SEC Rule definition

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.
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SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time.
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SEC Rule means the Securities and Exchange Commission Rule 15c2-12 under the Securities Exchange Act of 1934, as amended (17 C.F.R. part 240, § 240 15c2-12).
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Examples of SEC Rule in a sentence

  • The County acknowledges and agrees that any reference to PFM, its personnel and its role as ▇▇▇▇, including in the written representation of the County required under SEC Rule 15Ba1- 1(d)(3)(vi)(B) shall be subject to prior approval by PFM.

  • If the County has designated PFM as its independent registered municipal advisor (“▇▇▇▇”) for purposes of SEC Rule 15Ba1- 1(d)(3)(vi) (the “▇▇▇▇ exemption”), then services provided pursuant to such designation shall be the services described in Exhibit A hereto, subject to any limitations provided herein.

  • The parties agree that if City has designated Contractor as its independent registered municipal advisor (“▇▇▇▇”) for purposes of SEC Rule 15Ba1-1(d)(3)(vi) (the “▇▇▇▇ exemption”), the services provided pursuant to such designation shall be the services described in Exhibit A hereto, subject to any limitations provided therein.

  • The Issuer is aware of Section 975 of the ▇▇▇▇-▇▇▇▇▇ ▇▇▇▇ Street Reform and Consumer Protection Act and the Securities and Exchange Commission’s adopted rule commonly known as the “Municipal Advisor Rule” (SEC Rule 15Ba1-1 to 15Ba1-8 -“the Rule”) and the underwriter exclusion from the definition of “municipal advisor” for a firm serving as an underwriter for a particular issuance of municipal securities.

  • As used in such verifications, “affiliate means an entity that controls, is controlled by, or is under common control with the Issuing and Paying Agent within the meaning of SEC Rule 405, 17 C.F.R. § 230.405, and exists to make a profit.


More Definitions of SEC Rule

SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as may be amended from time to time or such other similar rule regarding disclosure of information in securities transactions.
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SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as such rule may be amended from time to time or such other similar rule regarding disclosure of information in securities transactions.
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SEC Rule means Rule 15c2-12 promulgated by Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended.
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SEC Rule means Rule 15c2-12 adopted by the SEC under the Securities Exchange Act of 1934, as the same may be amended from time to time.
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SEC Rule means SEC Rule 15c2-12.
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SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities
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SEC Rule. 144(b)(1)” means Rule 144(b)(1) promulgated by the SEC under the Securities Act, or any successor provisions.
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