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Google Keyword Rankings for : securities affiliate definition
1
Securities affiliate Definition | Law Insider
https://www.lawinsider.com/dictionary/securities-affiliate
Securities affiliate means a broker or dealer that is an affiliate of the bank and is registered with the Securities and Exchange Commission. Sample 1. Based on ...
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https://www.lawinsider.com/dictionary/securities-affiliate
Securities affiliate means a broker or dealer that is an affiliate of the bank and is registered with the Securities and Exchange Commission. Sample 1. Based on ...
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2
Affiliate: Definition in Corporate, Securities, and Markets
https://www.investopedia.com/terms/a/affiliate.asp
Affiliate is used primarily to describe a business relationship wherein one company owns less than a majority stake in the other company's stock. Affiliations ...
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https://www.investopedia.com/terms/a/affiliate.asp
Affiliate is used primarily to describe a business relationship wherein one company owns less than a majority stake in the other company's stock. Affiliations ...
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3
Affiliates | Rule 144 Solutions
https://www.rule144solution.com/affiliates/
Rule 144 at (a)(1) defines an “affiliate” of an issuing company as a person that directly, or indirectly through one or more intermediaries, controls, or is ...
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https://www.rule144solution.com/affiliates/
Rule 144 at (a)(1) defines an “affiliate” of an issuing company as a person that directly, or indirectly through one or more intermediaries, controls, or is ...
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4
SEC Comment about "Affiliate" Stockholder in Public Float ...
https://www.bassberrysecuritieslawexchange.com/sec-comment-affiliate-stockholder-public-float-calculation/
The term “affiliate” is defined in Rule 405 under the Securities Act of 1933, as amended (the “Securities Act”), as a “person that directly, ...
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https://www.bassberrysecuritieslawexchange.com/sec-comment-affiliate-stockholder-public-float-calculation/
The term “affiliate” is defined in Rule 405 under the Securities Act of 1933, as amended (the “Securities Act”), as a “person that directly, ...
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5
Affiliate Meaning & Definition - Securities CE
https://securitiesce.com/definitions/5283-affiliate/
Depending on what exam you are taking, an affiliate can take on many forms. An affiliate among other things, is an individual who owns 10% or more of a ...
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https://securitiesce.com/definitions/5283-affiliate/
Depending on what exam you are taking, an affiliate can take on many forms. An affiliate among other things, is an individual who owns 10% or more of a ...
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6
Affiliate | Practical Law - Westlaw
https://content.next.westlaw.com/practical-law/document/I03f4d935eee311e28578f7ccc38dcbee/Affiliate?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This term has several meanings. In the context of: ... Finance, typically defined in the loan agreement to mean any other entity (other than a ...
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https://content.next.westlaw.com/practical-law/document/I03f4d935eee311e28578f7ccc38dcbee/Affiliate?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This term has several meanings. In the context of: ... Finance, typically defined in the loan agreement to mean any other entity (other than a ...
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7
Affiliate - Finance Definition - SEC Report
https://sec.report/glossary/Affiliate
2.1“Affiliate” means an entity that, directly or indirectly, controls, is controlled by, or is under common control with the Company, within the meaning of Rule ...
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https://sec.report/glossary/Affiliate
2.1“Affiliate” means an entity that, directly or indirectly, controls, is controlled by, or is under common control with the Company, within the meaning of Rule ...
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8
17 CFR § 162.2 - Definitions. - Law.Cornell.Edu
https://www.law.cornell.edu/cfr/text/17/162.2
(a) Affiliate. The term “affiliate” for the purposes of this part means any person that is related by common ownership or common corporate control with a ...
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https://www.law.cornell.edu/cfr/text/17/162.2
(a) Affiliate. The term “affiliate” for the purposes of this part means any person that is related by common ownership or common corporate control with a ...
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9
Affiliate - Practical Law Canada - Thomson Reuters
https://ca.practicallaw.thomsonreuters.com/4-561-8146?transitionType=Default&contextData=(sc.Default)
Corporate, securities and capital markets: The definitions of affiliate, holding body corporate · subsidiary ; A holding body corporate is a holding corporation ...
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https://ca.practicallaw.thomsonreuters.com/4-561-8146?transitionType=Default&contextData=(sc.Default)
Corporate, securities and capital markets: The definitions of affiliate, holding body corporate · subsidiary ; A holding body corporate is a holding corporation ...
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10
Federal Register/Vol. 86, No. 122/Tuesday, June 29, 2021 ...
https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13785.pdf
FINRA Rule 5250 and the definition of ''affiliate'' and the related definitions within ... 6 See 2013 Rule Change (citing to Securities.
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https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13785.pdf
FINRA Rule 5250 and the definition of ''affiliate'' and the related definitions within ... 6 See 2013 Rule Change (citing to Securities.
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11
Appendix Comprehensive Review of Regulation W Overview ...
https://www.federalreserve.gov/boarddocs/srletters/2003/sr0302a1.pdf
Securities issued by an affiliate and low-quality assets are not acceptable ... The definition of an affiliate for purposes of Regulation W is set forth in ...
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https://www.federalreserve.gov/boarddocs/srletters/2003/sr0302a1.pdf
Securities issued by an affiliate and low-quality assets are not acceptable ... The definition of an affiliate for purposes of Regulation W is set forth in ...
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12
Definition of Affiliated Person: Everything You Need to Know
https://www.upcounsel.com/definition-of-affiliated-person
Affiliated Person According to the Securities and Exchange Commission · Anyone who owns at least 10 percent of stock in a company · Anyone who promotes the ...
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https://www.upcounsel.com/definition-of-affiliated-person
Affiliated Person According to the Securities and Exchange Commission · Anyone who owns at least 10 percent of stock in a company · Anyone who promotes the ...
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13
Large Trader Reporting Rules - Sullivan & Cromwell LLP
https://www.sullcrom.com/siteFiles/Publications/SC_Publication_Large_Trader_Reporting_Rules.pdf
“Investment discretion” is defined by reference to the definition used for ... “Securities Affiliate” is defined as any person that, ...
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https://www.sullcrom.com/siteFiles/Publications/SC_Publication_Large_Trader_Reporting_Rules.pdf
“Investment discretion” is defined by reference to the definition used for ... “Securities Affiliate” is defined as any person that, ...
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14
Delaware Court Addresses Meaning of "Affiliate" - Dodd-Frank
https://www.dodd-frank.com/2019/10/delaware-court-addresses-meaning-of-affiliate/
Delaware Court Addresses Meaning of “Affiliate” · An officer or employee of an entity is affiliated with that entity. · An officer meets the ...
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https://www.dodd-frank.com/2019/10/delaware-court-addresses-meaning-of-affiliate/
Delaware Court Addresses Meaning of “Affiliate” · An officer or employee of an entity is affiliated with that entity. · An officer meets the ...
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15
12 CFR Part 223 -- Transactions Between Member Banks and ...
https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-223
(i) Purchase of the debt securities of an affiliate. The parent holding company of a member bank owns 100 percent of the shares of a mortgage company. The ...
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https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-223
(i) Purchase of the debt securities of an affiliate. The parent holding company of a member bank owns 100 percent of the shares of a mortgage company. The ...
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16
§ 13.1-725. Definitions - Virginia Law
https://law.lis.virginia.gov/vacode/title13.1/chapter9/section13.1-725/
An "affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with the ...
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https://law.lis.virginia.gov/vacode/title13.1/chapter9/section13.1-725/
An "affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with the ...
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17
FRB Regulations - FDIC Law, Regulations, Related Acts
https://www.fdic.gov/regulations/laws/rules/7500-1850.html
(3) Ownership or control of securities by subsidiary. A company controls securities, assets, or other ownership interests owned or controlled, directly or ...
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https://www.fdic.gov/regulations/laws/rules/7500-1850.html
(3) Ownership or control of securities by subsidiary. A company controls securities, assets, or other ownership interests owned or controlled, directly or ...
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18
U.S. affiliate | U.S. Bureau of Economic Analysis (BEA)
https://www.bea.gov/help/glossary/us-affiliate
... or more of the voting securities of an incorporated U.S. business enterprise or an equivalent interest in an unincorporated U.S. business enterprise.
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https://www.bea.gov/help/glossary/us-affiliate
... or more of the voting securities of an incorporated U.S. business enterprise or an equivalent interest in an unincorporated U.S. business enterprise.
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19
Duties of Affiliates of Fully-Reporting Issuers
https://burninghamlawgroup.com/duties-of-affiliates-of-fully-reporting-issuers/
For purposes of this memorandum I am using the Securities and Exchange Commission's (the “Commission's”) Rule 405 definition of an “affiliate” ...
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https://burninghamlawgroup.com/duties-of-affiliates-of-fully-reporting-issuers/
For purposes of this memorandum I am using the Securities and Exchange Commission's (the “Commission's”) Rule 405 definition of an “affiliate” ...
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20
Rule 3901-2-02 - Ohio Administrative Code - Ohio Laws
https://codes.ohio.gov/ohio-administrative-code/rule-3901-2-02
(A) "Affiliate" means, or a "person affiliated with a specified person" means, a person that directly, or indirectly through one or more intermediaries, ...
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https://codes.ohio.gov/ohio-administrative-code/rule-3901-2-02
(A) "Affiliate" means, or a "person affiliated with a specified person" means, a person that directly, or indirectly through one or more intermediaries, ...
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21
Definition of affiliate, N.Y. Comp. Codes R. & Regs. tit. 3 § 322.6
https://casetext.com/regulation/new-york-codes-rules-and-regulations/title-3-banking/chapter-iii-superintendents-regulations/subchapter-a-banking-organizations/part-322-pledge-of-assets-and-maintenance-of-assets-by-licensed-foreign-banking-corporations-in-new-york/section-3226-definition-of-affiliate
(a) Affiliate means any person, or group of persons acting in concert, that controls, is controlled by or is under common control with such foreign banking ...
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https://casetext.com/regulation/new-york-codes-rules-and-regulations/title-3-banking/chapter-iii-superintendents-regulations/subchapter-a-banking-organizations/part-322-pledge-of-assets-and-maintenance-of-assets-by-licensed-foreign-banking-corporations-in-new-york/section-3226-definition-of-affiliate
(a) Affiliate means any person, or group of persons acting in concert, that controls, is controlled by or is under common control with such foreign banking ...
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22
Section 30-1701 – Idaho State Legislature
https://legislature.idaho.gov/statutesrules/idstat/title30/t30ch17/sect30-1701/
A person is deemed the beneficial owner of shares and securities beneficially owned by an affiliate or associate of the person. (6) "Business combination," when ...
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https://legislature.idaho.gov/statutesrules/idstat/title30/t30ch17/sect30-1701/
A person is deemed the beneficial owner of shares and securities beneficially owned by an affiliate or associate of the person. (6) "Business combination," when ...
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23
Related organizations
https://www.occ.treas.gov/publications-and-resources/publications/comptrollers-handbook/files/related-organizations/pub-ch-related-organizations.pdf
securities of all types, provided that the activities are financial in nature or ... purpose definition of affiliate, the definition in 12 USC 221a is ...
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https://www.occ.treas.gov/publications-and-resources/publications/comptrollers-handbook/files/related-organizations/pub-ch-related-organizations.pdf
securities of all types, provided that the activities are financial in nature or ... purpose definition of affiliate, the definition in 12 USC 221a is ...
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24
Delaware Court Addresses Meaning of “Affiliate” - JD Supra
https://www.jdsupra.com/legalnews/delaware-court-addresses-meaning-of-78632/
Stinson - Corporate & Securities Law Blog ... The Court looked to other definitions of “affiliate” as well. Under Section 203 of the ...
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https://www.jdsupra.com/legalnews/delaware-court-addresses-meaning-of-78632/
Stinson - Corporate & Securities Law Blog ... The Court looked to other definitions of “affiliate” as well. Under Section 203 of the ...
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25
SEC Disclosure and Corporate Governance
https://www.weil.com/~/media/files/pdfs/Weil_Alert_SEC_Corp_Gov_December_12_2012.pdf
of the Securities Exchange Act of 1934, which implements ... term “affiliate” is defined by reference to Exchange Act Rule.
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https://www.weil.com/~/media/files/pdfs/Weil_Alert_SEC_Corp_Gov_December_12_2012.pdf
of the Securities Exchange Act of 1934, which implements ... term “affiliate” is defined by reference to Exchange Act Rule.
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26
What is Rule 144? and How to Comply as a Non-affiliate?
https://bradshawlawgroup.com/what-is-rule-144/
Typically, affiliates are officers, directors, and 10% shareholders. Their shares are called “Control Securities” and have restrictions placed in them when ...
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https://bradshawlawgroup.com/what-is-rule-144/
Typically, affiliates are officers, directors, and 10% shareholders. Their shares are called “Control Securities” and have restrictions placed in them when ...
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27
Securities Law Firm Blog | Rule 144
https://srf.law/blog-rule-144-how-officers-directors-and-large-shareholders-can-navigate-the-affiliate-sale-requirements/
Introduction · [1] An affiliate of the issuer is a person that directly, or indirectly through one or more intermediaries, controls, or is ...
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https://srf.law/blog-rule-144-how-officers-directors-and-large-shareholders-can-navigate-the-affiliate-sale-requirements/
Introduction · [1] An affiliate of the issuer is a person that directly, or indirectly through one or more intermediaries, controls, or is ...
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28
Restrictions on Bank Affiliate Transactions: Sections 23A and ...
https://files.klgates.com/webfiles/Restrictions_on_Bank_Afiliate_Transactions_Sections_23A_and_23B.pdf
As more fully described in Definition of Covered Transactions below in Who and ... the securities of an affiliate, purchases of assets from an affiliate, ...
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https://files.klgates.com/webfiles/Restrictions_on_Bank_Afiliate_Transactions_Sections_23A_and_23B.pdf
As more fully described in Definition of Covered Transactions below in Who and ... the securities of an affiliate, purchases of assets from an affiliate, ...
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29
Regulatory Notice 15-14 | FINRA.org
https://www.finra.org/rules-guidance/notices/15-14
When reporting a transaction with an affiliate, the reporting firm may ... as defined in Securities Act Rule 144(a)(3), sold pursuant to Securities Act Rule ...
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https://www.finra.org/rules-guidance/notices/15-14
When reporting a transaction with an affiliate, the reporting firm may ... as defined in Securities Act Rule 144(a)(3), sold pursuant to Securities Act Rule ...
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30
What is an affiliate, and why does affiliate status affect the ...
https://www.mystockoptions.com/content/what-is-an-affiliate-and-why-does-affiliate-status-affect-the-ability-to-resell-company-stock
"Affiliate" is a term used in the securities laws to refer to a person in a relationship of control with a company. "Control" denotes the power to direct ...
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https://www.mystockoptions.com/content/what-is-an-affiliate-and-why-does-affiliate-status-affect-the-ability-to-resell-company-stock
"Affiliate" is a term used in the securities laws to refer to a person in a relationship of control with a company. "Control" denotes the power to direct ...
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31
RCW 48.31B.005: Definitions. - WA.gov
https://app.leg.wa.gov/rcw/default.aspx?cite=48.31B.005
(1) "Affiliate" means an affiliate of, or person affiliated with, a specific person, and includes a person that directly, or indirectly through one or more ...
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https://app.leg.wa.gov/rcw/default.aspx?cite=48.31B.005
(1) "Affiliate" means an affiliate of, or person affiliated with, a specific person, and includes a person that directly, or indirectly through one or more ...
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32
statement of policy regarding corporate securities definitions
https://www.nasaa.org/wp-content/uploads/2018/05/Statement-of-Policy-Corporate-Securities-Definitions-May-2018.pdf
Promoter of the issuer, its subsidiaries, its Affiliates, or its parent. F. Average Promotional Price means the average per share price paid for ...
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https://www.nasaa.org/wp-content/uploads/2018/05/Statement-of-Policy-Corporate-Securities-Definitions-May-2018.pdf
Promoter of the issuer, its subsidiaries, its Affiliates, or its parent. F. Average Promotional Price means the average per share price paid for ...
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33
Statutory Accounting Principles (E) Working Group - NAIC
https://content.naic.org/sites/default/files/inline-files/21-21%20-%20Related%20Party%20Reporting_0.pdf
Affiliate Definition and Identified Reporting Issues: ... representing, ten percent (10%) or more of the voting securities of any other ...
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https://content.naic.org/sites/default/files/inline-files/21-21%20-%20Related%20Party%20Reporting_0.pdf
Affiliate Definition and Identified Reporting Issues: ... representing, ten percent (10%) or more of the voting securities of any other ...
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34
title 8 - Delaware Code Online
https://delcode.delaware.gov/title8/c001/sc06/index.html
(1) “Affiliate” means a person that directly, or indirectly through 1 or more intermediaries, controls, or is controlled by, or is under common control with, ...
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https://delcode.delaware.gov/title8/c001/sc06/index.html
(1) “Affiliate” means a person that directly, or indirectly through 1 or more intermediaries, controls, or is controlled by, or is under common control with, ...
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35
The Dodd-Frank Act's Impact on Affiliate Transactions
https://www.cadwalader.com/resources/clients-friends-memos/the-dodd-frank-acts-impact-on-affiliate-transactions
A bank's affiliates include any company that controls the bank, any company under common control with the bank, and certain investment funds that are advised by ...
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https://www.cadwalader.com/resources/clients-friends-memos/the-dodd-frank-acts-impact-on-affiliate-transactions
A bank's affiliates include any company that controls the bank, any company under common control with the bank, and certain investment funds that are advised by ...
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36
Affiliate Definition - Nasdaq
https://www.nasdaq.com/glossary/a/affiliate
› glossary › affiliate
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https://www.nasdaq.com/glossary/a/affiliate
› glossary › affiliate
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37
Banking Affiliate Regulation Under Section 23A of the Federal ...
https://scholarship.law.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1544&context=scholar
transactions include: (1) any covered transaction (as defined in § 23A) with an affiliate; (2) the sale of securities or other assets to an affiliate, ...
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https://scholarship.law.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1544&context=scholar
transactions include: (1) any covered transaction (as defined in § 23A) with an affiliate; (2) the sale of securities or other assets to an affiliate, ...
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38
affiliate securities trading after bankruptcy - Akin Gump
https://www.akingump.com/a/web/oupvRkVpzzUoXNeTcSJZ5K/46A5f5/to-be-restricted-or-not-to-be-restricted-westlaw-today.pdf
The use of a private placement exemption for the initial issuance would result in the securities being treated as restricted securities, meaning ...
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https://www.akingump.com/a/web/oupvRkVpzzUoXNeTcSJZ5K/46A5f5/to-be-restricted-or-not-to-be-restricted-westlaw-today.pdf
The use of a private placement exemption for the initial issuance would result in the securities being treated as restricted securities, meaning ...
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39
The 2022 Florida Statutes - Online Sunshine
http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0600-0699/0624/Sections/0624.10.html
624.10 Other definitions.—As used in the Florida Insurance Code, the term: (1) “Affiliate” means an entity that exercises control over or is directly or ...
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http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0600-0699/0624/Sections/0624.10.html
624.10 Other definitions.—As used in the Florida Insurance Code, the term: (1) “Affiliate” means an entity that exercises control over or is directly or ...
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40
Kansas Secretary of State - KAR Regulations
https://sos.ks.gov/publications/pubs_kar_Regs.aspx?KAR=81-3-5
Sales of securities at financial institutions. (a) Definitions. For purposes of this regulation, the following definitions shall apply: (1) "Affiliate" ...
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https://sos.ks.gov/publications/pubs_kar_Regs.aspx?KAR=81-3-5
Sales of securities at financial institutions. (a) Definitions. For purposes of this regulation, the following definitions shall apply: (1) "Affiliate" ...
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41
Corporate Affiliate Form - NYISO
https://www.nyiso.com/documents/20142/2245421/Section+G+-+Corporate+Affiliate+Form.xls/9a370afe-56b1-f2b3-1499-21f4f12179b6?t=1553543752295
1, Definitions ... Also indicate whether the Affiliate is a NYISO Customer. ... Only list the corporate revenue of Affiliates that issue securities.
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https://www.nyiso.com/documents/20142/2245421/Section+G+-+Corporate+Affiliate+Form.xls/9a370afe-56b1-f2b3-1499-21f4f12179b6?t=1553543752295
1, Definitions ... Also indicate whether the Affiliate is a NYISO Customer. ... Only list the corporate revenue of Affiliates that issue securities.
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42
SEC Adopts Large Trader Reporting System
https://www.willkie.com/~/media/Files/Publications/2011/08/SEC%20Adopts%20Large%20Trader%20Reporting%20System/Files/SECAdoptsLargeTraderReportingSystempdf/FileAttachment/SEC-Adopts-Large-Trader-Reporting-System.pdf
dealers maintaining securities accounts for “large traders,” as that term is defined under Rule. 13h-1 (the “Rule”), will be required to ...
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https://www.willkie.com/~/media/Files/Publications/2011/08/SEC%20Adopts%20Large%20Trader%20Reporting%20System/Files/SECAdoptsLargeTraderReportingSystempdf/FileAttachment/SEC-Adopts-Large-Trader-Reporting-System.pdf
dealers maintaining securities accounts for “large traders,” as that term is defined under Rule. 13h-1 (the “Rule”), will be required to ...
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43
General Law - Part I, Title XXII, Chapter 176G, Section 1
https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter176G/Section1
''Affiliate'', an affiliate of, or person affiliated with, a specific person, is a person that directly, or indirectly through 1 or more intermediaries, ...
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https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter176G/Section1
''Affiliate'', an affiliate of, or person affiliated with, a specific person, is a person that directly, or indirectly through 1 or more intermediaries, ...
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44
Annex B - Securities and Exchange Commission
https://www.sec.gov.ph/wp-content/uploads/2019/11/Annex-B.doc
Definition of Terms Used in Full Disclosure Forms ... I. Affiliate of, or a person affiliated with, a specified person, is a person that directly, ...
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https://www.sec.gov.ph/wp-content/uploads/2019/11/Annex-B.doc
Definition of Terms Used in Full Disclosure Forms ... I. Affiliate of, or a person affiliated with, a specified person, is a person that directly, ...
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45
FERC Clarifies Affiliate Definition, Proposes Changes to Order ...
https://www.crowell.com/NewsEvents/AlertsNewsletters/all/FERC-Clarifies-Affiliate-Definition-Proposes-Changes-to-Order-No-860-Requirements-and-Delays-Implementation
FERC has now found that an institutional investor that acquires securities of a public utility (including for Order No. 860 purposes, an MBR ...
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https://www.crowell.com/NewsEvents/AlertsNewsletters/all/FERC-Clarifies-Affiliate-Definition-Proposes-Changes-to-Order-No-860-Requirements-and-Delays-Implementation
FERC has now found that an institutional investor that acquires securities of a public utility (including for Order No. 860 purposes, an MBR ...
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46
Preparing for Large Trader Reporting - Shearman & Sterling
https://www.shearman.com/~/media/files/newsinsights/publications/2011/10/preparing-for-large-trader-reporting/files/view-full-memo-preparing-for-large-trader-report__/fileattachment/fia100711preparingforlargetraderreporting.pdf
Large Traders, as defined below, must register with the SEC on Form ... 18 If the Large Trader does not have a parent company, securities ...
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https://www.shearman.com/~/media/files/newsinsights/publications/2011/10/preparing-for-large-trader-reporting/files/view-full-memo-preparing-for-large-trader-report__/fileattachment/fia100711preparingforlargetraderreporting.pdf
Large Traders, as defined below, must register with the SEC on Form ... 18 If the Large Trader does not have a parent company, securities ...
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47
Examples of definition of affiliate clauses in contracts
https://afterpattern.com/clauses/definition-of-affiliate
H.Definition of Affiliate. For purposes of this Agreement, “Affiliate” means a Person that directly, or indirectly through one or more intermediaries, owns or ...
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https://afterpattern.com/clauses/definition-of-affiliate
H.Definition of Affiliate. For purposes of this Agreement, “Affiliate” means a Person that directly, or indirectly through one or more intermediaries, owns or ...
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48
Financial Institutions and Broker-Dealers Engaging in Third ...
https://www.maine.gov/sos/cec/rules/02/032/032c506.doc
In 2000, the Revised Maine Securities Act was amended to incorporate some of the ... "Financial institution" means a financial institution as defined in 9-B ...
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https://www.maine.gov/sos/cec/rules/02/032/032c506.doc
In 2000, the Revised Maine Securities Act was amended to incorporate some of the ... "Financial institution" means a financial institution as defined in 9-B ...
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49
SEC Rule 144:
http://www.bairdfinancialadvisor.com/thelilesgroup/mediahandler/media/318225/Corporate%20-%206%20-%20SEC%20Rule%20144%20Restricted%20and%20Control%20Stock%20Transactions.pdf
Securities and Exchange Commission (SEC) Rule 144 governs the resale of securities acquired in a private placement or held by an affiliate of the issuer.
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http://www.bairdfinancialadvisor.com/thelilesgroup/mediahandler/media/318225/Corporate%20-%206%20-%20SEC%20Rule%20144%20Restricted%20and%20Control%20Stock%20Transactions.pdf
Securities and Exchange Commission (SEC) Rule 144 governs the resale of securities acquired in a private placement or held by an affiliate of the issuer.
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50
12 USC 371c: Banking affiliates - U.S. Code
https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section371c&num=0&edition=prelim
(B) a purchase of or an investment in securities issued by the affiliate; ... (G) a derivative transaction, as defined in paragraph (3) of section 84(b) of ...
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https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section371c&num=0&edition=prelim
(B) a purchase of or an investment in securities issued by the affiliate; ... (G) a derivative transaction, as defined in paragraph (3) of section 84(b) of ...
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51
§ 1022.21 Affiliate marketing opt-out and exceptions ...
https://www.consumerfinance.gov/rules-policy/regulations/1022/21/
The financial institution receives eligibility information about the consumer from its securities affiliate and uses that information to make a solicitation to ...
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https://www.consumerfinance.gov/rules-policy/regulations/1022/21/
The financial institution receives eligibility information about the consumer from its securities affiliate and uses that information to make a solicitation to ...
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52
Understanding Restricted and Control Securities | AST Financial
https://www.astfinancial.com/media/33373/understanding-restricted-and-control-securities.pdf
Control Securities: Securities held by or on behalf of an affiliate of the ... "Underwriter" is defined in section 2(a)(11) as any person who has purchased.
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https://www.astfinancial.com/media/33373/understanding-restricted-and-control-securities.pdf
Control Securities: Securities held by or on behalf of an affiliate of the ... "Underwriter" is defined in section 2(a)(11) as any person who has purchased.
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53
Chapter 624 Section 10 - 2018 Florida Statutes
https://www.flsenate.gov/laws/statutes/2018/624.10
624.10 Other definitions.—As used in the Florida Insurance Code, the term: (1) “Affiliate” means an entity that exercises control over or is directly or ...
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https://www.flsenate.gov/laws/statutes/2018/624.10
624.10 Other definitions.—As used in the Florida Insurance Code, the term: (1) “Affiliate” means an entity that exercises control over or is directly or ...
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54
Form 144 - Wikipedia
https://en.wikipedia.org/wiki/Form_144
Permit resale of equity securities by affiliates that meet certain conditions through riskless principal transactions and brokers' transactions in which the ...
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https://en.wikipedia.org/wiki/Form_144
Permit resale of equity securities by affiliates that meet certain conditions through riskless principal transactions and brokers' transactions in which the ...
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55
Restricted Securities vs. Control Securities - CLS Blue Sky Blog
https://clsbluesky.law.columbia.edu/2014/01/14/restricted-securities-vs-control-securities-what-are-the-differences/
securities acquired directly or indirectly from the issuer, or from an affiliate of the issuer, in a transaction or chain of transactions ...
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https://clsbluesky.law.columbia.edu/2014/01/14/restricted-securities-vs-control-securities-what-are-the-differences/
securities acquired directly or indirectly from the issuer, or from an affiliate of the issuer, in a transaction or chain of transactions ...
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56
Affiliate definition clauses in contracts
https://www.oncontracts.com/affiliate-status-in-contracts/
This sample clause is a fairly typical definition of affiliate, mirroring definitions found in U.S. securities laws such as Rule 501(b) of ...
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https://www.oncontracts.com/affiliate-status-in-contracts/
This sample clause is a fairly typical definition of affiliate, mirroring definitions found in U.S. securities laws such as Rule 501(b) of ...
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57
Chapter 672a - Uniform Securities Act
https://www.cga.ct.gov/2022/sup/chap_672a.htm
(2) “Associated person” has the meaning given to that term in Section ... or any affiliate thereof, as defined in subsection (b) of section 38a-129, ...
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https://www.cga.ct.gov/2022/sup/chap_672a.htm
(2) “Associated person” has the meaning given to that term in Section ... or any affiliate thereof, as defined in subsection (b) of section 38a-129, ...
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58
BUSINESS ORGANIZATIONS CODE CHAPTER 1 ...
https://statutes.capitol.texas.gov/Docs/BO/htm/BO.1.htm
(1) "Affiliate" means a person who controls, is controlled by, or is under common control with another person. (2) "Associate," when used to indicate a ...
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https://statutes.capitol.texas.gov/Docs/BO/htm/BO.1.htm
(1) "Affiliate" means a person who controls, is controlled by, or is under common control with another person. (2) "Associate," when used to indicate a ...
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59
SIFMA provides comments to SEC on Further Definition of "As ...
https://www.sifma.org/wp-content/uploads/2022/06/SIFMA-provides-comments-to-SEC-on-Further-Definition-of-As-a-Part-of-a-Regular-Business-in-the-Defintion-of-Dealer-and-Government-Securities-Dealer.pdf
commonly controlled affiliates for purposes of determining “dealer” and “government securities dealer” status, which the Commission either ...
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https://www.sifma.org/wp-content/uploads/2022/06/SIFMA-provides-comments-to-SEC-on-Further-Definition-of-As-a-Part-of-a-Regular-Business-in-the-Defintion-of-Dealer-and-Government-Securities-Dealer.pdf
commonly controlled affiliates for purposes of determining “dealer” and “government securities dealer” status, which the Commission either ...
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60
Affiliate - Definition, Latest News, and Why Affiliate is Important?
https://cleartax.in/g/terms/affiliate
Affiliate refers to the relationship between two or more entities, where one entity owns or controls the other. The entities may be subsidiaries ...
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https://cleartax.in/g/terms/affiliate
Affiliate refers to the relationship between two or more entities, where one entity owns or controls the other. The entities may be subsidiaries ...
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61
What Does ”Affiliate Of An Issuer” Mean For Subchapter V ...
https://mediatbankry.com/2022/05/24/what-does-affiliate-of-an-issuer-mean-for-subchapter-v-ineligibility-in-re-phenomenon/
(Iii) any debtor that is an affiliate of an issuer, as defined in section 3 of the Securities Exchange Act of 1934 (15 U.S.C. 78c)” —from ...
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https://mediatbankry.com/2022/05/24/what-does-affiliate-of-an-issuer-mean-for-subchapter-v-ineligibility-in-re-phenomenon/
(Iii) any debtor that is an affiliate of an issuer, as defined in section 3 of the Securities Exchange Act of 1934 (15 U.S.C. 78c)” —from ...
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62
Regulation W Special Analysis: Impact on National Bank ...
https://www.occ.gov/topics/consumers-and-communities/community-affairs/resource-directories/public-welfare-investments/RegWSpecialAnalysis_CDCs.pdf
Section 23B generally requires transactions with affiliates to ... An investment in securities issued by an affiliate occurs whenever a bank ...
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https://www.occ.gov/topics/consumers-and-communities/community-affairs/resource-directories/public-welfare-investments/RegWSpecialAnalysis_CDCs.pdf
Section 23B generally requires transactions with affiliates to ... An investment in securities issued by an affiliate occurs whenever a bank ...
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63
What Is a Control Person? Control Securities, Resale ...
https://www.securitieslawyer101.com/2020/control-person-control-securities-resale-requirements/
Securities held by an affiliate or person with control of the issuer are known as Control Securities. Control Securities can be registered securities pursuant ...
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https://www.securitieslawyer101.com/2020/control-person-control-securities-resale-requirements/
Securities held by an affiliate or person with control of the issuer are known as Control Securities. Control Securities can be registered securities pursuant ...
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64
SEC Adopts Large Trader Reporting ... - Dechert LLP
https://www.dechert.com/knowledge/onpoint/2011/9/sec-adopts-large-trader-reporting-requirements.html
The U.S. Securities and Exchange Commission (“SEC”) recently adopted a new ... each of its Securities Affiliates (as defined below) and each ...
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https://www.dechert.com/knowledge/onpoint/2011/9/sec-adopts-large-trader-reporting-requirements.html
The U.S. Securities and Exchange Commission (“SEC”) recently adopted a new ... each of its Securities Affiliates (as defined below) and each ...
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65
Revised SEC Independence Rules (Part 1) - Audit Conduct
https://www.auditconduct.com/post/revised-sec-independence-rules-affiliate-of-the-audit-client-and-investment-company-complex
Affiliate includes entities in an ICC, which are entities in the investment company (fund) industry like mutual funds, investment advisers and ...
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https://www.auditconduct.com/post/revised-sec-independence-rules-affiliate-of-the-audit-client-and-investment-company-complex
Affiliate includes entities in an ICC, which are entities in the investment company (fund) industry like mutual funds, investment advisers and ...
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66
Federal Energy Regulatory Commission
https://www.ferc.gov/sites/default/files/2020-05/E-1_72.pdf
the definitions of “affiliate” in Subpart H and Subpart I of Part 35 of ... holding company acquires voting securities of a public utility.
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https://www.ferc.gov/sites/default/files/2020-05/E-1_72.pdf
the definitions of “affiliate” in Subpart H and Subpart I of Part 35 of ... holding company acquires voting securities of a public utility.
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67
SEC Reporting Obligations Under Section 13 and Section 16 ...
https://www.paulhastings.com/insights/client-alerts/sec-reporting-obligations-under-section-13-and-section-16-of-the-exchange-act
If a securities firm (or parent company) is directly or indirectly owned by two partners, members, trustees, or shareholders, generally each ...
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https://www.paulhastings.com/insights/client-alerts/sec-reporting-obligations-under-section-13-and-section-16-of-the-exchange-act
If a securities firm (or parent company) is directly or indirectly owned by two partners, members, trustees, or shareholders, generally each ...
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68
Founders and other Affiliates resell Private Stock under ...
https://www.myercorplaw.com/blog/2015/12/7/xb3omq466wwtvi7n7qogbxazi3m8dc
In my earlier post I discussed the definition of “underwriter” found in Section 2(a)(11) of the Securities Act of 1933, as amended.
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https://www.myercorplaw.com/blog/2015/12/7/xb3omq466wwtvi7n7qogbxazi3m8dc
In my earlier post I discussed the definition of “underwriter” found in Section 2(a)(11) of the Securities Act of 1933, as amended.
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69
Restricted Securities | Investor.gov
https://www.investor.gov/introduction-investing/investing-basics/glossary/restricted-securities
Restricted securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer.
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https://www.investor.gov/introduction-investing/investing-basics/glossary/restricted-securities
Restricted securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer.
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70
SEC Provides Safe Harbor for Holders of Rule 144 Securities
https://www.mmmlaw.com/media/sec-provides-safe-harbor-for-holders-of-rule-144-securities/
The definition of the term “affiliate” in the Rule is vague, but its references to people that “control” the issuer usually leads to a focus ...
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https://www.mmmlaw.com/media/sec-provides-safe-harbor-for-holders-of-rule-144-securities/
The definition of the term “affiliate” in the Rule is vague, but its references to people that “control” the issuer usually leads to a focus ...
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71
Securities Act - BC Laws
https://www.bclaws.gov.bc.ca/civix/document/id/complete/statreg/00_96418_01
(ii) a common trust fund as defined by the Financial Institutions Act, or ... (b) an affiliate of that person or an affiliate of any issuer controlled by ...
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https://www.bclaws.gov.bc.ca/civix/document/id/complete/statreg/00_96418_01
(ii) a common trust fund as defined by the Financial Institutions Act, or ... (b) an affiliate of that person or an affiliate of any issuer controlled by ...
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72
Large Trader Reporting - Federal Register
https://www.federalregister.gov/documents/2011/08/03/2011-19419/large-trader-reporting
Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 ...
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https://www.federalregister.gov/documents/2011/08/03/2011-19419/large-trader-reporting
Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 ...
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73
Rule 144 General Information for Affiliates - Clark Wilson LLP
https://www.cwilson.com/rule-144-general-information-affiliates-2/
An affiliate wishing to sell the restricted securities of a reporting company must comply with at least five conditions: holding period ...
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https://www.cwilson.com/rule-144-general-information-affiliates-2/
An affiliate wishing to sell the restricted securities of a reporting company must comply with at least five conditions: holding period ...
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74
490.1301 Subchapter definitions.
https://www.legis.iowa.gov/docs/code/490.1301.pdf
“Affiliate” means a person that directly or indirectly through one or more ... shares; except that a member of a national securities.
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https://www.legis.iowa.gov/docs/code/490.1301.pdf
“Affiliate” means a person that directly or indirectly through one or more ... shares; except that a member of a national securities.
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75
Revised Statutes of Missouri, RSMo Section 381.029 - MO.gov
https://revisor.mo.gov/main/OneSection.aspx?section=381.029
(1) "Affiliate", a specific person that directly or indirectly through one or more intermediaries controls, or is controlled by, or is under common control with ...
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https://revisor.mo.gov/main/OneSection.aspx?section=381.029
(1) "Affiliate", a specific person that directly or indirectly through one or more intermediaries controls, or is controlled by, or is under common control with ...
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76
Definition of “Affiliate” or “Subsidiary” for Purposes of ... - USCIS
https://www.uscis.gov/sites/default/files/document/memos/2017-8-9-PM-602-0147-H-1BAffiliateSubsidiary.pdf
terms “affiliate” and “subsidiary” are not defined in INA 214(c)(9)(B). ... The most recent Securities and Exchange Commission Form 10-K ...
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https://www.uscis.gov/sites/default/files/document/memos/2017-8-9-PM-602-0147-H-1BAffiliateSubsidiary.pdf
terms “affiliate” and “subsidiary” are not defined in INA 214(c)(9)(B). ... The most recent Securities and Exchange Commission Form 10-K ...
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77
Delaware Court Addresses Meaning of “Affiliate” - Lexology
https://www.lexology.com/library/detail.aspx?g=53dd2c40-94aa-4546-a15f-cfaa868edf6d
The Court looked to other definitions of “affiliate” as well. ... had entered into and the definition under Rule 144 of the Securities Act.
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https://www.lexology.com/library/detail.aspx?g=53dd2c40-94aa-4546-a15f-cfaa868edf6d
The Court looked to other definitions of “affiliate” as well. ... had entered into and the definition under Rule 144 of the Securities Act.
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78
SEC Adopts Large Trader Reporting Requirements
https://corpgov.law.harvard.edu/2011/08/16/sec-adopts-large-trader-reporting-requirements/
On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities ... affiliates are defined in Form 13H as “Securities Affiliates”); [8] ...
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https://corpgov.law.harvard.edu/2011/08/16/sec-adopts-large-trader-reporting-requirements/
On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities ... affiliates are defined in Form 13H as “Securities Affiliates”); [8] ...
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79
Hawaii Administrative Rules Chapter 39 Securities
https://files.hawaii.gov/dcca/sec/har/har_39-c-07n.pdf
to the extent that they are not inconsistent with the definitions provided in chapter 485A, HRS. "Affiliate" means a person who, directly or indirectly, ...
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https://files.hawaii.gov/dcca/sec/har/har_39-c-07n.pdf
to the extent that they are not inconsistent with the definitions provided in chapter 485A, HRS. "Affiliate" means a person who, directly or indirectly, ...
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80
What's the Deal with Regulation M? - Latham & Watkins LLP
https://www.lw.com/en/insights/2013/05/Whats%20the%20Deal%20with%20Regulation%20M
Rule 100 sets forth the definitions of certain terms used in Regulation M. ... issuer's common equity securities held by non-affiliates), ...
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https://www.lw.com/en/insights/2013/05/Whats%20the%20Deal%20with%20Regulation%20M
Rule 100 sets forth the definitions of certain terms used in Regulation M. ... issuer's common equity securities held by non-affiliates), ...
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81
alerts & publications - O'Melveny
https://www.omm.com/resources/alerts-and-publications/publications/sec-staff-issues-revised-compliance-and-disclosure-interpretation-clarifying-rule-144-provisions-applicable-to-sales-of-securities-by-a-pledgee/
Consistent with Rule 144(d)(3)(iv) and Securities Act Rules C&DI 130.01, the non-affiliate pledgee may tack the affiliate pledgor's holding ...
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https://www.omm.com/resources/alerts-and-publications/publications/sec-staff-issues-revised-compliance-and-disclosure-interpretation-clarifying-rule-144-provisions-applicable-to-sales-of-securities-by-a-pledgee/
Consistent with Rule 144(d)(3)(iv) and Securities Act Rules C&DI 130.01, the non-affiliate pledgee may tack the affiliate pledgor's holding ...
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82
Identifying Downstream Affiliates under the Investment ...
https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID1425129_code796092.pdf?abstractid=1425129&mirid=1
The PUHCA definitions, adopted in 1935, served as the models for the definitions of “voting securities” and. “affiliated person” in the ICA. 11. See generally ...
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https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID1425129_code796092.pdf?abstractid=1425129&mirid=1
The PUHCA definitions, adopted in 1935, served as the models for the definitions of “voting securities” and. “affiliated person” in the ICA. 11. See generally ...
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83
U.S. FERC Orders Expand Definition of Affiliate for Public ...
https://www.sidley.com/en/insights/newsupdates/2022/10/us-ferc-orders-expand-definition-of-affiliate-for-public-utilities-under-federal-power-act
... controls, or holds with power to vote, 10% or more of the outstanding voting securities of the specified company. These FERC orders have ...
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https://www.sidley.com/en/insights/newsupdates/2022/10/us-ferc-orders-expand-definition-of-affiliate-for-public-utilities-under-federal-power-act
... controls, or holds with power to vote, 10% or more of the outstanding voting securities of the specified company. These FERC orders have ...
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84
New Rule 13h-1: The SEC Adopts a Large Trader Reporting ...
https://news.bloomberglaw.com/securities-law/new-rule-13h-1-the-sec-adopts-a-large-trader-reporting-system
Item 3(b) requires the large trader to indicate whether it or any of its Securities Affiliates, but not all affiliates, is regulated by a ...
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https://news.bloomberglaw.com/securities-law/new-rule-13h-1-the-sec-adopts-a-large-trader-reporting-system
Item 3(b) requires the large trader to indicate whether it or any of its Securities Affiliates, but not all affiliates, is regulated by a ...
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85
il6593.txt - IRS
https://www.irs.gov/pub/irs-regs/il6593.txt
To be a qualified bank affiliate, at least 60 percent of the foreign corporation's total gross income for the taxable year must be banking income, securities ...
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https://www.irs.gov/pub/irs-regs/il6593.txt
To be a qualified bank affiliate, at least 60 percent of the foreign corporation's total gross income for the taxable year must be banking income, securities ...
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86
Section 14A:10A-3 - Definitions. :: 2013 New Jersey Revised ...
https://law.justia.com/codes/new-jersey/2013/title-14a/section-14a-10a-3
14A:10A-3 Definitions. 3.As used in this act: a."Affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, ...
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https://law.justia.com/codes/new-jersey/2013/title-14a/section-14a-10a-3
14A:10A-3 Definitions. 3.As used in this act: a."Affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, ...
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87
Proposed SEC Rule 144 Amendments Would Increase ...
https://www.clearygottlieb.com/news-and-insights/publication-listing/proposed-sec-rule-144-amendments-would-increase-transparency-of-trading
Investors holding “control securities” can rely on Rule 144 only if ... An “affiliate” of an issuer is defined as “a person that directly, ...
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https://www.clearygottlieb.com/news-and-insights/publication-listing/proposed-sec-rule-144-amendments-would-increase-transparency-of-trading
Investors holding “control securities” can rely on Rule 144 only if ... An “affiliate” of an issuer is defined as “a person that directly, ...
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88
SEC Interpretation of "Holding Company" and "Affiliate" under ...
https://www.jstor.org/stable/792474
The definitions contained in the Act provide an opportunity for flexibility iii administration by the Securities and Exchange Commission. Under.
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https://www.jstor.org/stable/792474
The definitions contained in the Act provide an opportunity for flexibility iii administration by the Securities and Exchange Commission. Under.
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89
Definitions - IIROC
https://www.iiroc.ca/rules-and-enforcement/iiroc-rules/1000/1201-definitions
a quotation and trade reporting system, or an alternative trading system for securities or derivatives transactions that is subject to the rules of a self‑ ...
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https://www.iiroc.ca/rules-and-enforcement/iiroc-rules/1000/1201-definitions
a quotation and trade reporting system, or an alternative trading system for securities or derivatives transactions that is subject to the rules of a self‑ ...
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90
Section 13(r) of the Securities Exchange Act of 1934
https://www.skadden.com/-/media/files/publications/2013/02/section_13r_of_the_securities_exchange_act_of_1934.pdf
was ongoing at some point during the reporting period. 2. Question: Does the definition of “affiliate” under Exchange Act Rule 12b-2 include ...
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https://www.skadden.com/-/media/files/publications/2013/02/section_13r_of_the_securities_exchange_act_of_1934.pdf
was ongoing at some point during the reporting period. 2. Question: Does the definition of “affiliate” under Exchange Act Rule 12b-2 include ...
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91
Lock-Ups: When Can They Give Rise to “Affiliate” Status ...
https://www.gibsondunn.com/wp-content/uploads/documents/publications/Moloney-LockupsAnd13e-3.pdf
causing any registered class of equity securities to be eligible for ... 5 See Shane de Búrca, The Definition of Affiliates under the SEC's Going Private ...
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https://www.gibsondunn.com/wp-content/uploads/documents/publications/Moloney-LockupsAnd13e-3.pdf
causing any registered class of equity securities to be eligible for ... 5 See Shane de Búrca, The Definition of Affiliates under the SEC's Going Private ...
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92
Restricted or Control Securities by Affiliates
https://www.fidelity.com/bin-public/060_www_fidelity_com/documents/customer-service/Type-5-Affiliate-Kit.pdf
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be ...
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https://www.fidelity.com/bin-public/060_www_fidelity_com/documents/customer-service/Type-5-Affiliate-Kit.pdf
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be ...
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93
Securities Exchange Act of 1934 - NYSE
https://www.nyse.com/publicdocs/nyse/regulation/nyse/sea34.pdf
transactions for the account of any affiliate of the bank (as defined in ... (i) government securities, as defined in paragraph (42) of this subsection;.
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https://www.nyse.com/publicdocs/nyse/regulation/nyse/sea34.pdf
transactions for the account of any affiliate of the bank (as defined in ... (i) government securities, as defined in paragraph (42) of this subsection;.
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94
New FAQs on Rule 144 // Cooley // Global Law Firm
https://www.cooley.com/news/insight/2007/new-faqs-on-rule-144
An affiliate holder of restricted securities bona fide pledges the securities to a bank to secure payment of a loan. In the event of default, ...
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https://www.cooley.com/news/insight/2007/new-faqs-on-rule-144
An affiliate holder of restricted securities bona fide pledges the securities to a bank to secure payment of a loan. In the event of default, ...
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95
FIXED INCOME CLEARING CORPORATION GOVERNMENT ...
https://www.dtcc.com/~/media/Files/Downloads/legal/rules/ficc_gov_rules.pdf
The term “Affiliate” shall have the meaning given that word in SEC Rule 405, ... securities pledged to collateralize GCF Repo Transactions during the ...
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https://www.dtcc.com/~/media/Files/Downloads/legal/rules/ficc_gov_rules.pdf
The term “Affiliate” shall have the meaning given that word in SEC Rule 405, ... securities pledged to collateralize GCF Repo Transactions during the ...
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96
Chinese Military Companies Sanctions - Treasury Department
https://home.treasury.gov/policy-issues/financial-sanctions/faqs/topic/5671
For purposes of E.O. 13959, as amended, the term “publicly traded securities” includes any “security,” as defined in section 3(a)(10) of the ...
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https://home.treasury.gov/policy-issues/financial-sanctions/faqs/topic/5671
For purposes of E.O. 13959, as amended, the term “publicly traded securities” includes any “security,” as defined in section 3(a)(10) of the ...
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