organized under the laws of the United States or any State thereof or that are otherwise traded in the United States, and shall include American Depositary Receipts.

  • U.S. Securities Laws means all applicable securities legislation in the United States, including without limitation, the U.S. Securities Act, the U.S. Exchange Act and the rules and regulations promulgated thereunder, and any applicable state securities laws;

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

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder;

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

  • Rule 462 refer to such rules under the Act.

  • Form S-8 means a registration statement on Form S-8 under the Securities Act, or any successor form thereto.

  • U.S. Security Agreement means the security and pledge agreement, dated as of the Original Closing Date (as amended, restated, supplemented or otherwise modified from time to time), executed in favor of the Administrative Agent and the other “Secured Parties” described therein by each of the Loan Parties party thereto.

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

  • Tax Commission means the Oklahoma Tax Commission;

  • Canadian Securities Commissions means the securities regulatory authorities in each of the Qualifying Jurisdictions;

  • Railways Commission means the Western Australian Government Railways Commission established pursuant to the Government Railways Xxx 0000;

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • UK Listing Authority means the Financial Services Authority in its capacity as competent authority under the Financial Services and Markets Xxx 0000.

  • SEBI Listing Regulations means SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015, as amended

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

  • Federal Energy Regulatory Commission or "FERC" means the

  • the Commission means the Charity Commission for England and Wales;

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

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

  • Insider Trading Regulations means the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015, as amended from time to time.

  • U.S. Secured Parties the “Secured Parties” as defined in the U.S. Guarantee and Collateral Agreement.

  • SEC means the Securities and Exchange Commission.

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