Securities Activity definition

Securities Activity means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities Laws or the securities Laws of any state of the United States or (ii) outside of the United States within any other jurisdiction in which the restrictions set forth in Section 5.13(a) apply, would be subject to any Law in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Securities Activity means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities Laws or the securities Laws of any state of the United States or (ii) outside of the United States within any other jurisdiction in which the restrictions set forth in Subsections 6.6(b) and 6.6(c) above apply, would be subject to any Law in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Securities Activity means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities laws or the securities laws of any state of the United States or (ii) outside of the United States within any other jurisdiction in which the restrictions set forth in Section 5.14 apply, would be subject to any law in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Examples of Securities Activity in a sentence

  • See also IOSCO Public Document No. 83, Securities Activity on the Internet, IOSCO Technical Committee, September 1998 (in particular, Key Recommendation 5 and text) and IOSCO Public Document No. 120, Securities Activity on the Internet II, IOSCO Technical Committee, June 2001.

  • See also IOSCO Public Document No. 83, Securities Activity on the Internet, IOSCO Technical Committee, September 1998 and IOSCO Public Document No. 120, Securities Activity on the Internet II, IOSCO Technical Committee, June 2001.

  • IOSCO Public Document No. 83, Securities Activity on the Internet, IOSCO Technical Committee, September 1998 (in particular, Key Recommendations 14 – 16 and text) and IOSCO Public Document No. 120, Securities Activity on the Internet II, IOSCO Technical Committee, June 2001.

  • Securities Activity: has the meaning specified at Article 2 of the Securities Business Regulations.

  • Rebuild columns, brick piers, and railing on front porch to match existing.

  • IOSCO Public Document No. 83, Securities Activity on the Internet, IOSCO Technical Committee, September 1998 (in particular, Key Recommendations 17 - 20 and text) and IOSCO Public Document No. 120, Securities Activity on the Internet II, IOSCO Technical Committee, June 2001.

  • See also IOSCO Public Document No. 83, Report on securities activity on the Internet, Technical Committee (September 1998); and IOSCO Public Document No. 120, Report on Securities Activity on the Internet II, Technical Committee (June 2001).

  • Reference is made to a report of the Technical Committee of the International Organization of Securities Commissions (IOSCO) dated September 1998 entitled "Securities Activity on the Internet", which is available on the website of IOSCO at www.iosco.org.

  • Securities Activity Wrongful Act, or any other actual or alleged act, error, omission, misstatement, misleading statement or breach of duty by the Company; provided, that this DEFINITION (F)(5) will only apply if it is stated in the Declarations that coverage has been made available under INSURING AGREEMENT (C).

  • Agency: IOSCOObjective: To review new developments in securities activity on the internet, in order to identify those Internet securities activities and cross-border issues of such activities which warrant further guidance.Status: Completed June 2001Building on the foundations laid by its 1998 report, the IOSCO Technical Committee released a report on Securities Activity on the Internet, which addresses current use of the Internet by investors, the securities industry, and regulators.


More Definitions of Securities Activity

Securities Activity shall have the meaning ascribed to such term in Subsection 6.6(i)(10).
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Securities Activity means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities laws or the securities laws of any state of the United States or (ii) outside of the United States within any other jurisdiction, would be subject to any law or regulation in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Securities Activity means management and operation of fundraising through issuance of securities to the public, listing of securities, securities trading, clearing and settlement of securities transaction, securities depository and custodian, securities business operation, securities investment and other services relating to securities as defined by this Law;
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Securities Activity means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (a) in the United States would be subject to the United States federal securities laws or the securities laws of any state of the United States or (b) outside of the United States within any other jurisdiction in which the restrictions set forth in Section 5.14(a)(i) or Section 5.14(a)(ii), as applicable, apply, would be subject to any law or regulation in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Securities Activity means an activity comprising securities business set out in Part 2 of the First Schedule;
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Related to Securities Activity

  • Securities Act means the Securities Act of 1933, as amended.

  • Racketeering activity means to commit, to attempt to commit, to conspire to commit, or to solicit, coerce, or intimidate another person to commit:

  • Business Relation means any current or prospective client, customer, licensee, supplier, or other business relation of the Company Group, or any such relation that was a client, customer, licensee or other business relation within the prior six (6) month period, in each case, with whom Executive transacted business or whose identity became known to Executive in connection with Executive’s employment hereunder.